CCC2015 Proceedings

PROCEEDINGS
Creative Construction Conference 2015

June 2124, 2015 Krakow, Poland
Editors-in-chief:
Mikls Hajdu
Mirosaw J. Skibniewski
All rights are reserved for Diamond Congress Ltd., Budapest, Hungary,
except the right of the authors to (re)publish their materials wherever they decide.
This book is a working material for the Creative Construction Conference 2015.
The professional and grammatical level of the materials is the authors' responsibility.
The papers in these proceedings were double refereed by members of the International Scientific Committee in a process that
involved, detailed reading of the papers, reporting of comments to authors, modifications of papers by authors and re-evaluation
of resubmitted papers to ensure quality of content.
Published by
Diamond Congress Ltd., the secretariat of the Conference
H-1012 Budapest, Vrmez t 8.
Responsible publisher: Rbert Hohol
www.diamond-congress.hu
Technical editing by
Orsolya Bokor
ISBN 978-963-269-491-7
INTERNATIONAL ADVISORY BOARD

Mirosaw Skibniewski (University of Maryland, USA chairman)
Mikls Hajdu (Szent Istvn University, Hungary co-chairman)
Lieyun Ding (North-Eastern University, China)
rpd Horvth (University of California, Berkeley, USA)
Mladen Radujkovic (Technical University of Zagreb, Croatia)
Li-Yin Shen (Chongqing University, China)
Edmundas Zavadskas (Vilnius Gediminas Technical University, Lithuania)
INTERNATIONAL SCIENTIFIC COMMITTEE

Mirosaw Skibniewski (University of Maryland, USA chairman)
Salman Azhar (Auburn University, USA)
Thomas Bock (Technical University of Munich, Germany)
Constanta Bodea (Bucharest Academy of Economic Studies, Romania)
Ioannis Brilakis (Cambridge University, UK)
Andrzej Cwirzen (Aalto University, Finland)
Lszl Dunai (Budapest University of Technology and Economics, Hungary)
Neil N. Eldin (University of Houston, USA)
Dongping Fang (Tsinghua University, China)
Mikls Hajdu (Szent Istvn University, Hungary)
Istvn Hajnal (Budapest University of Technology and Economics, Hungary)
Tomas Hanak (Brno University of Technology, Czech Republic)
Bozena Hola (Wroclaw University of Technology, Poland)
Shabtai Isaac (Ben-Gurion University of the Negev, Israel)
Tams Koltai (Budapest University of Technology and Economics, Hungary)
Sui-Pheng Low (National University of Singapore, Singapore)
Gunnar Lucko (The Catholic University of America, USA)
Hanbin Luo (Huazhong University of Science and Technology, China)
3
Zhiliang Ma (Tsinghua University, China)

Ferenc Makovnyi (Szent Istvn University, Hungary)
Levente Mlyusz (Budapest University of Technology and Economics, Hungary)
Osama Moselhi (Concordia University, Canada)
S. Thomas Ng (The University of Hong Kong, Hong Kong)
John-Paris Pantouvakis (National Technical University of Athens, Greece)
Edyta Plebankiewicz (Tadeusz Kosciuszko Krakow University of Technology, Poland)
Augustin Purnus (Technical University of Bucharest, Romania)
Alfredo Serpell (Pontificia Universidad Catolica de Chile, Chile)
Geoffrey Shen (The Hong Kong Polytechnic University, Hong Kong)
Igal Shohet (Ben-Gurion University of the Negev, Israel)
John Smallwood (Nelson Mandela Metropolitan University, South Africa)
Ramzi Taha (Qatar University, Qatar)
Ales Tomek (Czech Technical University in Prague, Czech Republic)
Leonas Ustinovicius (Vilnius Gediminas Technical University, Lithuania)
Derek Walker (RMIT University, Australia)
Yiannis Xenidis (Aristotle University of Thessaloniki, Greece)
Wen-der Yu (Chung Hua University, China)
TABLE OF CONTENTS
Automation and Robotics in Construction
Alexej BULGAKOV, Sergei EMELIANOV, Daher SAYFEDDINE:
Leveling magnetic resonance imaging room floor using scraping robot
Alexej BULGAKOV , Alexey EVGENOV, Conell WELLER:
Automating high-rise structures inspection using quadrotor
Natalia BUZALO, Pavel ERMACHENKO, Alexej BULGAKOV, Natalia
ZAKHARCHENKO:
Mathematical modeling of energy balance in the photobiological treatment plants
Antnio AGUIAR COSTA, Andr ANTUNES, Pedro MIRA LOPES, Izunildo
CABRAL, Antnio GRILO, Filipe MARTINS RODRIGUES:
3I Buildings: Intelligent, Interactive and Immersive Buildings
Lieyun DING, Shengyu GUO:
A big data-based workers behavior observation in China metro construction
Magdy IBRAHIM, Osama MOSELHI:
Enhanced localization for indoor construction
Jacek OLEARCZYK, Muntaseer KAINAT, Joseph KOSA, Samer ADEEB,
Mohamed AL-HUSSEIN:
Heavy lift rigging algorithm for construction operation (iRigging)
Anoop SATTINENI, Taylor SCHMIDT:
Implementation of mobile devices on jobsites in the construction industry
Lingguang SONG, Mohammed TANVIR, David STAYSHICH, Neil ELDIN:
Cost effective material tracking and locating solution for material laydown yard
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28
35
40
48
54
60
Creative Construction Technology and Materials

Jide ADERIYE, Timothy Sunday OJAMBATI:
Development of firebrick materials for building construction
Yurii BARABANSHIKOV, Svetlana BELYAEVA, Maria ANTONOVA, Sofia
VASIUTINA:
Calculation of the temperature in ventilated air gap of reinforced concrete cooling
tower
David BOZSAKY:
Laboratory tests with liquid nano-ceramic thermal insulation coating
Alexej BULGAKOV, Danil SHAYKHUTDINOV, Nikolay GORBATENKO,
Shikhmagomed AKHMEDOV:
Application of full-scale experiments for structural study of high-rise buildings
Hoon CHOI, Hyouk Sueng KWON, Dong Won SHIN, Han Seok KWON:
A case study on the expansion of power plant from simple cycle to combined cycle
Wojciech DROZD, Damian PUECKI:
Multi-criteria comparative analysis of vertical baffles in traditional technology
Abdulkader EL MIR, Salem Georges NEHME:
Porosity of self-compacting concrete
Jin-Woo KIM, Kyeong-Ho PARK, Dong-Hyup KWAK:
Restoration of old movable bridge at Busan in Korea
VPS Nihar NANYAM, Riddha BASU, Anil SAWHNEY, J.K PRASAD:
Multi-attributes evaluation methodology for emerging housing technologies
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81
87
93
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108
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121
Aleksander NICA, Andrzej FOREMNY, Krzysztof KACZOREK, Pawe

KLUCZUK:
Selected innovative solutions and overview of molds for precast concrete
Darren A. OLSEN, J. Mark TAYLOR, Robert DEAN, Aubrey BEAL, Jamey
FREEMAN:
The Pinpoint Placement Tool a cost effective solution for layout
Sanita RUBENE, Martins VILNITIS:
Frequency analysis and measurements of moisture content of AAC masonry
constructions by EIS
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141
Creative Management in Construction

Magdalena APOLLO, Marian W. KEMBOWSKI:
Observation value analysis integral part of Bayesian diagnostics
Ahmad BAGHDADI, Mohammed KISHK:
Saudi Arabian aviation construction projects: Identification of risks and their
consequences
Christos V. BELLOS, Kleopatra PETROUTSATOU, Leonidas
ANTHOPOULOS:
Electronic building permission system: The case of Greece
Constanta-Nicoleta BODEA, Augustin PURNUS:
Educational simulation in construction project risk management setting the stage
Xavier BRIOSO:
Teaching Lean Construction: Pontifical Catholic University of Peru Training
Course in Lean Project & Construction Management
Xavier BRIOSO:
Integrating ISO 21500 Guidance on Project Management, Lean Construction and
PMBOK
Gorkem EKEN, Gozde BILGIN, Irem DIKMEN, M. Talat BIRGONUL:
A lessons learned database structure for construction companies
Nikolaos FRAGKAKIS, Marina MARINELLI, Sergios LAMBROPOULOS:
Preliminary cost estimate model for culverts
Micha GUSZAK, Agnieszka LENIAK:
Construction delays in clients opinion Multivariate statistical analysis
Istvn HAJNAL:
Optimization of building operational cost in the preparation process of public
investment project
Istvn HAJNAL:
The determination of the market value of works in progress
Eduard HROMADA:
Mapping of real estate prices using advanced methods of data collection
Galina KALOYANOVA, Malgorzata SOBCZYK, Maria GEORGIEVA:
Benefits of adopting the integrated practice approach in the building process
Aynur KAZAZ, Serdar ULUBEYLI, Bayram ER, Volkan ARSLAN, Ahmet
ARSLAN, Murat ATICI:
Fresh ready-mixed concrete waste in construction projects: A planning approach
Jana KORYTROV, Tom HANK, Renata KOZIK, Elbieta
RADZISZEWSKA-ZIELINA:
Exploring the contractors qualification process in public works contracts
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166
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184
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205
210
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M LIPHADZI, CO AIGBAVBOA, WD THWALA:

Relationship between leadership styles and project success in the South African
construction industry
Zhe LIU, Zhiliang MA:
Establishing formalized representation of specifications for construction cost
estimation by using ontology learning
Zheng LU, Feniosky PEA-MORA, Xiaodong Robert WANG, Charles Q.
SHEN, Zainab RIAZ:
Social impact project finance: An innovative and sustainable infrastructure
financing framework
Aleksander K. NICA, Wojciech A. WODYSKI:
Procuring governmental megaprojects: Case study
AbdulLateef OLANREWAJU, Paul Junior ANAHVE:
Duties and responsibilities of quantity surveyors in the procurement of building
services engineering
Chuan-Fang ONG, Po-Han CHEN, Shu-Chien HSU:
Internationalization and environmental strategies of multinational construction
firms
Pablo ORIHUELA, Jorge ORIHUELA, Santiago PACHECO:
Implementation of Target Value Design (TVD) in building projects
Vachara PEANSUPAP, Lakhena CHEANG:
Identifying issues of change leading to cost conflicts: case study in Cambodia
Vachara PEANSUPAP, Rothmony LY:
Evaluating the impact level of design errors on structural and other building
components in building construction projects in Cambodia
Jan PCHA, Ale TOMEK, Harry LWITT:
Application of EPC contracts in international power projects
Georg PIEK, John SMALLWOOD:
Risk management in construction contracting
Edyta PLEBANKIEWICZ, Krzysztof ZIMA, Damian WIECZOREK:
Review of methods of determining the life cycle cost of buildings
Gul POLAT, Seyda BAYTEKIN, Ekin ERAY:
Mark-up size estimation in railway projects using the integration of AHP and
Regression Analysis Techniques
Gul POLAT, Ekin ERAY:
An integrated approach using AHP-ER to supplier selection in railway projects
Gul POLAT, Bars KAPLAN, Befrin Neval BNGOL:
Subcontractor selection using genetic algorithms
Renata SCHNEIDEROVA HERALOVA:
Highway projects: Low prices in public bids
Zoltan SEBESTYEN, Tamas TOTH:
Industry independent project portfolio selection criteria
Alfredo SERPELL, Ximena FERRADA, Rodolfo HOWARD:
Assessing the clients risk management performance in construction procurement
and contracting: Case studies
Tamas TOTH, Zoltan SEBESTYEN:
Modelling approach for value-based project risk monitoring in the construction
sector
Ali TOURAN, Jucun LIU:
A method for estimating contingency based on project complexity
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267
273
279
285
291
297
303
309
317
323
329
335
340
345
352
357
Yongcheng ZHANG, Hanbin LUO, Yi HE:

A system for tender price evaluation of construction project based on big data
363
Creative Scheduling in Construction

Borja GARCA DE SOTO, Bryan T. ADEY:
Investigation of the case-based reasoning retrieval process to estimate resources in
construction projects
Micha JUSZCZYK, Jarosaw MALARA:
Probabilistic approach to duration assessment for selected construction works
Sofia KAIAFA, Athanasios P. CHASSIAKOS:
A genetic algorithm for resource allocation in construction projects
J. Uma MAHESWARI, Purva MUJUMDAR, Anshul GOYAL, V. Paul C.
CHARLESRAJ:
Resource-constrained project scheduling using Relationship Diagramming Method
(RDM)
Attila PM, Levente MLYUSZ:
Model of arrangement of final material depots for concave construction sites
Edyta PLEBANKIEWICZ, Agnieszka LENIAK, Patrycja KARCISKA:
Analysis of methods for determining the construction works completion time in
construction progress schedules
Yi SU, Gunnar LUCKO:
Comparison and renaissance of classic line-of-balance and linear schedule
concepts for construction industry
Andrzej WICKOWSKI:
Time reserves in the realizations of building
370
380
386
392
399
405
411
418
Sustainable Construction, Health and Safety

Ibrahim AL-ABBADI, Ahmed SENOUCI, Neil ELDIN:
Safety improvement on building construction sites in Qatar
Shuang DONG, Qin YIN, Heng LI:
Positive safety participation and assessment by integrating sharing technology with
virtual reality
Sima Michal ELKABETS, Igal M. SHOHET:
Resilience modeling (TRA) for critical infrastructures to withstand extreme events Sensitivity analyses
Bjorn HALE, Scott W. KRAMER:
Installation of solar panels in a residential setting: A feasibility study for a
Southern U.S. City
Miaojia LU, Shu-Chien HSU:
A dynamic agent-based analysis for the sustainable high-speed railway: Case of
Hong Kong
Mikls OROSZLNY, Katalin FAZEKAS, Balzs KEMES, Pter FEJRDY:
Construction of a bio-briquette building in Monor
Oriol PONS, Ana NADAL, Esther SANY-MENGUAL, Pere LLORACHMASSANA, Eva CUERVA, David SANJUAN-DELMS, Pere MUOZ, Jordi
OLIVER-SOL, Carla PLANAS, Maria Rosa ROVIRA:
Roofs of the future: Rooftop greenhouses to improve buildings metabolism
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431
438
445
452
458
466
Alexandra SARANTI, Theocharis TSOUTSOS, Maria MANDALAKI:

Sustainable energy planning. Design shading devices with integrated photovoltaic
systems for residential housing units
John SMALLWOOD:
Optimising the elements of a construction health and safety (H&S) programme and
audit system
Alon URLAINIS, Igal M. SHOHET, Robert LEVY:
Probabilistic risk assessment of oil and gas infrastructures for seismic extreme
events
Hsi-Hsien WE, Igal M. SHOHET, Mirosaw J. SKBNEWSK, Stav
SHAPRA, Robert LEVY, Tsafrir LEV, Amos SALAMON, Moti ZOHAR:
Assessment of casualty and economic losses from earthquakes in Israel an semiempirical model
472
480
486
493
Visualization, Building Information Modeling

Conrad BOTON, Sylvain KUBICKI, Gilles HALIN:
4D/BIM simulation for pre-construction and construction scheduling. Multiple
levels of development within a single case study
Miranda GRIFFIN, Scott W. KRAMER:
The U.S. Army Corp of Engineers traditional design review vs. A BIM review: A
case study
Micha JUSZCZYK, Miloslav VSKALA, Krzysztof ZIMA:
Prospects for the use of BIM in Poland and the Czech Republic Preliminary
research results
Christoph MERSCHBROCK, Magnus NILSEN:
A virtual demonstration for engineering class: The case of beam deflections
Christoph MERSCHBROCK, Tor TOLLNES, Christian NORDAHLROLFSEN:
Solution selection in digital construction design - A lazy user theory perspective
Quim MOYA, Oriol PONS:
User-friendly conceptual design of standardized glass complex shaped faades
Edyta PLEBANKIEWICZ, Krzysztof ZIMA, Mirosaw SKIBNIEWSKI:
Construction cost and time planning using BIM-based applications
Manav Mahan SINGH, Anil SAWHNEY, Andr BORRMANN:
Rule based building components for modular coordination
Radan TOMEK, Sergey KALINICHUK: Agile PM and BIM:
A hybrid scheduling approach for a technological construction project
Marco L. TRANI, Manuele CASSANO, Davide TODARO, Benedetta BOSSI:
BIM standardization for construction site design
Senthilkumar VENKATACHALAM, Chamila D. D. RAMANAYAKA:
Measuring BIM readiness with comprehension at the pre-maturity
Annie GUERRIERO , Alain VAGNER:
A software product line approach for the development of construction safety IT
solutions
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525
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Automation and Robotics for Construction
Leveling magnetic resonance imaging room floor using scraping

robot
Alexej Bulgakova *, Sergei Emelianova, Daher Sayfeddineb
a
South West State University, 50 let Oktyabrya str. 94, Kursk, 305040, Russia
Platov South-Russian State Polytechnic University (NPI), Prosveshenia str. 132, Novocherkassk, 346428, Russia
Abstract
Magnetic resonance MRI is an advanced medical imaging technique used to scan the body of a patient to discover abnormalities in
soft tissues and bones. The preparation of the MRI room consists of several interconnected phases: fabrication and installation of
the radio frequency (RF) cage, leveling the room floor, preparation of the quench pipe and safety exhaust fans.
The preparation of the floor is very critical for the obtaining image quality. The floor should be leveled to minus 20-25 cm from the
initial zero position with no tolerance. Thereafter, a magnet of 1,5 Tesla or more can be fixed. A small deviation in the leveling can
cause noises to the magnetic vector and affect the diagnostics. Hence, the image can be distorted and produce incorrect diagnosis
and treatment.
Due to the importance of the subject, precision needs to be achieved during construction. We offer to level the MRI floor using a
lightweight-scraping robot. Leveling algorithm is divided into four steps:
The cycle is reached by regulating the moving speed of the robot and the depth of the scraping edge with reference to the smoothness
of the ground using Fuzzy logic rules.
Keywords: MRI, ground leveling, scraping robot
1. Introduction
In the last decade, the development occurring in material technology has led to a revolution in the conceptual design
of machinery and electronic devices. Nowadays, for instance, a mobile phone is equipped with a variety of Nanoelectromechanical sensors and actuators, OMLED screen, connection to navigation systems the obtained product
has pushed the end-users to ask for improved system specifications allowing better mobility. From a technical point of
view, the customers are seeking a device with a better connectivity, allowing more independency, precision and
versatility. The same tendency is generalized for several technological products: airplanes, medical devices, and office
automation As result, we obtained new classes (generation) of intelligent products to satisfy the needs of the market.
Concerning the medical field, advanced technologies such as robotics are being used to facilitate the medical-staff
work and allowing them to concentrate on the life-saving tasks. For example, we have surgical robots, pneumatic
transport systems, advanced imaging systems and drugs dispensers. But to make these systems work efficiently, an
infrastructure should exist in the hospitals.
In this paper, we study the preparation of a magnetic resonance imaging (MRI) room from construction point of
view. In order to achieve better image quality, the leveling of the room will be executed using a scraping robot. This
will allow us to obtain no deviation of the floor leveling, which will minimize the effects on the magnetic vector.
* Corresponding author. Tel.: +7-961-271 2523.
E-mail address:a.bulgakow@gmx.de
11
2. Robotics for site preparation

Robotics aim to substitute men in dangerous tasks, as well as when infinite precision is needed. For example,
miniature unmanned aerial vehicle where used to perform radiation leakage tests at hospital [1], check flyovers [2] and
building facades [3]. Concerning related work to our topic, other designs of robots were found to laydown interlocks
as shown in figure 1 [4], to assemble bricks [5], to check the tiles and concrete leveling [6,7].
Figure 1. The brick-road laying TIGER STONE
Automating concrete paving shows to be cost-effective and time saving process than the conventional manpower
approach . The gain by adopting the automated process can reach 21.3% by laying 26,600 bricks more then the
conventional method in 500 controlled run hours [8]. The technologies used for robots autonomy vary from using
machine vision as in [2,3], detection of prism position or guidance with GPS and Lasers as in [9].
The GPS is not accurate enough for indoor applications; in fact the signal can be lost. The prism detection and
position scanning requires prior setup, which maybe time consuming depending on the status of the work site. The
machine vision based guidance system is more adequate. Another way to achieve autonomous movement of the robot
is using mechanical odometry. This allows to calculate the crossed distance by referring the rotation of the robot
wheels. This method is more cost effective and easy to implement.
3. MRI- room preparation
3.1. MRI room construction concept
The minimum required area for an MRI room is 64 m2 with a minimal height of 3 meters. The room should not be
crossed by power cables or metallic constructions and should not be surrounded by dynamic metallic agents (cars,
lifts), power generators (electrical/ pump rooms). The minimum distance of the disturbance to the magnet is 10 meters
and may increase depending on the weight and rate of the source. The room inside is covered by radio-frequency cage
to a height of 2,7 meters as shown in figure 2. All the necessary medical gas and electrical power is terminated to
special filters.
12
Figure 2. MRI Room Concept
The floor of the MRI room is leveled between -20 to -25 mm from the initial zero position of the concrete level
depending on the type of the magnet. Nowadays, MRI use artificial magnet with 1,5- 3 Tesla.
3.2. Floor leveling
The concrete floor is leveled to the required position in different ways worldwide. Although the results are
satisfactory, there is a need to automate this task to avoid any possible human error, which may affect the image quality
later. A scraping robot can be used to level the wet concrete as shown in figure 3.
Figure 3. Conceptual design of scraping robot
By adjusting te scraper, the cement is pushed forward to a vibratory roller, which by its turn transfers the concrete
to a sliding channel (chute) allowing the cement to fill lower gaps appearing during leveling. An applicator is used to
keep the concrete wet enough to be manageable to work with.
3.3. Control concept
The efficency of the scraping robot is achieved when all the mechanical modules work in harmony according to
a predifined speed. In this way, the roller has the necessary time to fullfill the subtask and pass the excess cement to
the chute. In this part we will study the scraping mechanism.
The scraper consists of a rigid working elemet (wide blade) responsible to puch the concrete by adjusting the
penetration depth. Controlling the amount of the scraped concrete is proportional to the inclinasion angle of the blade
[10]. Literally, the blade acts like a plough in a farming terrain.
The control process is incrimental in discrete time Ts as an ordinary PI regulator. The inputs of the controller
are the normalized error Ne and its variation in time De. The later is required to take preventive actions and calculate
the output of the regulator O. The architecture of the controller is chown in figure 4.
13
Figure 4. Control system architecture
Using error values from conventional PI regulator, we have selected 7 membership functions (figure 5) varying
between large, medium and small negative (LN, MN, SM), Zero (Z) and large, medium and small positive (LP, MP,
SP).
Figure 5. Tuning Membership Functions of scrapper controller
The simulation results have shown that ideally, the scraper can regulate the angle so the concrete level can reach
-20 mm from the initial zero position. The simulation results are represented in figure 6.
Figure 6. Simulation Results of scraper contoller
14
4. The verdict
Although the results obtained are satisfactory, the performance of the scraper is proportionally dependent of the
shear stress of the soil. It is the force per unit area experienced by a slop (formed by the cutting edge of the scraper)
which pushes the concrete along the failure plan. This force is directly related to the humidity factor of the concrete,
hence the importance of the applicator. The interaction between the soil and the blade depends on how each mass of
divided soil sector will express force of resistance.
As it is shown also, depending on the simulation parameters, the scraper required 80 seconds to inflitrate the
concrete with a depth of -20mm. Hence the robot cannot start moving before the obtained process time, otherwise there
will be depth deviation between different clusters.
Our future work will be related to modeling different types of soils and study their effects on the scraper.
References
Alexej Bulgakow, Daher Sayfeddine. Performing indoor radiation leakage test using quadrotor. 58th Ilmenau scientific colloquium 2014,
pages. 1-12.
[2]
Alexej Bulgakow, Thomas Bock, Daher Sayfeddine. Inspection of flyover bridges using quadrotor. CTM 2014 Bratislava 2014, . 53-62.
[3] Sergey Emelianov, Alexey Bulgakow, Thomas Bock and Daher Sayfeddine Aerial laser inspection of building facades using quadrotor.
Creative Construction Conference . 2014, . 24-29.
[4]
Tiger Stone brick paving machine. 2011 Nova award nomination. 2 pages.
[5]
Mohamad Erzal Baharudin. Development of automatic floor laying machine. Thesis in fullfilment for Master degree. 2007. 24 pages
[6]
R. Navon. Process and quality control with a video camera for a floor tiling robot. Automation in Construction 10 (2000) 113-125.
[7]
Thomas Bock. Construction automation and robotics. Page 21-41.
[8]
Daniel Castro Lacourte, L. Sebastian Bryson, Christopher Maynard, Robert L. Williams II adn Paul Bosscher. Conctrete paving
productivity improvement using a multi-task autonomous robot. 6 pages
[9]
James K. Cable, Chris Bauer, Edward J. Jaselskis and Lideng Li. Stringless Portland Cement Concrete Paving. Final Report 2004. 53 pages.
[10] Alexey Bulgakow, Thomas Bock, Georgy Tokmakov. Bulldozer as mechatronic system with the intelligent control. The 31st International
Symposium on Automation and Robotics in Construction. ISARC 2014. Conference Proceedings. Page 768-777.
[1]
15
Automating high-rise structures inspection using quadrotor

Alexej Bulgakov a *, Alexey Evgenovb, Conell Wellerc
a
c
TU Dresden, Mommsen str. 10, 01069, Germany
Abstract
Recently, in course of the last development in information technology, control algorithms, models and simulators of buildings
management, an essential role in given to 3D information modeling BIM in order to facilitate, improve and expand structure related
services. A building model is generated combining images taken from different angles. The share of aerial photo acquisition is
noticeably augmenting. Chronologically, this has started since the migration of the unmanned vehicle technologies to the civil
market. As a result, a generation of sophisticated aerial machines equipped with high-resolution cameras can provide photographs
of a surface taken from different angles allowing generating fairly accurate 3D models. The risk analysis shows that the human
factor represents the biggest probable technical disturbance in the image acquisition process. Hence companies dealing with such
projects try to minimize the role of the human-operator by automating the workflow. Automated aerial photo acquisition can be a
solution. The quality of 3D building model, that we are trying to present in this paper, is directly related to the optimized usage,
flight stability and the efficiency of the electronics. From a robotic point of view, reliable positioning of unmanned machine is an
up-to-date technical task. In this paper, we will be identifying the quadrotor as an unmanned aerial vehicle performing
photogrammetry. Such model was chosen because of its size, cost, maintenance-friendly and most important its maneuverability.
On the other hand, the quadrotor does not offer long flight range and it is not stable. In order to improve the stability we suggest to
identify and eliminate the noises acquired by sensors readings, and, on the other hand, to develop adaptive fuzzy logic position
controllers to deal with the external wind factor. The effectiveness of the stabilization systems is endorsed with simulation and
experimental results.
Keywords: 3D model, building, automation, quadrotor, modal controller
1. Introduction
In the last decade, the branch of science and technology dealing with unmanned aerial vehicles (UAV) has expended
considerably. The civil market is yet too far to be saturated by these machines. The growing demand is due to the
success obtained from the military section. The civil UAVs are popular due to their maneuverability, small sizes and
ability to move loads of small masses. Nowadays UAV performs different tasks: goods delivery, inspection,
photogrammetry, rescuing missions etc. An important role occupies UAV equipped with photo/video cameras. This
special robot is an integral part of movie making business, broadcasting and building 3D models.
Automating the aerial photogrammetry contributes in updating electronic maps, replenish the knowledge base of
cities and infrastructure network for monitoring facilities and expansion of transport network. There are already a
* Corresponding author. Tel.: +49-1577-581-7236

16
number of literatures oriented to the usage of the UAV in building management [1-6]. Nevertheless, the potential of
aerial unmanned photogrammetry can still be improved.
The purpose of this paper is to contribute to the worldwide tendency by creating a platform for automated aerial
photogrammetry, the role of which is to acquire building facades images in order to generate 3D model. To successfully
implement the platform physically and in real-time regime, it is mandatory to consider external factors reducing the
quality of the images, noises and disturbance impacting the UAV final positioning. Per instance, vibration caused by
operating actuators, propellers can be a mutual cause for bad image quality and non-stability.
When placing diagnostic equipment on the board of a UAV, it is important to consider the factor of shifted center
of gravity of the machine from its ideal positioning in order to generate noise-free control signals. This task has been
solved in [8]. In this work, we consider the control and stabilization of the roll, pitch and yaw angles of the quadrotor
flying under external disturbances and wind resistance.
2. 3D building model generation
2.1. Automating 3D building model generation
The process of generating 3D building model begins with planning the workflow and identifying the necessary
equipment. Quadrotor plays a role of a mobile photo/video camera, with the help of which, photos are acquired in
overlap mode. The overlap mode facilitates the identification of the common points captured during acquisition
process.
To summarize, the process of creating 3D model concludes the following steps:
Creation of a preliminary map
Determination of the unique features/points
Determination of the matching points
Combination of the subsequent images
Specification of the image coordinates
Creation of 3D model
In more detail all process is described in work [6]. Figure 1 serves as a flowchart of the aforementioned steps.
Figure 1. 3D model generation steps
The preparatory phase includes flight planning, setting ground control points and camera calibration. Before getting
ready to fly, the trajectory should be known, reference points should be predetermined, the flight direction and well as
the set camera resolution. After the waypoints are identified and loaded into the autopilot, the acquisition stage is
17
launched. The acquisition step includes the image capturing process. The subsequent stage consists of the images
fusion into 3D building model.
2.2. The observer
Observers are used to recover the vectors of the controlled object. In accordance with this paper, an adaptive
observer shall identify sensors noise and regenerate recovered noise-free signals. To identify the observer, we will be
using the system of equations and reshape it into differential equation for each state.
Figure 2. The adaptive observer
The differential equations describe the six states of degree of freedom of the quadrotor and their derivatives. When
the object is subjected to one continuous perturbation w which isn't giving in to direct measurement, it can be estimated
by astatic identification observer [7]:
= + + ( ) + 1 0 ( ).
(1)
where x is the state vector, y- is the a scalar output signal, u- control vector, K- matrix size of nx1, 1 matrix size of
(nxn), J- matrix size of (nx1).
The diagram of the adaptive observer is illustrated in figure 2.
The completion condition of coincidence between the observer equation and the quadrotor equation can be
identified using the following equation
1 0 ( ) = = .
(2)
Thus, the output of the integrator in equation (2) provides an estimate of the unknown external influence w. The
simulation results illustrated in figure 3 show the effectiveness of the observer to recover the original signal from the
applied noises.
Figure 3. Adaptation of the observer with reference to the applied external noises w. The gyroscope signal to the left and the integrated filtered
signal (right curve-right), the roll angle (purple curve, right)
18
From figure 3, it can be clearly noted that the observer has successfully recover the sensor signals from the
disturbance. It assures better stabilization of the roll angles as shown by the purple curve.
Figure 4 shows the observer filtration results based on reading obtained using quadrotor 3DR IRIS. It can be noticed
that the control system successfully fulfills the desired stabilization and positioning according the assigned waypoints
and values of the roll, pitch and yaw angles and flight altitude. In figure 4, the red curve is the desired value; the green
curve is the obtained value. It can be also seen the deviation of the altitude from the desired value. This is caused due
to the tolerance of the barometer used as altitude sensor.
Figure 4. Experimental results of the observer for the roll angle (left up), pitch angle (right up), yaw angle (left down) and flight altitude (right
down)
Quantitative indications of the adaptive observer are directly related to the sensors in use. In the physical prototype
the following sensors are installed: 3-axis gyroscope and accelerometer MPU-6000, 3-axis gyroscope L3GD20, 3axismagnetometer and barometer HMC5883l and MS5611, respectively. All the aforementioned sensors belongs to
the commercial level and therefore their readings is of high tolerance accordingly. Nevertheless, the observer was able
to reduce the noises, allowing altitude deviation by 15% and positioning deviation between 7-10%.
2.3. Fuzzy logic Controllers FLC
In addition to the vibrations and sensors readings noises, another factor can destabilize the flight: the changing wind
currents. To improve the stability of the quadrotor in windy circumstances, we suggest using fuzzy logic controllers.
Figure 5 shows the control structure of the quadrotor using fuzzy logic controllers.
19
Figure 5. Control structure using fuzzy logic
The table below shows the controller output to regulate the flight altitude of the quadrotor.
Table 1.Iinference rules of the height controller
dZ
Up
Stable
Down
Negative
Much down
Down
Stable
Equal
Down
Stable
Up
Positive
Up
Up
Much up
The simulation results of controlling the flight regimes of the quadrotor are illustrated in figure 6 and 7.
Figure 6. Simulation results of flight regimes control using FLC. Wind speed 9 m/s
20
Figure 7. Simulation results of flight regimes control using FLC. Wind speed 12 m/s
Figure 6 and 7 reflect the efficiency of the FLC in controlling and stabilizing the angular speeds and positions (roll,
pitch and yaw) as well as the flight altitude of the quadrotor. Taking into consideration external disturbance, with a
wind speed of 12 m/s the positioning deviation is less then 20%, which is considerably high, but justifiable due to the
sensors used on 3D IRIS.
After executing many flights, we recommend to use the provided control algorithm for the aforementioned
quadrotor model to stabilize the positioning with a maximum wind speed of 10 m/s.
3. Conclusion
As a verdict, the contribution of this paper consists of designing a physical platform to conduct automated
photogrammetry with position control taking into consideration external disturbance factors such as wind speed,
sensors reading and vibrations. To minimize the effects of these noises an observer was designed to filter out the
unnecessary data and recover the original signal. Control of the quadrotor positioning is achieved using fuzzy logic
controllers, allowing stabilizing the roll, pitch and yaw angles as well as the flight altitude of the quadrotor. The
algorithm was tested in real time on a physical quadrotor 3D IRIS.
References
[1] C.-H. Kuo, C.-M. Kuo, A. Leber and C. Boller. Vector thrust multi-rotor copter and its application for building inspection. International Micro
Air Ve-hicle Conference and Flight Competition (IMAV2013), 17-20 September 2013, Toulouse, France.
[2] C. Eschmann, .-M. Kuo, .-H. Kuo and . Boller. Unmanned Aircraft Systems for Remote Building Inspection and Monitoring. 6th European
Work-shop on Structural Health Monitoring - Th.2.B.1.
[3] D. Roca, J. Armestoa, S. Lagelaa, L. Daz-Vilarioa. Lidar-equipped Uav for Building Information Modelling. The International Archives of
the Photo-grammetry, Remote Sensing and Spatial Information Sciences, Volume XL-5, 2014. ISPRS, 23 25 June 2014, Italy.
[4] JunWang, Weizhuo Sun, Wenchi Shou. Integrating BIM and LiDAR for Real-Time Construction Quality Control. Journal of Intelligent &
Robotic Sys-tems. Springer, 2014.
[5] Bulgakov A., Evgenov A. Automatization the 3d reconstruction of the building model using 2D images. 58th Ilmenau Scientific Colloquium,
Tech-nische Universitt Ilmenau, 08 12 September 2014.
[6] Bertram T., Bock T., Bulgakov A., Evgenov A. Generation the 3D Model Building by Using the Quadcopter // 31st International Symposium
on Auto-mation and Robotics in Construction and Mining, 9-11 July 2014, Australia. Sydney, University of Technology, 2014, pp. 778-783.
[7] Kusovkov N. Modal control and observer devices. Moscow: Machine in-dustry, 1976. 184 p.
[8] A. Bulgakov, S. Emelianov, T. Bock, D. Sayfeddine. Control of hovering altitude of a quadrotor with shifted center of gravity for inspection of
high-rise structures. Proceedings of the 31st International Symposium on Automation and Robotics in Construction (ISARC), Sydney,
Australia, July 9-11, 2014.
21
Mathematical modeling of energy balance in the photobiological

treatment plants
Natalia Buzaloa *, Pavel Ermachenkoa, Alexej Bulgakovb, Natalia Zakharchenkoc
a
b
c
Novocherkassk State Land Reclamation Academy, Novocherkassk, Pushkinskaya str. 111, 346428, Russia
Abstract
The paper deals with photobiological treatment facilities integrated with buildings architectural shell. Using such a kind of systems
solves the following tasks: receiving third-generation biofuels, disposing carbon dioxide, cleaning and disinfecting the wastewater,
recycling phosphorus compounds, using solar radiation for heating. Our study implements the idea of creating a partially closed
cycle for flows of matter and energy within a wastewater treatment process. We focus on the use of natural light when photoreactors
with algae are placed on a building architectural shell. However, in this case there is a need to ensure proper temperature conditions
for the stable growing of algae. The problem can be solved by control of energy flow within the system. To do this, we apply
methods of numerical simulations based on ordinary differential equations. The model takes into account seasonal variations of the
day length and the outside air temperature. The engineering basis for energy flow control is the trigeneration system (combined
heat, power and cooling) working in conjunction with photobioreactors installed on the facade, which can be considered as solar
collectors.
Keywords: Biofuels; mathematical modeling; photobioreactor; trigeneration
1. Introduction
We develop the idea of creating wastewater treatment facilities for biosphere compatible buildings with maximumclosed cycles with respect to water and energy. The idea started from experiments with closed-loop ecological Life
Support Systems for space flights carried out in the 60s-80s last century [1, 2]. Water recycling is accomplished by
functioning the microalgae-bacteria human ecosystem. One of the problems for systems of this type is high energyconsumption. However, besides water purification from nutrients, that organization of the purification process has
multiple advantages, such as carbon dioxide recycling, wastewater disinfection, etc. One of the major benefits is the
opportunity to get third-generation biofuels from algae. The closure of the system with respect to energy is performed
by biofuel combustion. Thus, there is an objective to cultivate such an amount of biomass, which allows producing
enough volume of biofuel.
The idea to use biological sediments (the sludge) formed during the purification process for getting biofuel is not
new. The traditional way of sewage purification (which is also extremely energy-intensive) includes the stage of
biological treatment by bacteria the activated sludge process and subsequent conversion of biomass residues into
* Corresponding author. Tel.: +7-918-532-4924.

E-mail address:n.s.buzalo@mail.ru
22
methane. Methane production is not the goal: the methane is simply a byproduct of utilization of sludge residues, which
are epidemiologically dangerous. The current performance of methane production is very low and the overall process
becomes profitable only for large treatment plants. At best, it may defray only 50% of power consumption of treatment
facilities. Therefore, most often, there is a tendency to reduce residual amount of biomass as much as possible.
The inclusion of a purification stage performed by algae changes the established approach to wastewater treatment
radically. What once was considered as a byproduct of life activity is a valuable resource now. Now we have the aim
to produce as much algal biomass as possible. The point is that microalgae is currently considered as the best plant to
get biofuel. Comparison of oilseeds shows that the specific energetic value of algae with a 50% lipid content is 15.5
times greater than this indicator of the most energy saturated oilseed - Chinese Tallow-Tree. Moreover, getting biofuel
from microalgae (so-called third generation biofuel) occurs without withdrawing agricultural land from circulation and
using drinking-quality water. Microalgae do not pose a threat to food security in contrast to the biofuel production from
agricultural products.
The cultivation of microalgae under artificial illumination conditions is one of energy-intensive stages in the
considered system. We focus on the use of natural light. The article investigates the opportunity of incorporation of the
photobiological treatment facilities into a buildings architectural shell when, to save the useful area, the main elements,
photobioreactors, are placed on a special carcass covering separately located facilities or directly on the facade of a
residential building. Figure 1 shows a possible option of a constructional solution for an architectural shell.
Figure 1. An architectural shell of the installation for photoreactors with algae at local treatment facilities: 1 is the carcass of an architectural shell,
2 is the photoreactor unit made from transparent ETFE membrane
For such location of photoreactors with algae, there is a need to ensure proper temperature conditions for the stable
growing of algae. The problem can be solved by control of energy flow within the system. To do this, we apply methods
of numerical simulations based on ordinary differential equations, which can be used as a basis for the automatic control
system. The engineering basis for energy flow control is the trigeneration system (combined heat, power and cooling)
working in conjunction with photobioreactors installed on the facade, which can be considered as solar collectors.
2. Technological Scheme
In our previous publications [3, 4] the concept of the local photobiological wastewater treatment plant was described.
Considered treatment facility includes an algae photobioreactor, a bacterium mineralizer and a desilter as well as a
control system that regulates concentration of biogens, oxygen, and carbon dioxide by governing flow between devices.
The scheme of circulation flows in the system is shown in Figure 2. In the system, there is the recirculation of sludge
mixture between an anaerobic tank, an aerobic tank and a photoreactor. The scheme also provides the return of biogens
from the methane-tank back into the system.
23
Figure 2. The scheme of circulation flows, where Q is the wastewater flow rate; Q met is the rate of flow returning from the methane-tank back into
the system; R1 is the recirculation coefficient of the sludge-water mixture in the wastewater mineralisation unit (the denitrifier plus the aeration
tank); R2 is the recirculation coefficient of the compacted activated sludge; R3 is the recirculation ratio of the clarified water from the
photobioreactor; R4 is the recirculation ratio of compacted microalgae
The organisation of a technological scheme is shown in Figure 3.
Figure 3. Technological scheme of the purification system, where (1) is the mechanical pre-treatment unit, (2) is the mineralization facilities, (3) is
the architectural shell with integrated photobioreactor, (4) is the post-treatment unit, (5) is the reservoir for purified water, (6) is the methane-tank,
(7) is the composting unit, (8) is the cogeneration power plant, (9) is the transformer station, (10) is the absorption chiller, (11) is the flue gas
cleaning unit.
In Figure 3, the methane-tank is heated and the photobioreactors are cooled. A trigeneration plant consists of a
cogeneration power plant (8) and an absorption chiller (10). Generation of cold occurs not due to electricity, but at the
expense of thermal energy from the flue gases of cogeneration plants formed during the combustion of biogas. Thus,
the system delivers thermal energy to heat the methane-tank (6) and the cold to cool photobioreactors (3) in a case of
overheating.
24
In biogas plants, usually there is a need to heat biomass in a methane-tank. In this case, part of the hot water from
cooling turbine/motor is sent there. If a client needs hot water for heating then the hot water from cooling turbine goes
directly to the consumer, bypassing the chiller. In the summer, all sources of heat come in the absorption chiller where
cold water is produced and then goes to the consumer and to a photobioreactor for cooling. To find optimum mode to
cool photoreactors we propose to use mathematical modeling.
3. Heat Balance Equation of a Modular Photobioreactor

Consider the components of the heat balance in the unit-module of a photobioreactor (Fig. 4). Firstly, it is the solar
radiation flux ( I + i )(1 r ) ( I is the flow of direct solar radiation on a horizontal surface, is the coefficient of
variation of the direct solar radiation flow at an incline, which depends on the steepness of the slope and its orientation,
i is the diffuse solar radiation flow, r is the albedo, the reflectivity of the photoreactor surface). Secondly, the
photoreactor surface receives heat as fluxes of infrared radiation from the atmosphere, BA and a building located
underneath, BB ( BA - the flow of the radiation from the atmosphere, BB - from the underlying building, - the
relative absorption coefficient of the photoreactor surface). On passing through the algae photobioreactor, each of these
fluxes undergoes change and turns into the fluxes I, II, III (I: ( I + i )(1 r )e /1 , II: BA e / 2 , III: BB e /3 ;
*
i* = 1/ i is the depth, where the flux decreases e times in comparison with the flux on the surface of a photoreactor,
i is the absorption coefficient, is the density of the medium). A photoreactor unit also loses heat by it's own
radiation, B0 . There is heat exchange between the ambient air and photoreactor surfaces: oppositely directed fluxes
Q0 . According to the Newton-Richman law, Q0 = T / z = (T Tair ) , where T is the temperature of the
medium in a photoreactor, Tair is the ambient temperature, is the thermal conductivity coefficient, is the
coefficient of heat transfer from the surface. Inside photoreactor, heat is transferred due to the plane-parallel flow with
the velocity u ( u = (Q(1 + R3 + R4 ) + Qmet Qbac ) / s , where s is the cross sectional area of a photobioreactor) and
thermodiffusion.
z
( I + i )(1 r )
BA
B0
Q0
III
u
z=0
II
BB
- Q0
Figure 4. Components of the heat balance
The horizontal dimensions of the photoreactor are much more than the vertical size and the convective heat transfer
in the horizontal direction is greater than the diffusion. Then if we neglect the radiation fluxes, the heat transfer in an
architectural shell can be described by the following equation
T
T
+u
c
x
t
2T
0,
z 2
(1)
with boundary conditions in a form of Newton-Richman law
25
T
= (T Tair ) , z = ;
z
T
= (T Tair ) , z = 0 ,
z
(2)
where c is the specific heat capacity of the medium.

Integrating equation (1) with respect to x and z and taking into account (2) we get
c l
dT
0,
+ c u (T Tinput ) + 2 l (T Tair ) =
dt
(3)
where Tinput is the inlet temperature , l is the horizontal size of the photoreactor.
Adding radiation fluxes to (3), we have the heat balance equation for the photoreactor unit
c
dT
+ c u (T Tinput ) / l + 2 (T Tair ) = ( I + i )(1 r ) + BA + BB
dt
( I + i )(1 r )e
/ 1*
BA e
/ 2*
BB e
/ 3*
(4)
B0 .
4. Model Problem
For numerical experiments, the plug-in Heliotrope of the software Rhino / Grasshopper is used [5]. The program
has a set of geometric tools for the insolation analysis. It includes the calculation of parametric components of solar
vectors for a certain date, time and place. The algorithm of solution of equation (4) takes into account the shadows cast
by the surrounding buildings.
As a model problem to calculate the temperature of the architectural shell we have considered the treatment facilities
of the surface area of 16119 m2. Free area between the buildings is 150 m 150 m. Height varies from 9 to 28 m. The
computational domain and insolation are shown in the Figure 5. The object is located at coordinates 5102' N 1344' E
(coordinates of Dresden, Germany). Green color corresponds to the minimum value of insolation, red color - the
maximum value.
a)
b)
Figure 5. The computational domain. a) The insolation of the architectural shell; b) Changing the position of the sun at its zenith over the
computational domain during the year
Figure 6 shows the results of numerical experiments of the temperature change of the architectural shell within one
day. Green color corresponds to a temperature of 15 degrees Celsius and red is 30 degrees Celsius.
26
Figure 6. The results of numerical experiments of temperature calculations
5. Conclusion
The paper deals with integration photobiological treatment facilities with buildings architectural shell and issues
of using natural light to grow algae. We consider the schemes of recirculation of matter and energy flows into the water
purification system with maximum-closed cycles. We have proposed a technological scheme with trigeneration energy
system, which allows getting three types of energy: electricity, heat and cold. That ensures optimum temperature in
methane-tanks and photobioreactors. The mathematical model of the heat balance for a modular photobioreactor in
form of ordinary differential equation have been described. The model takes into account seasonal variations of the
day length, the outside air temperature and the shadows cast by the surrounding buildings. The combination of the
scheme and the mathematical model can be used as a basis for a mechatronic control system. Additionally, with data
of daily and annual rhythms of lightning and temperature, we can simulate algae biomass growth and then optimize
the shape of an architectural shell.
References
[1] M. Nelson, N.S. Pechurkin, J.P. Allen, L.A. Somova, and J.I. Gitelson, Bioengineering of Closed Ecological Systems for Ecological Research,
Space Life Support and the Science of Biospherics, ENVIRONMENTAL BIOTECHNOLOGY in the Handbook of Environmental Engineering
series, Chapter 11 in Volume 10, 2010, The Humana Press, Inc., Totowa, New York, 2010.
[2] V.N. Sychev, M.A. Levinskikh, and Ye.Ya. Shepelev, Biological components of LSS for a Martian expedition. Adv Space Res, 31(7): 16931698, 2003.
[3] N. Buzalo, T. Bock, and A. Bulgakov, Space Technologies of Life Support Systems for the Metropolitan Cities. In Proceedings of the 31th
International Symposium for Automation and Robotics in Construction (ISARC), Sydney, Australia, (2014) 142-148.
[4] N. Buzalo, P. Ermachenko, T. Bock, A. Bulgakov, A. Chistyakov, A. Sukhinov, E. Zhmenya, E. Zakharchenko, Mathematical Modeling of
Microalgae-mineralization-human Structure within the Environment Regeneration System for the Biosphere Compatible City. Procedia
Engineering, 85 (2014): 8493.
[5] Grasshopper. Algorithmic Modeling for Rhino. 2015. On-line: http://www.grasshopper3d.com/group/heliotrope.
27
3I Buildings: Intelligent, Interactive and Immersive Buildings

Antnio Aguiar Costa *, Andr Antunes, Pedro Mira Lopes, Izunildo Cabral,
Antnio Grilo, Filipe Martins Rodrigues
ICIST, Instituto Superior Tcnico, Universidade de Lisboa, Portugal
Unidemi, Faculdade de Cincias e Tecnologia, Universida Nova de Lisboa, Portugal
Unidemi, Faculdade de Cincias e Tecnologia, Universida Nova de Lisboa, Portugal
Siemens, Lisboa, Portugal
Abstract
This research presents the architecture of a technology platform capable of integrating different types of data from building sensors
and providing an interface to manage and operate facility devices, which is supported by advanced optimization algorithms. This
interface is potentiated by a BIM-based interface presenting real-time data of the building.
The solution, called 3i buildings - Intelligent, Interactive, and Immersive Buildings, is a tool to monitor and manage smart buildings,
as well as optimize users experience, energy consumptions and environment quality. This is achieved by a grid of sensors and
devices that continuously gather information (structural conditions of the building, occupancy, comfort of occupants, energy
consumptions and CO2, COVs and Humidity levels, etc.), which is processed by predictive models able to learn over time.
The 3D representation of the models allows managers to take advantage of the virtual environment, by augmenting the facility
model and including information about the facility, making it easier and perceptible to users and owners, helping them to make
better decisions.
To support our research, the system will be installed in three different environments, Luzs hospital, Lisbon Aquarium and Norte
Shopping, to test the solution under different conditions, objectives and users. In the first two cases the objectives are to monitor
building air quality, consumptions and occupancy and in the Norte Shopping case the objectives are to monitor people flows, interact
with tem and help the response in case of crisis according to the adopted emergency plan.
These types of systems might help reducing energy consumptions as well as increasing comfort and satisfaction of occupants,
maintaining a constant concentration of CO2 and humidity within the facility. The optimized algorithms will allow the system to
learn, predicting and reacting to different conditions, giving a more reliable and smooth response to occupants needs.
Keywords: Intelligent Buildings; Energy Efficiency; Optimization algorithms; BIM; IFC
1. Introduction
Buildings and cities face significant challenges towards energy efficiency, sustainability and improved performance.
Gradually, a new generation of construction projects emerges, more complex, more creative and more intelligent, in
which new information technologies (IT) play a major role: on one hand they transform the way buildings and cities
are designed, constructed and managed; on the other hand they change the buildings behavior and their interaction
with users.
*
Corresponding author. Tel.: +351218418351.

E-mail address: aguiar.costa@tecnico.ulisboa.pt
28
Building Information Modelling (BIM) is one of the current technology trends in construction, contributing to an
efficient integration and management of engineering information [1]. With the adoption of BIM the different parties
involved in a project have a tool to communicate and share information and ideas through a single point, the BIM
model [2]. BIM allows generating and managing digital representations of physical and functional characteristics of a
facility during its entire life cycle, improving collaboration, information management and advanced simulation [3].
Building intelligence and the internet of the things (IoT) are other relevant technology trends to be considered
within the construction industry innovation framework. In brief, building intelligence can be referred to as the
autonomous ability of buildings to optimize its processes and its functions, based on artificial models and algorithms.
The IoT concept is based on the idea of a universal presence of things or objects, such as Radio Frequency
Identification (RFID) tags, sensors, actuators, mobile phones, etc., with digital identification and addressing schemes
that enable them to cooperate with neighbors in order to achieve some common goals [4]. Several innovative projects
already apply these technologies to optimize buildings and cities performance [5,6,7], focusing the optimization of
specific systems, such as those related to energy efficiency, usage of renewable energy in buildings, waste recovery or
sustainable construction. Others are centered on the management and optimization of large information flows used to
enhance certain processes of organizational decision-making.
However, few research projects recognize the fundamental role that key infrastructures have in efficient
management of cities, together with a persistent inability to " urbanize " the existing technologies, what leads to a
generalized adoption and use of several energy efficiency tools but without existing an integrated system capable of
gathering building data using sensors and IoT and optimizing building performance and behavior using BIM-based
interfaces and interoperable intelligent instruments. The 3i Buildings system proposed will face this challenge and will
be able to display real-time data gathered from sensors installed in the facility, as well as to deliver an optimize
buildings performance and behavior using advanced optimization algorithms and intelligent objects installed in the
facility. To test our solution three different facilities were considered, Luz's Hospital, Norte Shopping and Lisbon
Aquarium.
2. Literature Review
As it can be seen by the amount of research projects and scientific papers that have appeared in the last few years,
buildings intelligence will certainly play a major role on the construction industry innovation paradigm [8]. Smart
buildings are becoming a trend of next-generations buildings, which will facilitate intelligent control of the building
to fulll occupants needs [9]. Build reactive, interactive and immersive buildings is one of the inevitable visions for
intelligent building systems, which should improve buildings performance and optimize their functionality.
The first step of these intelligent systems has already started. In fact, a diversity of tools and models has been
developed to endow buildings with adaptive and sensorial capacity. In literature several innovative works can be
identified within this field, such as the work of Clark and Mehta [10], who developed a management system supported
by artificial intelligence, capable of an optimized management of HVAC systems or the work of Guillemin and Morel
[11], who developed an interior illumination control system (natural and artificial) with the capacity of adapting to the
space in which is deployed, by detecting the presence of persons and considering the internal and external conditions
of luminosity. Similarly, Fong et al. [12] used evolutionary programing to manage smart buildings and Guinard et al.
[13] worked in the optimization of a network of wireless sensors to support buildings information gathering. A growing
number of studies discuss, in particular, alternative approaches that can deliver healthier and more comfortable thermal
conditions to occupants with acceptable energy consumption. For example, recognizing that the thermal environment
in an office or building is not always optimal from an energy saving and occupant satisfaction perspective, as airconditioning systems are controlled without taking the occupants needs into account, Murakami et al. [14] proposed
a system to control air-conditioning systems via occupants requests. Luo et al. [15] designed a longitudinal field study
in a mixed-mode building where mechanical air conditioning and natural passive cooling coexist in the same case
building, i.e. building where both air conditioning and natural ventilation modes are utilized. This study was designed
to measure the extent to which occupants thermal perception can be influenced by space conditioning strategy in
mixed-mode buildings, and to determine the optimal approach for assessing occupants thermal perception in such
buildings. Xu et al. [16] present a systematic statistical method to determine the set of building design factors to
minimize the building heating and cooling loads and energy consumption using the fractional factorial design method.
Rocha et al. [17] point out that although building managers are encouraged to adapt their energy operations to realtime whether conditions, most fail to do so as they rely on conventional building energy management systems that have
29
static temperature set points for heating and cooling equipment. With regard to occupancy in buildings, Feng et al. [19]
grounded on a comprehensive review and comparison of literature on occupancy modelling to identify four types of
occupancy models, which are categorized according to the problems they try to address: (1) building level and number
of occupants, (2) space level and occupied status, (3) space level and number of occupants, and (4) occupant level. Gul
and Patidar [20] analyze the relationship between the electrical energy demand profiles and user activities for a
university building. One of the findings was that the detailed information on the occupancy patterns could help the
management team to redesign control strategies for optimum energy performance of the building.
Although recognizing the significance of the above-mentioned works, and others not referred here, it was possible
to conclude that a technological platform capable of integrating, in real time, different types of data regarding factors
such as structural conditions of the building, occupancy, comfort of occupants, energy consumption and CO2, COVs
and humidity levels, and capable of learning over time, is still missing. Therefore, this study intends to develop an
optimized algorithm capable of allowing the system to learn, predict and react to different conditions inside a building,
while simultaneously optimize the comfort of occupants, energy consumption and occupancy. A particularly relevant
contribution of the presented research project has to do with the real-time data visualization. A BIM viewer will be
implemented to improve information integration and provide a consistent decision support system for intelligent
buildings. Nowadays 3D BIM viewers are appearing and becoming more and more used. Besides reflecting the data
generated throughout the buildings life cycle [21], BIM is used as a graphical interface and information repository
associated with facilities management systems, presenting data about energy consumptions and other variables related
with the state of the facility [22, 23] and continuous research is being made to improve the existing solutions [1, 2, 21].
However, BIM viewers face innumerous challenges. For instance, when handling complex models, navigation may
turn too slow to be considered real-time data visualization and in some cases real time representation viewers hide
objects or incorrectly present them in order to allow real time visualization [2]. Also, viewers interoperability is a
major reason of concern. In order to handle such amount of building information, including data from various types of
sensors and imported from different software, we need a solid and neutral file format for data exchange. IFC (Industry
Foundation Class) is the BIM open and neutral format to enable an efficient exchange of construction projects
information [24], being able to collect information from the entire project life cycle but it has some limitations. IFC
handles building information using predefined classes, which are not sufficient to include all types of building
information, so additional Property Sets must be created.
So, the research project presented will work to combine the benefits of an interoperable BIM viewer, which allows
displaying all the information of the building and, at the same time, to monitor the state of the building in real time,
with a well-structured sensor system connected to an optimization module capable of increasing buildings intelligence
and interactivity.
3. Methodology
For this research project three major use cases were defined, considering complementary visions. In the first case,
the Luzs Hospital, the main objective was to improve energy efficiency and occupants comfort. To achieve these
objectives, the 3iBuildings system will detect visitors mobility and measure humidity, temperature and users
satisfaction, optimizing the HVAC configuration (taking into account historical data). The system will be able to predict
changes earlier than the current systems, which will allow improving comfort and efficiency. Also, the system will be
able suggest alternative rooms when the primary one achieves the maximum level of occupation (considering the most
effective environmental configuration).
The second use case focused the Lisbon Aquarium and had the major objective of identifying visitors mobility and
managing spaces occupancy by interacting with them. In this sense, intelligent objects and IoT will be used to
communicate with visitors and obtain their feedback.
The third use case focused a shopping mall (Norte Shopping) and its objective was to map visitors mobility and,
based on this information, provide them an interactive experience. The system will be able to analyze which spaces
visitants more commonly use, which can be useful for commercial but also for security reasons. The system will be
able to help visitors during emergencies, for instance by indicating the best emergency route for each visitor. 3D
interfaces will be developed for all the use cases, which will help facility managers to visualize and monitor real-time
data and support decision making.
30
4. Developments
4.1. Optimization model
As stated previously, to support our research, the system will be installed in three different environments, Luzs
hospital, Lisbon Aquarium and Norte Shopping. In the first case, the objective is to optimize the thermal comfort of
occupants and the energy consumption (dependent variables), considering as independent variables the set point
temperature, the occupancy rate, the CO2, COVs and Humidity levels. In the second case, the dependent variables to
be optimized are occupancy rate and energy efficiency, considering as independent variables the set point temperature,
the outdoor temperature, the visitor location, and the CO2, COVs and Humidity levels. The parameters area and
volume are also included in the optimization algorithm, for both first and second case. In the Norte Shopping case,
objectives are to monitor people flows, and help the response in case of crisis according to the adopted emergency plan.
Considering that for these three cases we have completely different objectives, an optimization algorithm per each
case will be developed, which make this research even more challenging. In order to support the development of the
optimization algorithm, a theoretical model per each case was developed. For example, Figure 1 illustrates the model
for optimizing the thermal comfort of occupants and the energy consumption for the Luzs Hospital case study (Fig.
1). This algorithm considers whether the system is in learning or in operation, whether we include the comfort opinions
of occupants or not, and we want to optimize the energy consumption or not. In this way, the manager responsible for
managing and controlling the system will have different options, regarding the functioning of the system. This system
will collect occupants opinions on the level of comfort, will triangulate this information with the current occupancy
rate, the set point temperature, the CO2, COVs and Humidity levels and automatically take decision whether it is
necessary to act on the set point temperature or not. The set point temperature is determined based on the balance
between occupants thermal comfort and energy consumption.
Start
Measure the level of humidity
Measure the level of CO2
Predict the occupancy rate
Measure the temperature
Triangulate with optimum values

(considering the area and volume of the room)
Define the HVAC set point

End
Measure the real occupancy rate
Yes
No
Maintain the HVAC set point
Real occupancy rate > 0?
Act?
No
Yes
Calculate the distance between the
predicted and real occupancy rate
Triangulate the distance, the energy

consumption and the indoor
environmental conditions
Triangulate the occupants
opinions, the distance and the
indoor environmental conditions
Triangulate the occupants opinions, the
distance, the energy consumption and
the indoor environmental conditions
System in learning process?

Yes
Triangulate the distance and the

indoor environmental conditions
No
No
Yes
Consider energy
consumption?
No
Consider the opinions of

occupants?
No
Yes
Consider energy
consumption?
Calculate the % of opinions for

each level of comfort
Yes
Collect opinions on occupants
comfort
Figure 1: Optimization algorithm: Luzs hospital
4.2. BIM Interface

The 3iBuildings interface will be created combining BIM technology with the Unity3D game engine. Unity is a
game development tool, used to create 2D and 3D contents providing a rendering engine integrated with tools to allow
simple and intuitive development of games. As this system is multiplatform it will allow the deployment for both
desktop and mobile devices, thus enabling 3IBuildings to be deployed and executed in Android IOS, Mac OS X,
Windows and web.
31
The interface of 3iBuildings will be divided into three different parts, presentation, management and communication
layers. The presentation layer is the one with which the users interact and visualize the 3D representation of the BIM
model. To do this, this layer imports the IFC model and converts it to a format that is recognized by Unity3D (Fig. 2),
in this case the FBX format [21]. This layer will allow users to navigate through the facility and interact with each
represented object, i.e. walls, doors, HVAC system, etc., providing all BIM information about the selected object. The
layer will also provide a functionality to see the status of each room (Fig. 3), its occupation, CO2 levels, temperature,
size of the room, etc., providing to buildings managers a real-time data graphical display able to help in the decision
making process. The Management layer will be used to manage and store the internal representation of the data
received from the BIM model. This layer will be closely related with the communication layer, to the extent that latter
connects with the data servers, where the data gathered from facilities sensors are stored and organized. To provide
fully support to BIM models, 3IBuildings system is connected to a BIM server where BIM models are stored (in this
case the IFC model of the facility). This server stores and manages all facilities properties and information and
communicates with the presentation layer whenever is needed.
Figure 2: Snapshot of the 3IBuildings interface (Lisbon

Aquarium)
Figure 3: Snapshot of the 3IBuildings interface (Luzs Hospital)
4.3. 3i Building Technology Architecture

For this research project an interoperable architecture was developed that enables to collect data from the several
case studies. For that purpose it was necessary to set an IT infrastructure capable of aligning the specific needs of each
case study and neutralize the effects of latency Wide Area Network (WAN), providing an enjoyable and usable
environment for users, who can access to the management system through cloud computing (Fig. 4). Given the
geographic dispersion of the study areas and location of the research teams, the IT infrastructure had the central location
at the laboratory of Siemens headquarters, in Portugal. The laboratory is equipped with servers and router to
communicate with the equipment installed at each case study.
The 3i Buildings solution protocol can be regarded as an additional layer over TCP, adding (i) a security model; (ii)
a layout name and address to support multiple services on a same port and multiple name servers within the same IP
address; (iii) a framework mechanism; and (iv) a new request for closure. The goal is to make the solution closest
possible to the standard TCP, but taking into account present requirements of web. Supported by the HTML this
technology enabled the creation of a bidirectional communication channel, persistent, real-time, on a single socket. To
prevent security problems, a set of best practices were implemented such as the encryption through the Transport Layer
Security (TLS) protocol. The way to protect a web application against Cross Site Scripting (XSS) attacks was to ensure
that the application validates all the data received as input, including headers, form fields, cookies, query words and
hidden fields.
The comparative performance test between the 3i Buildings server and prototype has shown that the protocol used
enables a more efficient bandwidth use and a smaller number of messaging for the same amount of information. The
protocol has been developed for especial use in Web browsers and servers, and to support Web applications that require
real-time communications.
32
Siemens
Alfragide
LAB BT
Norte Shopping
NA1
NA2
51
NA3
52
NA4
53
54
NA5
IP Lan : xxx.xx.xxx.255
Gateway: xxx.xx.xxx.254
Mask : xxx.xxx.xxx.0
IP WAN : Public IP
DNS 1: xx.xx.xx.173
DNS 2: xx.xx.xxx.41
55
SC1
220
254
VPN
N
MM8000
254
IP Lan : x.x.x.x
Gateway:
x.x.x.254
Mask :
xxx.xxx.xxx.0
10.10.100.1
10.10.100.2
SP2
VPN
A
Public IP
225
SP1
228
3i Buildings
CPS
Hospital da Luz
LC1
11
LC2
SP3
230
Desigo
Oceanrio
LA1
LA2
51
12
52
LA3
53
LA4
54
OC1
VPN
O
VPN
L
OC2
11
12
100
OC4
13
14
100
Ganetec SW
OD1
254
LP1
OC3
254
Desigo
IP Lan :
AA.A.AA.A
Gateway:
xx.x.xx.xxx
Mask :
xxx.xxx.xx.0
21
OP1
PX Desigo
Ganetec SW
Siemens SA 2013 All rights reserved.

2014-12-16
BT Portugal
Figure 4: 3i Buildings IT Architecture
5. Conclusions
The 3iBuldings promotes the link between the content generated by people and by "things, creating an integrated
intelligent network of building services able to adapt the building and interact with their users.
The system has been implemented in three different case studies and the results are now being collected, such as
temperatures, occupation, user satisfaction, CO2 and Humidity levels as well as people flows between closed spaces.
At same time the optimization algorithms are being developed and improved, based on the collected data.
Globally the results obtained until now are very positive and aligned with the initial expectations. The 3D
environment is seen as a value added tool for managers and the intelligent system is capable of improving energy
efficiency and users satisfaction.
Acknowledgements
This work was funded by FEDER through the COMPETE program and by Portuguese National Funds through
FCTFundao para a Cincia e a Tecnologia, and promoted by Siemens Portugal.
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Forefront of the Future Internet, in Domingue, J. Galis, A., Gavras, A., Zahariadis, T., Lambert, D., Cleary, F., Daras, P., Krco, S., Mller, H.,
Li, M.-S. , Schaffers, H., Lotz, V., Alvarez, F., Stiller, B., Karnouskos, S., Avessta, S. and Nilsson, M. eds. The Future Internet: Lecture Notes
in Computer Science, v. 6656, Springer Berlin Heidelberg, 447-462.
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Cooperation Frameworks for Open Innovation, in Domingue, J., Galis, A., Gavras, A., Zahariadis, T., Lambert, D., Cleary, F., Daras, P., Krco,
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34
A big data-based workers behavior observation in China metro

construction
Lieyun Ding, Shengyu Guo
Huazhong University of Science and Technology, 1037 Luoyu Road, Wuhan and 430074, China
Abstract
Metro construction passes beneath through cities and has characteristics of straitness field and complicated surroundings, which
lead to frequent accidents, especially because of the worker's unsafe behavior. BBS is one of the construction safety management
methods, aiming to observe, analyze and correct worker's behavior. In order to reduce the negative impact of limited
behavior observation on BBS, this paper proposes the framework of behavior observation in China metro construction based on big
data, which includes: (1) establishing behavioral risk knowledge base; (2)collecting image data reflected worker's unsafe behavior
through intelligent video surveillance system and mobile app; (3) establishing big data cloud platform for storing data by
distributed file manager. We verified its availability from an example that it can analyze semantic information contained in images
effectively, extract worker's unsafe behavior knowledge automatically , retrieve the cloud platform quickly as well. Currently, this
research has been utilized in partial construction lines in Wuhan metro and we have got massive valuable behavior observation data.
Keyword: Big data, Behavior observation, Unsafe behavior
1. Introduction
Nowadays, China's metro construction is entering a new period when construction speed and scale are both the first
in the world, with 94 lines in operation, 120 lines in construction and over 150 billions gross investment .At the same
time ,we cannot ignore the frequent occurrence of accidents which mainly because of worker's behavior. After studying
nearly 75000 accidents, Heindrich found that 88% of safety accidents were due to human's unsafe behavior[1].
Therefore, in order to reduce incidents and improve performance of site safety management, it's necessary to pay highly
attention to human's unsafe behavior[2]. It is also necessary to study behavior safety because it turns out that unsafe
behaviors can be controlled by reasonable measures, even by workers themselves[3]. Behavior-Based Safety(BBS),
also named Applied Behavior Analysis(ABA) in some other studies[4], is an effective way to conduct and encourage
behavior improvement[5, 6] and focuses on what people do, analyzes why they do it, and then applies a researchsupported intervention technique to improve behavioral processes[7]. BBS was also applied in construction phase in
some researches[8, 9], aiming to observe, analyze and modify workers behavior. containing following steps: (1) listing
unsafe behavior list which needed critical focus in construction site; (2) observing worker's unsafe behavior and
recording its frequency; (3) giving feedbacks and correcting their unsafe behavior. Among above steps, step 2 is very
significant. Past observation relied primarily on people, so there existed three problems: (1) time-consuming and hardworking; (2) need to observe numerous samples; (3) need worker's active cooperation. This paper introduced behavior
observation method of metro workers based on the large data, aiming to solve these problems by classifying, collecting
and storing image data of site workers.
35
2. Framework of big data-based behavior observation

The framework of observation is shown in Fig. 1, including three parts: (1) data classification; (2) data collection;
(3) data storage. Firstly, listing unsafe behavior according to the subway construction safety standards,
operating instruction, accident cases and expert experience, then listing construction WBS(Work Breakdown
Structure)-classifying worker's unsafe behavior in different construction phase and encoding, by combining with metro
classification standard. The second step is collecting data which is derived from photos taken by monitoring videos
and site workers(workers or managers), worker's unsafe behavior are recognized and recorded by rule-based camera
behavior analysis technology, and indentifying photo's semantic information and matching it with unsafe acts in our
knowledge base by means of JHA(Job Hazard Analysis) and VSM(Vector Space Model). By this step, it realizes the
recognition of behavioral risk and the collection of worker's behavior data. Thirdly, storing collected multisource isomerous data(structured data and unstructured data) by HDFS in big data-based cloud platform. It is possible
to realize behavioral risk visualization because recorded images of unsafe behavior are marked by
complete semantic information, what's more, it lay the foundation for future correction of worker's behavior.
Data Classification
Accident
Cases
Expert
Experience
Data Collection
Standard for
differentiating
work
Safety
Standard
List of
Critical
Unsafe
Behaviors
List of
WBS
Monitoring
Video
Mobile Phone
App
Behavior Analysis
JHA&VSM
Photos of
Unsafe
Behaviors
Videocapture
of Unsafe
Behaviors
Data Storage
Behavioral Risk
Visualization
Big Data Cloud Platform
Operating
Instruction
Data Flow
Work Flow
HDFS
Data
Source
Data
Storage
Data
Data types
Process
Behavioral Risk
Classification
and coding
Behavioral Risk
Recogniton
Structured Data
Unstructure Data
Fig. 1. An overview of data classification, collection and storage in the framework of big data-based behavior observation
2.1. Classification and coding of unsafe behavior data in metro construction

This research classifies unsafe behavior in different types, considering China's actual situation and metro
construction's specialty, and encodes them by combing with subway construction work breakdown structure, finally
develops the behavioral risk knowledge base of subway construction.
Firstly, organizing unsafe behavior list in four aspects: safety standards, operating instruction, accident cases and
expert experience. This paper uses several standards as references to list partial unsafe behavior in metro construction
without clauses and points of objects' unsafe condition, for the reason that domestic metro construction must obey
specified laws, regulations, standards and norms. In addition, this research collects 1731 accident cases of domestic
subway construction in 2008-2013 to number incidents caused by people and analyze accident mechanism and exact
worker's unsafe behavior. Besides, common unsafe behaviors at worksite is summarized to complete unsafe behavior
list of metro construction by collecting safety management data of nearly one hundred construction sites in cities of
Shenyang, Wuhan, Zhengzhou, Shenzhen and etc.
Finally, 522 unsafe behaviors of seventeen different types are summarized, including civilized construction(01),
fire fighting(02), scaffold(03), pit support engineering(04), formwork engineering(05), the construction of shielddriven tunnel(06), the construction of tunnels by mining method(07), safety protection(08), tower crane(09), gantry
crane(10), building material elevator(11), lifting(12), construction equipment(13), tunnel rail line area(14),
manual hole digging pile(15), blasting(16), construction electricity(17). The partial unsafe behavior list of the lifting
work is shown in the following table 1, including columns-name, code, possible injury.
36
Table 1. The list of several unsafe behaviors about .lifting

The name of unsafe behavior
Code
Possible injury
Whether the weight of suspended objects exceed

machine's rated load is not verified
001
Crane accident
Transporting workers by hanging object
002
High falling
Placing other moving objects on the hanging object
003
Object strikes
Besides, classifying metro construction project into five classes-unit project, subunit project, subsection, tender
subsection and branch item, according to the standard of urban railway traffic engineering in cities(Beijing,
Chongqing, etc). Encoding classified unsafe behavior in the following rule, according to worker's unsafe behavior list
and WBS of metro construction: unit project-subunit project-subsection-tender section-branch item-type-unsafe
behavior.
2.2. Collection of metro construction behavior data
2.2.1. Worker's behavior observation in metro construction by video monitoring
The behavior observation system of metro construction workers in the basis of video monitoring consists of two
parts, Its hardware environment is consisted of webcam, POE power module and a switching fabric while its
software environment is consisted of camera behavior analysis technology. The system indentifies worker's unsafe
behavior captured by webcam according to preset rules and then managers can view images stored in the large data
cloud platform in PC or mobile devices timely.
Among them, camera behavior analysis technology is the core, The table 2 shows its several possible functions and
explanations in all areas, and for these features, it is possible to apply this method to observe worker's specific unsafe
behavior by combining with actual worksite situation. The third column therein lists partial recognized unsafe behavior
of workers.
Table 2. Camera function and its application in construction
Function
Functional explanation
Application in construction
Intrusion detection
Analyzing, positioning and tracking objects

entering into prohibited area
Workers enter into lifting dangerous area
Stay identification
Tracking over-stayed objects in protected area
Workers stay too long at the edge of the

foundation pit
Reverse detection
Monitoring objects moving against the rules
Crane-driving and excavator-driving violators
2.2.2. Worker's behavior observation in metro construction based on the site photos
This paper discusses the observation data collecting system based on the site photos, explains the affecting factors
of worker's unsafe behavior by means of JHA, finally matches unsafe behavior items described by observers in
specified rules via VSM method.
JHA is an analysis method of eliminating and controlling dangers by ensuring potential dangers in every stage and
then putting forward safety management regulations. JHA's precise describing words can also be used in describing
unsafe behaviors in metro construction because construction behavior risk also exist in an given activity of a given
stage. Therefore, we stipulate observers describe worker's unsafe behavior in the following structure: Action(s)
executed on object(s)-worked-on using resource(s) at location(s) with nearby object(s) and nearby action(s).
As shown in Fig. 2, reflecting the unsafe behavior of " There is a worker doing the welding work around the
excavator during the excavation of foundation pit". Its semantic structure is "Digging(action) soil(object-worked-on),
in the foundation pit(location) using excavator(resource), there is a worker in the dangerous area(nearby object)
doing the welding work(nearby action)", so we can see its potential risk brought by this behavior clearly.
37
Fig .2. An example of the photo analysis
On the one hand, we ask for the training observers(site managers or workers) to describe collected photos in the
structure above, then exacting six affecting factors keywords from the text to stick semantic labels on each picture; On
the other hand, we define all of the 522 unsafe behaviors with these six keywords. So, we transfer the analysis of which
unsafe behavior is in accordance with observer's describe into the analysis of the similarity of its six keywords.
This research uses VSM(Vector Space Mode) to analyze the similarity of keywords. Specific analysis steps are as
follows: (1) calculate the weights of the key words by TF-IDF method; (2)determine document vectors of listed unsafe
behaviors; (3)determine the query vector of keywords exacted from photo's description; (4) match photo with unsafe
behavior via querying the angles between the query vector and different document vectors by means of Cosine Law.
The document vector of unsafe behavior entry k in the vector space and the query vector of photo's description l are
shown as:
V (d k ) = {W1 , W2 ,......, WN }
(1)
queryVectorl = {W1 , W2 ,......, WN }
(2)
Including: V (d k ) means the corresponding vector of unsafe behavior entry k , queryVectorl means the corresponding
query vector of photo's description, N means the Nth keyword of vector space.
Calculating the angle between the query vector and document vector via the Cosine Law, then, matching the photo
with the listed unsafe
behavior entry according to the similarity of the document.The following Fig. 3 shows the
document vector V (d k ) and query vector queryVector visually. By calculating, the larger the cosine, the smaller the
angle and the higher the similarity.
l
Fig. 3. The expression of cosine angle between the query vector and document vector in VSM
38
We develop a mobile APP for collecting site photos. By this app, managers or workers take photos reflected unsafe
behaviors in daily work and then describe the photos in pre-set semantic rules.
2.3. The cloud platform based on the large data
The image data of unsafe behavior collected from the monitoring video and the site photos will be stored in the big
data cloud platform. In order to meet the demand of storage of large amounts of behavior data, this research adopts the
Apache Hadoop to realize the platform. The design idea of the Hadoop is originally from the GFS and MapReduce of
Google. Users can store and apply the distributed mass data without understanding the detailed situation of the
distributed system in the basis of the infrastructure established by the Hadoop. Data analysis service provided by the
platform aims at correcting worker's unsafe behavior later, therefore will not be discussed here in detail.
In this research, the big data cloud platform collects data from the surveillance video and the phone app, behavioral
risk knowledge base, schedule management information and the identified image's semantic information.
The data in the big data cloud platform is stored at the HDFS, which is short of the Hadoop Distributed File System.
The HDFS, based on the Java version of the Google GFS, provides a distributed file system satisfying the demand of
Huge amounts of data calculation and Scalable extension.
The image data exacted from various resources in the platform can support the records' scientific effectively, while
the Fast reading and writing data services provided by HDFS guarantee storage and retrieval of data, realize the
visualization of the behavior risk as well.
3. Conclusion
This achievement has been applied in the construction phase of Wuhan metro line 3 and line 6, containing 15
stations and 8 running tunnels. The data collected by the surveillance video or the mobile APP in daily observation is
more than 300GB, containing over 150 thousands of image data reflected worker's unsafe behavior with complete
semantic information. Therein, the number of images exacted from the monitoring video is bigger than from the site
photos, while the kind of reflected unsafe behaviors is smaller, but with the accumulation of the data, it can guarantee
the complete collection of worker's unsafe behavior to some degree. In addition, the application of HDFS distributed
document manager with characters of high reliability, high performance and easy extensibility can provide effective
storage and quick retrieval for the behavior large data.
References
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And Practice, vol. 138, pp. 296-304, Oct 2012.
[3] H. Lingard and S. M. Rowlinson, Occupational health and safety in construction project management: Taylor & Francis, 2005.
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of Safety Research, vol. 31, pp. 135-142, 2000.
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[8] W. F. Maloney and G. R. Smith, A behavior-based approach to construction: Applied behavior analysis for construction safety. Leiden: A a
Balkema Publishers, 1999.
[9] D. W. Chen, D. P. Fang, and J. L. Zhou, Behavior Based Safety (BBS) for Accidents Prevention and Positive Study in Construction Site vol. 7.
Beijing: Science Press Beijing, 2008.
39
Enhanced localization for indoor construction

Magdy Ibrahim *, Osama Moselhi
Concordia University, Building Engineering Department, 1515 Catherine W St., Montreal, Quebec,
Canada H3G 2W1
Abstract
Considerable research work had been conducted in recent years embracing the utilization of wireless technologies in construction
with a focus on identification of locations of material, equipment and personnel. A fundamental key for reliable and accurate use of
these technologies is path loss models, which are used to estimate distances based on received signal strength (RSSI). This paper
introduces a newly developed path loss model accounting for signal de-noising using a Kalman filter. The developed model is tested
using four wireless technologies (WLAN, Bluetooth, Zigbee and Synapse SNAP), 20 experiments were carried out in laboratory
environment and 1500 data sets were analyzed to investigate the accuracy of distance estimation. The results show an average of
50% enhancement in the distance estimation accuracy, which considered a potential for enhanced localization on indoor construction
jobsites.
Keywords: Indoor Localization; Pathloss models; RSSI de-noising; Enhanced localization
1. Introduction
In construction management domain, several researchers have investigated indoor localization with a focus on
automating the progress of tracking and control, using a wide range of wireless technologies. The deployment of such
tracking technologies are severely impacted by the conditions of the surrounding environment such as the presence of
moving resources, metallic objects and extreme weather events (Caron et al. 2007). Wireless based tracking
technologies utilizes propagation models to convert measured received signal strength (RSSI) into corresponding
distances between a transmitter unit and a receiver unit.
Researchers experimented with multiple wireless technologies specially radio frequency identification (RFID), ultra
wide band (UWB) and wireless local area network (WLAN). Each technology has its own inherited advantages and
disadvantages, accuracy, cost, coverage range, deployment requirements and scalability (Mahalik 2007). RFID was
utilized for object tracking without localization (Goodrum et al. 2006; Jaselskis et al. 1995), tracking with localization
(Ergen et al. 2007b; Montaser and Moselhi 2014) or for outdoor localization supported by GPS (Ergen et al. 2007a,
Montaser and Moselhi 2012). Li and Becerik-Gerber (2011) reported that passive RFID tags are a cost effective solution
for indoor localization, however they suffer from their short read range, which entails the deployment of a large number
of tags and hence additional cost. Researches utilizing ultra wideband (UWB) reported higher localization accuracy of
approximately < 1m (Teizer et al. 2007; Rueppel and Stuebbe 2008; Khoury and Kamat 2009). However, the
measurement accuracy is highly dependent upon the line of sight of the point to be located (Aryan 2011). Furthermore,
cost of commercially available hardware is very high. WLAN is an attractive solution for indoor localization because
of the availability of its universal infrastructure (Mazuelas et al., 2009). However, several researchers found that its
* Corresponding author. Tel.: +1-514-632-5080; fax: +1-514-848-2424.
E-mail address:magdy.omar@yahoo.com
40
accuracy to be low; approximately 47 m with 97% confidence (Bahl and Padmanabhan 2000; Elnahrawy et al. 2004;
Deasy and Scanlon 2004; Khoury and Kamat 2007; Khoury and Kamat 2009; Woo et al. 2011). Jang and Skibniewski
(2007) implemented combined radio frequency and ultrasound architecture using ZigBee wireless sensor modules for
indoor position estimation. However, traditional ultrasound positioning is limited by line of sight, which can be
challenging in complicated construction environments (Shen et al. 2008). Combinations of RFID and ZigBee based
sensor networks have also been experimented with by researchers for material tracking and supply chain management
(Shin et al. 2007; Cho et al. 2011). In these studies, RFID tags were used for identification of construction materials,
and ZigBee communication was used for wireless data transfer. While, wireless sensor network (WSN) was only used
in these studies for data transfer, they confirmed the positive contribution of WSN to communication efficiency and
network flexibility.
The dynamic nature of construction jobsites severely impacts the accuracy of location estimation. In the presence
of moving resources, metallic objects and barriers to line of sight, signal propagation models produce poor distance
estimates. In order to alleviate such impact, smart and adaptive path loss models are required to filter out inherit noise
and to cope with the fast-changing environment on site. This paper is motivated by such need and aimed at the
development of enhanced localization method incorporating a Kalman-based path loss model; accounting for filtering
and de-noising of RSSI, which contributes to an increased accuracy of location estimation.
2. Characteristics of Indoor Environment
Theoretical laws of electromagnetic wave propagation describe propagation losses when waves are travelling in
ideal free-space situations, which become very challenging when applied to actual indoor localization situations. These
challenges arise from the lack of prediction methods for actual propagation losses on complex and dynamic jobsites.
In ideal free-space situations, electromagnetic waves travel or propagate in direct rays from transmitter to receiver.
However in actual situations, waves pounce as they are reflected and scattered from surrounding environment such as
floor, ceiling, walls and various objects. Which in turn cause multipath waves, which can be either constructive or
destructive, resulting in a positive or a negative effect on the received signal strength. Such interference is more
complicated in dynamic and continually changing environments such as construction jobsites. Free-space path loss
propagation models are not suitable for indoor localization in real world environment due to presents of shadow fading
and multipath effects. It is important to investigate signal propagation in real situations in order to design a more
realistic propagation model which is able to handle uncertainties and noise in RSSI measurements. In the following
section, real signal propagation scenarios are analyzed in order to provide solutions for indoor localization in
construction jobsites environment.
In order to investigate indoor propagation of different radio signals in indoor environment, 21 experiments and 1095
data sets were recorded for more than 2190 minutes (Ibrahim and Moselhi 2014). Four wireless technologies (WLAN,
Bluetooth, Zigbee and Synapse SNAP) were used in the experimentation. A straight line setup is used to measure the
RSSI propagation as shown in Figure 1. The path is 20 m long, straight track with 20 waypoints with a distance of 1 m
between two consecutive waypoints. Two stationary sensor nodes are placed next to the track at 0 m and 21 m.
Figure 1. Straight line experimental
41
The collected RSSI from the above experiments were analyzed to evaluate the variability in measured signal. It was
clear that RSSI is affected by random changes in the physical properties of the surrounding environment or even a
group of people passing around the transmitter or receiver as shown in figure 2. Such variations in the RSSI readings
(even when the node is at standstill) produce huge errors in the estimate distance. A simple moving average could be
used to filter out small oscillations in the RSSI, however in order to filter out significantly high frequency noise, the
window size of the filter needs to be large. The system latency is highly affected by the size of the filter window,
therefore a large filter window is not suitable for real-time applications.
Figure 2. Real-Time RSSI VS Filtered RSSI
3. Developed Method
RSSI measurements presented above are unreliable for distance estimation due to noise interference. The aim of the
developed method is to produce a signal which is representative of the original RSSI but less noisy and suppresses
interferences caused by surrounding environment, which in turn increases the accuracy of location estimation. The
developed method incorporates a Kalman filter to reduce noise in RSSI, while maintaining the shape and height of its
waveform peaks as shown in Figure 3. The received RSSI is processed by a Kalman filter to de-noise the signal, and
then converted to the corresponding distance using a path loss model designed based on the filtered signal. Once three
distance estimations are generated, estimates of tag locations can be produced using a trilateration algorithm.
Figure 3. Developed Method Block Diagram
42
Kalman filter was first introduced in 1960 to present a solution for discrete data linear filtering problem (Kalman
1960). Since then, extensive research and application had been proposed particularly in the areas of robotics and
navigation. The key advantage of the Kalman filter is its simple computational algorithm, adaptive recursive nature,
and its status as the optimal estimator for one-dimensional linear systems with Gaussian error statistics (Anderson and
Moore 2012). Kalman filter estimation process is based on a feedback loop control system. Which first estimates the
process's state at a point in time and then obtains feedback of measurements. This feedback measurement is used to
adjust the model parameters for next estimate. The model assumes that the state of a system at a time t evolved from
the prior state at time t-1 according to the equation
Xt = At Xt1 + Bt ut1 + wt
(1)
Zt = Ht Xt + vt
(2)
where Xt is the process state vector at time t, At is the state transition matrix which is applied to the previous state
Xt-1, ut is the control input vector, Bt is the control-input model which is applied to the control vector ut, and wt is the
process noise which is assumed to be drawn from a zero mean multivariate normal distribution with covariance Qt.
At time t a measurement Zt of the true state Xt is calculated according to
Where Ht is the measurement model for mapping true state space into measurement space and vt is the measurement
noise which is assumed to be zero mean Gaussian white noise with covariance Rt.
The Kalman filter recursive estimator model as shown in Figure 4 has two phases, the prediction phase, which
estimates the priori process state at next observation time, and the correction phase, which incorporates a new
measurement into the a priori estimate to obtain an improved a posterior estimate.
Figure 4. Kalman Filter Recursive Estimator Model
In the context of RSSI de-noising, a simplified version of the above equations will be used. It will be assumed that
the process is governed by a linear equation:
Xk = Xk1 + wk
(3)
= +
(4)
= 1
(5)
With a measurement equation:
And Hence the Kalman filter prediction phase equation can be rewritten as:
= 1 +
(6)
43
And the measurement update equations are:

= ( + )1 =
(7)
= +
(8)
= (1 )
(9)
It is assumed that the process has a very small variance Q=1e-5 (for filter tuning flexibility). The initial seed for the
filter, Xk-l will be assumed to be zero. Similarly the initial value for Pk-1, which is called P0 will be any value but not
equal to zero. The measurement variance R will be initially assumed very large number in order to express the
uncertainty in the measurement accuracy.
The Kalman filtered signal is used to generate the RSSI propagation model, which will be used for distance
estimation and hence location estimation. Figure 5 illustrates the Kalman filtered RSSI with respect to the actual
distance between the transmitter and receiver nodes. Least square method is used to fit this relation in exponential
equation format:
RSSIA
d = e
Where A & B are constant confidents and d is the distance between the transmitter and receiver nodes.
From the Figure 5, the distance can be estimates as:
RSSIfiltered +38.909
8.989
d = e
(10)
(11)
Based on RSSI measurement and signal propagation model described in sections above, the following section is
aimed to test the localization accuracy with the filtered RSSI in comparison to raw RSSI based localization. The
trilateration (Karl and Willig 2007) algorithm is applied, where the position of an object (tag) is calculated based on
its estimated distances from fix location devices (readers) (Stber and Caffrey 1999).
Figure 5. Kalman Filtered RSSI Vs Actual Distance between Tx And Rx Nodes.
4. Testing and Validation

For validating the developed method, experiments were conducted using a grid formation test bed, where readers
are installed at the corners of the area, then tags where placed one meter apart in the grid formation shown in Figure 6.
Experiments were conducted in indoor lab environment at Concordia Universitys Construction Automation Lab.
Location error is calculated as the distance in meters between the estimated and actual locations using Eq. 12.
44
= ( )2 + ( )2
Where: (X, Y) is the actual tag location, and (a, b) is the estimated tag location.
(12)
Figure 6. Grid Formation Test Bed
Figure 7 shows graphical display of a sample for actual verses estimated locations of tags using both traditional
unfiltered RSSI and the proposed filtered RSSI signals. The orange triangles represent the actual locations, the black
crosses represent the calculated locations using raw RSSI and the red circles represent the calculated location using
the proposed filtered RSSI method.
Figure 7. Graphical Representation of Actual vs Estimated Tags Locations
The results show higher uncertainty and variances in location estimation using raw RSSI, which can be identified
from the scattered nature of the calculated location. On the other hand, the locations estimated using the proposed
filtered RSSI indicated higher certainty and less variances in the estimated locations. Such higher certainty is translated
into less location estimation errors as shown in Figure 8a, where the mean location error using raw RSSI and Kalman
filtered RSSI method were 1.67 and 0.66 meters, respectively.
The cumulative probability density functions (CDF) of the distance error are usually used for measuring the
precision of a system. To compare two positioning techniques with respect to accuracies and precision, the technique
whose CDF graph reaches high probability values faster is more preferable, because its distance error is more
concentrated in small values. In order to compare the proposed localization technique to those developed by others,
the distance error CDF of the proposed technique is compared to the CDF graph for the system developed by Montaser
and Moselhi (2014). The proposed Kalman filtered RSSI localization technique has a location precision of 90% within
1.16 m (the CDF of distance error of 1.16 m is 0.9) and 80% within 0.85 m, while the raw RSSI localization technique
has a location precision of 90% within 3.70m and 80% within 2.60m as shown in Figures 8.
45
(a)
(b)
Figure 8. Proposed Method Distance Errors CDF vs Montaser and Moselhi (2014)
Moreover, the system developed by Montaser and Moselhi (2014) has a location precision of 90% within 1.60m
and 80% within 1.40m as shown in Figures 8. The developed localization yields 306% and 165% accuracy
enhancement over that based on unfiltered RSSI and that of Montaser (2014), respectively. In addition, the
computational time required for that of Montaser (2014) is three times the time required for the proposed method due
to the three location reading required in Montaser (2014), which presents higher advantage for the proposed method
in real time localization applications.
5. Conclusion
Despite recent advances in wireless sensor technologies, mobile computing, and tracking techniques, indoor
localization remains a technically challenging problem. Modeling indoor radio frequency signal propagation is not a
simple task, especially in harsh and dynamic environments such as construction jobsites. This research presented an
efficient localization method utilizing low cost radio frequency hardware modules for indoor localization based on
RSSI signal smoothing and filtering. The proposed signal smoothing technique, which utilizes Kalman filter, not only
increases the certainty in the estimated locations, but also enhanced the localization accuracy by over 300% of that
based on the use of unfiltered RSSI. Such enhancement can be attributed to the filtering of the uncorrelated signal
noise.
To evaluate the performance of proposed method, several indoor experiments were conducted in lab environment.
The proposed method produced location estimates with an average error of 0.66m in comparison to 1.67m using
unfiltered RSSI signals. And with a likelihood of 80% the localization error of the proposed method is 0.85m in
comparison to 2.60m using unfiltered RSSI signals. Moreover the performance of the proposed method was also
compared to that previously developed by Montaser and Moselhi (2014) using the cumulative distribution function
(CDF) of localization errors. It was found that the proposed method outperformed their method by 138% with a
likelihood of 90%. The developed method is expected to improve indoor localization applications in construction such
as automated project control and onsite safety.
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47
Heavy lift rigging algorithm for construction operation (iRigging)

Jacek Olearczyka*, Muntaseer Kainata, Joseph Kosab, Samer Adeeba , Mohamed AlHusseina *
a
Department of Civil and Environmental Engineering, University of Alberta, Canada,

b
Northern Crane Services Group Engineering Ltd., Acheson, Alberta
Abstract
On large construction sites, cranes are the most visible equipment used to place objects at specific locations. Due to the increased
cost of on-site construction labor, owners are forced to look for off-site options where controlled environment, reasonable labor
cost, time, and quality workmanship are less expensive. This growing trend has resulted in the necessity to transport and lift larger
and heavier objects for on-site assembly operations. Consequently, the demand for larger cranes and higher capacity of rigging is
ever increasing. The number of crane rigging components depends on the size of the object, which is required to be lifted vertically
to keep the total weight (amount of bracing for compensate lateral forces) within certain limits. In the heavy oil industry, process
modules of 120-140 feet in length are common and traditional rigging requires many types of specific components including
adequate shackles, turnbuckles, slings, spreader bars, etc. Rigging engineers and practitioners perform careful and diligent analysis
for every lift. Some crane rental and construction management enterprises are developing lift frames for heavy oil process modules
to reduce the crane head-room and minimize the rigging modification time due to the object center of gravity offset. The iRigging
application algorithm presented in this paper captures expert knowledge of calculating rigging line acting force and assigning proper
line components with adequate capacity. For traditional riggings, the proposed algorithm with predefined minimum triangle angles
automatically outputs required slings length, number of shackles, or spreader bars. For lift frames, the algorithm identifies modules
for lifting, position under the hook (center of gravity offset), and approximate time for each lift. iRigging algorithm is part of a more
complex program known as iCrane with assembly site identification, crane selection, location, mat design, object lift trajectory, and
visualization options.
Keywords: Algorithm; Crane lift; Lift frame; Rigging
1. Introduction
On remote heavy oil construction projects, on-site construction is the most expensive activity. The necessity to
reduce on-site work has created the trend to prepare ready process equipment packed in the steel module off-site, and
then transport and assemble on-site like a puzzle. This modular construction method is not new to the industry.
However, with the constant growth of the industry, the increasing size and weight of the modules pose challenges that
required an out-of-the-box approach. This paper illustrates concerns related to crane rigging design and its associated
equipment selection. While, rigging has existed as long as cranes have been used to lift objects, its complexity and
importance are not always properly addressed. Although the industry has produced some books [6] and manuals [8],
there is limited research information that teaches readers the basics of rigging techniques. Some rigging equipment
producers release instructional pamphlets containing information to properly assess, calculate, and assemble simple
* Jacek Olearczyk. Tel.: +1 780-492-1637; fax: +1-780-492-0249.

E-mail address:jaceko@ualberta.ca
48
rigging. At first glance, rigging calculations may appear simple, but that assumed simplicity may cause practitioners to
overlook specific issues which may place an entire lift in danger, as was reported a few years ago in USA [9]. Rigging
equipment not only reduces crane head-room (maximum distance between crane hook and ground for particular crane
capacity) [3, 5] but also increase the weight, which must be taken into account while analyzing crane configuration and
lifting capacity. In some cases, this can be critical for the lift. Rigging components are subject to periodic inspections
for the wear factor, marking, and structural damage, and must be sent back for repair to qualified repair shop. In some
cases, maintaining and storing the large number of rigging parts poses problems at a construction site, and requires
dedicated personnel to maintain proper inventory. The rigging price in only a fraction of the entire crane rental cost,
and some crane rental companies provide their rigging equipment at no-charge for the project or performed lift. From
the perspective of a project owner, the rental of rigging equipment for an unknown period of time (project duration
maybe longer than initially planned) could be more costly that purchasing sets of rigging components and donating to
the crane renting enterprises at the end of the project. This situation is very common in most heavy oil construction
sites, which creates an overstock of shackles and slings that are not properly utilized. The proposed algorithm will have
options to identify the individual rigging components and their testing time status.
2. Challenges
Crane or construction companies are reluctant to share or rent their rigging inventory due to several reasons: they
required exclusive use during a project, bidding competitive advantages for project, possible damage and costly
replacement, etc. This particular situation refers to components for traditional rigging items. In the case of lift frames,
however, the scenario is different. Lift frames [1] are designed for repetitive lifts of similar objects. Heavy oil industry
companies build their processing plants from modules, which are similar in size and weight. Figure 1 represents the
lifting of a typical pipe rack module and Figure 2 depicts the assembled modules at the processing plant.
Figure 2. Processing plant assembled pipe rack modules
Figure 1. Typical pipe rack module
2.1. Lifting and transportation rules

Engineering bureaus, which are responsible for the proper design of processing plants, must consider the direct
process equipment and by what method this equipment will be supported, transported, and lifted to the final destination.
They must understand the procedures for transporting and lifting the modules in order to design the module frame,
columns and braces accordingly. Figure 3 shows a typical module structure and an undesired method of lifting (red
arrows). This incorrect lifting method creates additional horizontal compressive forces, which are usually compensated
for by additional bracing components in the frame structure. Figure 4 shows the same module where bracings (green
arrows) are used only to maintain the structural integrity of the assembly, but not to compensate for the lifting
operation. Small loading force diagrams are embedded in each lifting method. The lifting operation is rarely a driving
factor for designing structural frame and bracing, while the transportation is a more demanding factor due to the cyclic
loads acting on the structure. However, transportation speed has a large influence on the cyclic load forces, therefore,
it cannot be too slow since such operations are performed during night time hours and cannot be performed during
rush hour.
49
Other additionally important aspects of delivering modules to the construction site are the total module weight and
height, planners must consider designing transportation routes to avoid unsuitable bridge capacity and overpasses with
Figure 3. Non preferable module lift method
Figure 4. Method of lifting module
inadequate clearances. Module lifting lugs are designed to be loaded with vertical loads, minimal side loads, and are
the responsibility of a module structure designer.
3. Traditional rigging
Traditional rigging contains several components that transfer loads from object lift lugs to the crane hook. If module
weight analysis is available, forces are transferred to the lift lug and then through shackles and lines to the spreader
bar where compressive forces are eliminated. Figure 5 shows a typical traditional rigging arrangement for a 14 point
pick. This configuration conatins following: Level I: 7 spreader
bars, 20 slings, 36 shackles; Level II: 2 spreader bars, 12 slings,
12 shackles; Level III: 1 spreader bar, 6 slings, 5 shackles. This
14 point pick configuration requires a total of 10 spreader bars,
38 slings and 53 shackles. Each level has a different capacity
and spreader bar, slings, or shackle, must have larger capacity
than the predecessor level. The situation may change when the
center of gravity (CoG) of the lifted object is offset from its
geometrical center. Ideally, a rigging engineer has the
information about an objects CoG offset prior to performing lift
calculations, and can adequately compensate for the difference
by adding additional shackles above the specific spreader bar. In
some cases, riggers encounter an alternate situation at the
performed
lift. To modify the sling arrangement in short
Figure 5. 14 point pick rigging
Figure 6. Forces
direction CoG, riggers required half of a working day to perform
the adjustments, which then requires several tryouts at the job site before the rigging is acceptable for the lift. Long
direction CoG adjustments may require as much as one full working day of tryout operations. These times may vary
when proper information is available prior to performing a lift. More complicated situations may arise when a modules
CoG is in vertical-alignment with the geometrical center, but the loads vary depending on different pick-points. In
these cases, the forces exerted by the lifted object may be unevenly distributed and may cause damage to either the
structure or the attached components. In some critical lifts, and for the purpose of the research line load cells may be
used to confirm line load calculations. Figure 6 shows forces travelling through the lifted object.
Traditional rigging inventory depends on the number of module lift points (4 to 16) and may include: spreader bars
from 7 to 15, slings from 22 to 34 or more, shackles from 36 to 56 or more, where the total number of inventory items
may be more than 270. In the most advanced configurations (16 point pick), total rigging height may vary from 75 to
165 feet.
4. Lift frames
As an alternative to the traditional rigging, construction contractors and crane rigging companies have developed
lift frames. A lift frame is specially designed rigging equipment that can handle sling compressive forces. In the lift
50
frame, object lift principles are maintained for vertical lift but only to level I of traditional rigging configuration. There
are a number of additional components that may be required alongside frame bars such as lift ears or sling plates, but
the overall configuration significantly reduces the crane head-room height. There are other advantages associated with
employing a lift frame for heavy oil module lifts such as
requiring only 20 to 30 minutes to change rigging for short
direction, and 10 minutes for long direction CoG offset. In
the short direction, special adjusters are designed and
attached to the line components to compensate for line
length increase or decrease. In the long direction, there are
lift sliders or lift windows that can freely move alongside
the bar components. The most important aspect of using lift
frames is that it can completely eliminate the forces
traveling through the lifted object, thus eliminating the
necessity for additional bracings and reducing the total
weight of the lifted object. Figure 7 shows a module lift
Figure 8. Lift frame forces
frame concept where two sets of sling walls transfer loads
Figure7. Lift frame
to the crane hook. Figure 8 shows a side view of the lift
frame where the arrows represent the actual force distribution. In each set of walls, two slings are directly connected
to the frame lugs and they are in the middle of each side. The remaining four slings are connected to the frame lugs by
turnbuckles which can be adjusted for proper line tension. This eliminates the imperfection of the manufactured sling
length and prevents overload to the directly connected middle slings. Top spreader bar function, as mentioned before,
is a main component that compensates compressive forces resulting from the object lifted width size and keeps the
sling walls vertical with respect to each bar. Such position allows the bar lift lugs and the line components to act in
line where these items have more strength. Side-loaded forces would increase line force and at the same time reduce
the capacity of the line components. There are two different lift frames presented where they follow the same principle
but have different long direction sliding parts. One can have more functionality, addressing folding and unfolding
operations by dividing the line into three different sling lengths, while the other is a single line. The three-part line
section is designed to fold like a scissor, but in a real scenario it is sling are curved in different direction due to the its
flexibility. Changing the sling connection from shackles to a more controlled sling plate links does not solve the
problem but improves control of sling flexing action. A one-sling line during folding operation simply folds down as
it flexes, but it does not have any additional connecting items like a three part line and the unfolding operation is much
less complicated.
5. Rigging analysis/calculation and selection
5.1. Traditional rigging
Traditional rigging calculation is based on transferring the loads from the lift lugs to the triangles comprising
spreader bars and attached slings. Each sling must have a calculated force less than the sling capacity. Such
confirmation is taken from a simple mathematical calculation applied at every node (connecting point) and transferred
to the next component for checking. Spreader bars are also analyzed for compression resistance due to attached angled
slings above the bar. These calculations are also designed to consider the CoG offset and provide information about
any additional length to be added (number of shackles) to keep the bar as horizontal as possible. Spreader bar ends are
rechecked in Finite Element Analysis (FEA) to confirm the analytical results. Figure 9 shows spreader bar end FEA
results. After all the numerical values for the particular lines are calculated, a simple selection process can take place
to select the proper line components such as shackles, turnbuckles, slings, or spreader bar. Each traditional rigging
level provides a list of components with type, size, part number, and point to be attached.
5.2. Lift frame
Lift frame analysis is not as simple as traditional rigging. Each bar has several support points (lift lugs) and acting
forces position (sliders or windows). Due to the number and configurations of the pick points and lift lugs, the bar
problem is statically indeterminate in nature. Figure 10 shows lift frame graphical interpretation. Simple structural
analysis approach may lead to inaccurate and less conservative estimates, which can be detrimental considering the
51
dynamic nature of a lift operation. Usually, a safety factor of 3.0 is required to be maintained for each and every below
the hook component of a rigging assembly. Industry practitioners cannot afford to compromise this particular
specification due to the large financial (and other) risks associated with heavy modular construction projects.
Consequently, each and every component needs to be meticulously analyzed before a rigging assembly can be qualified
to be safe. Figure 11 shows bar reaction stiffness method for calculated reaction forces.
Figure 10. Frame graphical interpretation
Figure 11. Bar reaction stiffness method
Figure 9. Spreader bar end FEA analysis
6. iRigging algorithm description

The rigging algorithm called iRigging has been developed slowly during the process of preparing a more complex
program called iCrane. iCrane consists of sets of individual assignments related to a project: crane selection, position,
and lift trajectory; object parameters; site associated aspects of obstruction, ground, access roads, etc; key bone
application; optimization algorithms. Previously rigging information was attached to the object information without
any options or written knowledge code about the selection, and optimization. However, lifted object CoG offset effect
traditional rigging and practitioners compensates line length
Load
cells/
gross
weight
difference by adding shackles. iRigging addresses all issues
Input
Criteria
/ point pick / CoG offset
Object pick-point
Crane Data
beginning
with the lifted object load cells weight data,
restriction
data validation
Minimum sling
through
the
structure of the lifted object, lift lugs, then lines,
Object Data
length
suspending
at
specific intervals from the spreader bars to the
Speader Renting
Shackles Data
Cost
Lines force calculation
crane hook. Figure 12 shows the iRigging algorithm
Slings Data
Standards
flowchart. Input parameters are collected from a database of
available rigging components and lifted objects. Criteria
Turnbuckles Data
Safety codes
describes the information related to area lifting codes,
Lines design
Max rigging
Links Data
weight
specific site rules, general practical rule know-how of
Spreader Bar
Component
Data
capacity
rigging etc. Output shows the default parameters that are
Lift Ear Data
passed on to other programs for further analyses or can be
Assembly optimization/
selection
generated
for individual lift operation. The center frame
Lift Frames Data
contains
six
major activities driving this algorithm. Load
Special
Equipment Data
cells
collect
and validate received data, depending on
Final checking, evaluation
and approval
available information either in traditional rigging section or
frame section. Line force calculation module identifies the
levels
of traditional rigging, then calculates the line forces
Output
depending
on available data (either object load cells report,
Rigging height &
Components
Rigging
Custom Data
weight
inventory
parameters
gross weight without individual cell readout, and
Figure 12. iRigging algorithm flowchart
information regarding CoG offset). It also activates the
method of analyzing lines for lift frame. Line design section
processes the received data and selects proper line components, such as shackles, turnbuckles, or slings based on its
capacity and compare the strength of existing components in lift frames. It also checks loads in lines and assesses
adjustment possibilities due to the CoG offset. Assembly optimization/ selection module optimizes received data lean
52
on information provided by the user, such as cost (buy/rental), availability, configuration option, storage, etc. This
module provides information about replacing the slings instead of using additional shackles when the CoG offset is
too critical. Final checking module is partially automated and would only be valid when iRigging algorithm is
employing as the stand-alone application. Solving only rigging issues in complex iCrane algorithm functions in this
module would be employed in different form and place. Output section also prepares information as indicated by the
client at any stage of the run and provides results as needed. At specific points, the client may require only information
regarding the number of spreader bars or shackles in their own rigging components inventory to compare with
information from renting, etc.
The presented iRigging concept is not only part of the iCrane program but is also a separate application for rigger
engineers and rigging professionals. The application of iRigging will improve over time with the expansion of a reliable
database and the assignment of appropriate criteria. It is a tool that will help individuals make informed decisions with
regard to employing correct components to design a safe crane object lift operation.
If a project requires rigging analyses for several similar object lifts, as emphasized in the oil and gas industry,
algorithm codes may be set for an analysis loop and the optimization module would provide the client with the amount
of rigging required for the entire project.
7. Conclusion
Enterprises involved in heavy oil constructions operation face constant growth in complexity, size, and weight of
process modules that are used to build oil extraction plants. There are many attempts to not only eliminate off-site
labor but also simplify the required on-site tasks involved in the final assembly and adjustments. iRigging algorithm
is part of a set of specific activities related to timely and especially safe assembly operation; there are many necessary
tasks on the job site where safety are non-optional, and therefore can be improved. If this progarm aid in eliminating
even a small amount of this additional site risk, the authors efforts to create this tool will be worth the effort. However,
iRigging algorithm in its current form is the most effective for repetitive lifting of objects with similar size and weight,
and can be modified to accomodate any potential crane lift operation. It is the authors intent to make rigging
professionals aware of the availability and benefits of using the iRigging application.
References
[1] Westover L., Olearczyk J., Hermann U., Adeeb S., and Mohamed Y. Analysis of rigging assembly for lifting heavy industrial modules. Canadian
Journal of Civil Engineering, 41(6): 512-522, 2014..
[2] Lei Z., Taghaddos H., Hermann U., and Al-Hussein, M. A methodology for mobile crane lift path checking in heavy industrial projects.
Automation in Construction, 31: 41-53, 2013.
[3] Olearczyk J., Al-Hussein M., and Bouferguene A. Evolution of the crane selection on-site utilization process for modular construction multilifts.
Automation in Construction, 43: 59-72, 2014.
[4] Hasan S., Zaman H., Han S., Al-Hussein M., and Su Y. Integrated building information model to identify possible crane instability caused by
strong winds. In Proceedings of the Construction Research Congress, ASCE, pages 1281-1290, West Lafayette, IN, USA, May 21-23, 2012.
[5] Olearczyk, J., Boufergune, A., Al-Hussein, M., and Hermann, R. (2014). Automating motion trajectory of crane-lifted loads. Automation in
Construction Volume 45, September 2014, 178-186.
[6] J. Keith Anderson, Rigging Engineering Basics, A practical guide for rigging engineers and lift planner, Industrial Trining International
Bookstore, PO Box 1660, Woodland, WA 98674, ISBN: 987-0-615-93891-2.
[7] Ming-Tuck Sam, Offshore heavy lift rigging analysis using spreadsheet, Practice Periodical on Structural Design and Construction, ASCE,
May 2009, 14:63-69.
[8] The Crosby Group, General Catalog April 2011, Corporate Office, PO Box. 3128, Tulsa OK 74101-3128.
[9] The New York Times, Owner of the Crane Company Faces manslaughter Charges, March 5, 2010, By John Elibon,
53
Implementation of mobile devices on jobsites in the construction

industry
Dr. Anoop Sattineni* and Taylor Schmidt*
*118 M. Miller Gorrie Center Auburn University, Auburn, AL,36849 USA
Abstract
In the construction industry, the use of mobile devices at various stages of a construction project is on the upswing. In the
construction industry having accurate information on the fly is essential to make critical decisions in a timely manner and eventually
compete in the industry. Construction is witnessing efficient and effective ways of using mobile devices for personnel on a
construction site. It is increasingly clear that mobile devices are her to stay in the construction industry because of their ability to
improve communication and productivity. In the United States, mobile devices such as tablets and mobile phones are being used
constantly amongst superintendents and project managers on constructions sites. Large software providers such as Autodesk, are
making efforts to improve availability of building information models on mobile devices for jobsite use. In this qualitative research,
several end users were interviewed to discover how they are using mobile devices on construction sites. Thematic and content
analysis of the interview data was conducted as part of the data collection and analysis procedures of this research. The results
reveal that these devices are increasingly effective in enabling site personnel in a myriad of ways. The benefits of using these mobile
devices on jobsites will be discussed and compared in this paper. Finally, the future of mobile devices and construction technology
will be discussed in this study.
Keywords: mobile devices, construction jobsite, qualitative research, thematic analysis, content analysis.
1. Introduction
Mobile devices in construction were primarily driven by email and text messages that became popular to contractors
through any smart phone that had this capability. Since then, technology has improved tremendously and has brought
forth impressive products such as the iPad and the Microsoft Surface. These two tablets were first presented to the
public less than ten years ago. These devices are designed to be thin and light weight, making its everyday ergonomics
usable on a construction site. Apple and Microsoft have both designed these tablets to handle and process everything
a normal, full-size computer can along with the bonus of mobility and ergonomics. Businesses have immediately
jumped on board in the past decade and have started using these mobile devices to help with employee productivity.
The construction industry has always been known to be behind in technology on the jobsites, as compared to other
industries in the United States [1]. According to most articles, construction companies in recent years started with
devices such as the Blackberry phone. Blackberry phones were driven through their accessibility of email and fast
Internet connection. Now, Apple has taken the Blackberrys place in the construction field with its advancements in
applications for construction with new devices like the iPhone and iPad.
* Corresponding author. Tel.: +1-334-844-4518; fax: +1-334-844-5386

E-mail address: anoop@auburn.edu
54
Bedard [2], director at Verizon Enterprise Solutions, suggests, In construction, one of the biggest recent
developments in project management is the integration of mobile technology. Bedard also mentions that [2], The
tools that help collaborate and eliminate bottlenecks in the three phases of construction- planning, designing, and
building- are rooted in tablets, smartphones, and mobile intelligent hotspots. Companies may be looking for
competitive advantages against competitors, mobile devices seem to be saving time and money on projects and that is
an important factor as well. The industry has taken a large step forward with companies accepting mobile devices and
using them on job sites. Each year, technology of these devices moves forward with new applications allowing theses
devices to be useful in several areas of construction management. The idea for construction companies is that they can
save time, communicate easier, and cut costs with the applications presented with these devices [3]. Mobile devices
should accelerate fieldwork into a place of better productivity and allow for less management inefficiencies. The
construction industry is facing usual pressures to decrease costs, improve field productivity, and have a competitive
edge in terms of quality of service and customer satisfaction. Recent mobile devices and technologies could be one
answer to alleviate these pressures including many other situations such as a software called SmartBidNet, which
simplifies the bid process through an online server for subcontractors [4]. Understanding how companies are
benefitting and stumbling with these technologies can allow for improvements for the future and open the eyes of the
future adopters of this technology. Mobile devices need to be seen as more than a primitive tool with basic applications
but also as an aid to solving various construction related processes at different levels of a project such as being used to
look at digital plans and 3D models.
The construction industry is information-intensive due to numerous pieces of crucial information that need to be
transferred and exchanged during the life of a project [5]. Mobile Devices were first introduced to construction sites
in the 1990s and contained very primitive features. Currently, with the invention of the iPad and similar devices, the
use construction technologies have increased enormously. Some of the larger construction companies in the United
States supply all of their project managers and superintendents with mobile devices for construction operations.
Construction firms in the U.S. with less than $250 million in revenue invest about 1.6% of it on information technology,
while companies with $10 billion in revenue only spend 1.1% [6]. These levels of spending on information technology
(IT) related resources indicate that construction companies are making major investments in the IT area and may well
be using mobile devices in their daily operations.
A survey was released recently found 75% of small to mid-sized construction firms in the United States and Canada
have used a mobile device to access work-related information [7]. A critical element in construction is the
communication between different workers on a construction site. Before mobile devices, there was a significant
problem with interpreting field entries for different areas of a project. Mobile devices enable the worker to collect data
in a more structured format rather than on paper forms in which there are high chances of human error. As an example,
Skanska Construction developed an iOS application for mobile devices to help manage their active hospital projects
across the United States. The application is called iSite Monitor and it measures environmental conditions instantly
and communicates to the project members an alert of any issue the moment they emerge. This communication feature
through the project devices allows for crucial minutes to be saved with some of the hospitals most at-risk patients [8].
Research conducted about on-site document exchange between high and low level employees of a construction firm
found that a mobile communication network could effectively combine information, experience, and competence to
solve specific problems caused by unanticipated events that occur on jobsites [9].
Building Information Models (BIM) is now not only offering opportunities for just construction managers and
designers, but also for the clients and owners. Research by McGraw-Hill Construction, The Business Value of BIM in
North America, shows that BIM adoption in that region expanded from 17 percent in 2007 to 71 percent in 2012 [10].
BIM in todays construction is playing a large role in preconstruction stages for designing and clash detection purposes.
It is also being used on high profile projects to show workers what phase of construction they are currently in and how
their work should look once they have finished for each step of the way. Smart- BIM virtual prototypes are being used
and tested for interior design purposes. This technology uses a smart board and mobile devices to provide a 3D
representation of an interior room. Autodesk, a major player in BIM software has developed new software called BIM
360 Field which allows for mobile management on the job site within a BIM environment.
According to Autodesk, 75% of construction dollars are spent in the field and 25 cents of each dollar spent is wasted.
The workers in the field are able to look at plans, models, punch lists and relay information to others through BIM 360
Field. As construction continues, this software is capable of keeping subcontractors and engineers constantly connected
55
and up to date on all activities taking place on the site. Field informational reports created by this software are
accessible to managers at any time [11]. The ability to digitally collaborate on a buildings physical and functional
characteristics strengthens and deepens partnerships between architects, engineers, and the client [5].
One of the major benefits of using mobile devices on construction sites is being able to use RFID technology to
improve material management. The existing information systems that mainly run on desktop computers cannot operate
efficiently because the materials on construction sites are stored far away from the computers in the office. In recent
years, information systems based from RFID were developed to track steel, pipe, and structural components with
corresponding mobile devices based on a wireless network [12]. These information systems significantly improved
equipment management on construction sites [13]. RFID mobile technologies can also assist in recovering misplaced
and stolen materials on jobsites. During the worst of the economic downfall in the United States stolen and misplaced
material on jobsites reached an all-time high. The National Insurance Crime Bureau estimates that one billion dollars
in metals and equipment is stolen from jobsites each year [2]. Thus, RFID enabled mobile devices connected to
company-owned jobsite materials can save a significant amount of money due to companies not having to pay for lost
or stolen items.
The literature review for this paper was dedicated to get a better understanding of the ramifications of mobile devices
on construction sites. All of the subjects reviewed, from the processes companies are using the devices for to future
prophecies, were intended to contribute towards the investigation of mobile device usage on construction sites. In
contemplation of the literature review for this paper, mobile devices have shown usefulness through three important
aspects of construction; efficiency, financials, and safety. While there were several topics discussed previously on
mobile devices, a majority of the topics seemed to address to the ability of mobile devices saving time or money and
improving safety on construction projects.
3. Methodology
Research methodology is a system of methods used in a particular area of study according to the Oxford Dictionary
Online [14]. Methodology can have a simple meaning as well, being defined as the strategic process of how one goes
about conducting research project. Semi-structured interviews with construction managers and information technology
specialists of construction companies were used as the primary method of data collection in this study. Semi-structured
interviews allow the researcher to explore a topic in great detail and enable a discussion format so that clarifying
questions can be asked. This research involved interviews with twelve individuals either on a construction site or in a
company office. Research has shown that twelve interviews is an acceptable target for qualitative data collection
purposes [15]. The interviewees were all asked the same questions and each interview was conducted in a time frame
of 20 to 30 minutes. The participants in the study were selected based on their knowledge of the subject of using mobile
devices on construction sites or were crucially involved in helping others with the implementation aspects of mobile
devices. Questions to the interviewees focused on the following themes:
Various uses for mobile devices on the construction site
Pros & Cons of using mobile devices in construction
Feedback from end users about use of mobile devices on the construction site
4. Results and Analysis
The data analysis was conducted after coding the interview data and then in two distinct but related methods through
quantitative content analysis and qualitative thematic analysis of the data gathered from the interviews. Use of these
two methods for analysis is intended to reveal all of the critical information behind the context of the information
collected through the interviews. The data itself is presented by separating it into various themes as described in the
research methodology section. Thematic analysis data is presented by the various unique themes identified in the data.
Content analysis data is presented in percentages, by grouping codes by frequency of occurrence.
4.1. Field Uses of Mobile Devices
Understanding how construction companies use mobile devices is an important aspect of this study. The theme of
field uses involved the largest combination of questions in the interview, with four questions related to the field uses
of the mobile devices. The questions that were used in this theme were all in relation to how companies were using
56
their mobile devices in the field and the software/applications involved in the day-to-day processes of construction by
their employees. In the thematic analysis, the questions lead to three categories namely applications, software, and
basic functions as shown in the Table 1. The data revealed that all participants are aware of the new construction
software and are using them in a broad and beneficial ways on their projects. The data analysis showed that construction
specific software related to BIM was being used, such as Autodesk BIM 360, Latista and Procore. This software have
the capability of viewing BIM models, assigning tasks, conducting checklists and using plan rooms for accessing
details of a project. The interviewees reported that applications such as Plangrid and PDF Expert are conventional
because they allow users to digital files and plans from any location for quick solutions. The data also revealed that
several built-in basic functions of the device such as e-mail and camera functions were popular. Other applications
used included viewing, editing, submitting data online using the built-in web browser application.
Table 1: Field Uses of Mobile Devices Thematic Analysis
Applications
Basic Functions
Construction Specific
Weather
Default device software
Autodesk BIM 360
Punchlist
Tracking Materials
Procore
Plangrid for RFI's
Photo Documentation
Bluebeam
Web-Based Scheduling
E-Mail
Bela software
Timesheets
Photo Messaging
Latista
PDF Viewers
Carlson for layouts
Visual Conferencing
Prolog
From a content analysis perspective the uses of mobile devices on the field are listed in Table 2. The data revealed
that more than half of the participants use applications related to e-mail, file sharing, document viewing, BIM related
applications and photo sharing. More than a quarter of them use mobile devices for collision detection using BIM
models, punchlists, decision-making apps and PDF annotation apps. Other applications also mentioned by the
participants included texting, document storing, 3D modeling and video conferencing apps.
Table 2: Field Uses of Mobile Devices Content Analysis
>50%
>25%
<25%
BIM 360 (7)
Bluebeam (5)
Texting (2)
Document Viewing (9)
Punchlists (4)
Dropbox (2)
File Sharing (7)
Collision Detection (4)
Bela Software (2)
Email (11)
Decision Making (3)
3D Modeling (2)
Photo Sharing (8)
Applications (3)
Skype (2)
4.2. Pros and Cons of Mobile Devices

One of the objectives of this study is to investigate the benefits and drawbacks to the implementation of mobile
devices on construction sites. The data was analyzed using the lens of pros and cons of mobile device usage in the
construction site. The questions were in relation to the how participants felt about mobile devices and of their uses in
construction. These questions were important because it lead to the understanding of the value participants saw in
using mobile devices. This information is helpful in finding the best ways a company could use this device and show
the trial and error that occurred in order to reach success. The results of thematic analysis are presented below in Table
3. The participants described more cons than pros for the use of mobile devices on construction sites. Participants
mentioned that mobile devices were useful for viewing and sharing documents, reading and responding to e-mail,
improved productivity, promoted paperless processes, provided better documentation procedures, allowed for using
augmented reality technologies and allowed for data to be accessed ubiquitously. Among the cons of using mobile
devices participants said that workers were distracted by mobile devices and suggested that it could lead to safety
issues. Participants were concerned that workers have access to sensitive data that might not be suitable for sharing.
Participants observed that an Internet connection is necessary for the data to be synchronized and an Internet connection
57
is not always be available. Participants also mentioned that older workers were found to be reluctant to adopt mobile
devices. The cost of apps and bugs in software were also cited as cons for the use of mobile devices on a construction
site.
Table 3: Pros and Cons of Mobile Devices in Construction Thematic Analysis
Pros
Cons
Document Viewing & Sharing
Distracted Workers
E-Mail Reading & Responding
Safety issues
Ubiquitous data availability
Privacy concerns for
Augmented Reality
Internet connectivity issues
Improved Productivity
Data Synchronization
Paperless communication
Sub-Contractor Buy-In
Better Documentation
Older worker reluctance

Software Bugs
Cost of Apps
From a content analysis perspective, it was interesting to note that in 2014, there were more cons cited than pros for
the use of mobile devices in construction. The results shown in Table 4 indicate that connectivity issues featured
prominently among the participants. Participants also said document-sharing apps also featured in more than half of
responses. Other issues that featured prominently included issues related to safety, productivity, distraction and
subcontractor buy-in.
Table 4: Pros and Cons of Mobile Devices in Construction Content Analysis
>50%
>25%
<25%
Connectivity (9)
Safety (5)
Construction Friendly (2)
Cons (10)
Productive (4)
Complicated (2)
Pros (6)
Subcontractor Buy-in (4)
Paperless (2)
Document Sharing (8)
Tool (5)
Fees (2)
Distraction (3)
4.3. Typical feedback from users regarding mobile devices

Participants were asked about how their workers felt about the use of mobile devices in construction. Thematic
analysis of this data is presented in Table 5. The data was codified under the labels Enablers and Obstacles.
Participants cited improved productivity, ease of use and ease of communication as some of the enablers of using
mobile devices. Participants suggested that these tools required training and there was often not enough time to do that.
They also suggested that there was an attitude of resistance to change among workers and that not all workers used all
aspects of the mobile devices.
Table 5: End User Feedback for Mobile Devices in Construction Thematic Analysis
Enablers
Obstacles
Improved Productivity
Older workers have a steeper learning curve
Ease of use
Lack of time for training
Easier to carry than construction drawings
Resistance to change
Ease of communication
Not everyone needs these devices
Once used to devices, difficult to work without them
Not all capabilities are used by workers
Employees feel enabled
Cost of applications
Saves time
Older workers reluctant to adopt these devices
58
Content analysis of the data suggests that participants felt positively about the use of mobile devices and that they
generally felt enabled by the use of mobile devices, as presented in Table 6.
Table 6: End User Feedback for Mobile Devices in Construction Content Analysis
>50%
>25%
<25%
Good Reactions (10)
Handy (5)
Training (2)
More Productive (10)
Resistance (4)
"Don't Like It"(2)
Experienced Workers (6)
Efficient Employees (4)
Young Employees (2)
"Like It" (8)
Time (4)
Complaints (2)
5. Conclusions
Mobile devices such as Apples iPad, have transformed numerous industries such as business, education, and
healthcare. Mobile devices have clearly made their appearance and have been found to be resourceful in the
construction industry. Mobile devices are extraordinary tools that are being used every day in the construction industry.
Their ability to link to the Internet, various project stakeholders can access and share information instantly. These
devices are likely to advance in form and functionality, increasing their adoption in the construction industry. Future
research must consider some of the drawbacks of using mobile devices as identified in this study, while making
improvements to productivity.
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http://www.dbia.org/NR/rdonlyres/1631EDF1-8040-410D-BE1ACF96AB1E9F84/0/McGrawHillConstructionBIMSmartMarketReportDecember2008.pdf. [Accessed: 24-Oct-2012].
[11] Autodesk BIM 360 Field Overview Video. Accessed March 17, 2014. http://bim360field.com/autodesk-bim-360-field-video/.
[12] D. Grau, L. Zeng, and Y. Xiao, Automatically tracking engineered components through shipping and receiving processes with passive
identification technologies, Autom. Constr., vol. 28, pp. 3644, Dec. 2012.
[13] Ma, Z., Z. Liu, and D. Zhang. An Integrated Mobile Material Management System for Construction Sites. In AEI 2013, 35463. American
Society of Civil Engineers. Accessed January 9, 2014. http://ascelibrary.org/doi/abs/10.1061/9780784412909.034.
[14] Oxford Dictionary, Definition of research - Oxford Dictionaries (US English). [Online]. Available:
http://oxforddictionaries.com/definition/american_english/research?region=us&q=research. [Accessed: 11-Jul-2012].
[15] G. Guest, A. Bunce, and L. Johnson, How Many Interviews Are Enough? An Experiment with Data Saturation and Variability, Field
Methods, vol. 18, no. 1, pp. 5982, Feb. 2006.
59
Cost effective material tracking and locating solution for material

laydown yard
Lingguang Song*, Tanvir Mohammed, David Stayshich, Neil Eldin
Department of Construction Management, Universtiy of Houston, Houston, Texas, USA
Abstract
In industrial construction, each fabricated material item such as a steel piece or a pipe spool is a unique building element. They
are typically staged in a large laydown yard before final on-site installation. Manually tracking and locating each particular item
in a large laydown yard can be very time consuming, and excessive man hours spent in this process can negatively impact on field
installation activity and overall project performance. This study is to develop a robust and accurate yet cost effective material
tracking and locating solution based on mature tracking technologies. The proposed solution features a handheld computer
equipped with barcoding and GPS technologies for laydown yard material tracking and fast retrieval in a cost effective manner.
The device scans item barcodes when the item is unloaded in the yard and, meanwhile, captures the GPS coordinates along with
the item image, and stores these data in a central database. For material retrieval, material lookup through the database provides
geographical location and images of an item, and navigation function gets the crew to the item in a shorter duration. To validate
the accuracy of GPS and practicality of this solution, various handheld computing devices with built-in GPS functions were tested
by comparing their GPS recordings against the true coordinates of selected geological survey benchmarks. The accuracy is
measured by the distance between the true coordinates to the device-recorded coordinates using Vincentys formula. A prototype
system consisting of a mobile device and a software module was developed, and the achieved GPS accuracy is within 3 meters.
While the proposed solution has the potential to significantly improve material tracking efficiency, its low initial and operating
costs and robust performance make it practical to use in a wide range of projects.
Keywords: Automation; Barcode; Cost effectiveness; GPS; Material tracking
1. Introduction
Industrial construction projects are challenged by the storage and handling of a large quantity of fabricated
materials, each material item such as a steel piece, valves, fittings or a pipe spool is a unique building element.
Effective material tracking requires not only the knowledge of what materials are currently present in a laydown
yard, but also the ability to identify exactly where they are located for quick retrieval. Manually tracking and locating
each particular item in a large laydown yard can be very time consuming. Excessive crew hours spent on locating and
retrieving materials can have a significant impact on field installation productivity and overall project schedule
performance. A CII study showed that the average time a crew spent manually locating fabricated items in a lay
down yard was over 35 minutes [1]. On the other hand, a past case study indicated that effective material
management has a benefit/cost ratio of over 5 to 1 in medium sized commercial construction projects [2]. The goal of

E-mail address:lsong5@uh.edu
60
this study is to design a balanced material tracking solution that provides adequate accuracy and robustness yet with
low system cost and user-friendly setup. Such a solution is expected to improve the scalability of automated locating
systems for projects of different sizes, while minimizing implementation efforts, thus resistance to changes. The
sections below first reviews the current industry practice, followed by an examination of available tracking
technologies. The hardware selection, accuracy testing and system development is then presented.
2. Current Industry Practice
As shown in Figure 1, in a typical industrial construction project, fabricated materials are tracked manually in this
process [8]. To identify the location of a material item, the laydown yard is typically divided into a grid, and each
grid section is identified by an alphanumeric location code, e.g. 5B. The material item identification code (e.g.
piece mark or tag) along with the grid location code are recorded manually after receiving in the yard, and then are
later entered into the central material tracking database. If an item is moved during their storage in the laydown yard,
the above process will be repeated to capture the items latest location. When an item is needed for field erection, the
laydown yard crew will look up the item in the database for its identification and location codes. The crew will then
manually search and retrieve the item in the grid location. As can be seen, this process involves manual collection of
material data which can be tedious and error prone. More importantly, although the grid location code helps to find
the approximate item location, it fails to pinpoint the exact location and still requires the crew to take the extra time
to search for a specific item in a large grid section area, which is typically about 5,000 square feet. As mentioned
previously, the CII case study (2008) found that this manual searching procedure can take more than 35 minutes [1].
Fabricated
items
Unload item
& shakeout in
the yard
Installation
request
Record item
ID & location
grid code
Enter
record
Location
change?
Look up item
ID & location
code
Update location
Manually
search item in
grid section
Yes
Material database
Update
item status
Load & haul

to site
Figure 1: Current practice in identifying and locating materials in laydown yards
3. Available Tracking Technologies

Available material tracking technologies that have been considered by past studies include barcoding, global
positioning systems (GPS), radio frequency identification (RFID), and ultra-wide band (UWB) locating. While these
solutions provide material identification and locating capability, they are different in various aspects, e.g. accuracy,
implementation and operating cost, instrument setup effort, level of automation, robustness, ruggedness, and
practicality/scalability for projects of various sizes. Table 1 shows a comparison of these technologies. Barcoding has
long been widely used by fabricators, and many owners require all fabricated items with bar-code label attached. Bar
code readers can easily scan codes in the field of view and its low cost and reliability contribute to its widespread use
[2]. A CII study attached an active RFID tag to each material item and a truck outfitted with a reader and GPS device
drove around the yard while picking up RFID tag signals and strengths, based which an items rough location can be
calculated. This approach automatically locates tagged items, but its implementation is limited by the extremely high
cost (e.g. a tag can easily cost $25 or more), lack of equipment standardization, interference of metal to RFID data
sensing, and risk of damage to tags during material handling. A Canadian study [3] used a GPS tagged camera to
collect item piece marks as well as item location to assist item localization. UWB is a short-range radio
communication technology that can identify and locate items in both indoor and outdoor environments for sub-meter
accuracy [4]. However, since UWB radio signal only works in a short range, a costly fixed array of receivers must be
set up and calibrated for a specific site layout or whenever the layout is changed.
61
Table 2. List of devices used
Function
Identification
Localization
(accuracy)
System setup
Availability
Cost range
Maturity
Barcode
X
-
RFID
X
-
Tag and mobile reader
Tag, mobile or fixed

readers
Label ~$0.1
Reader ~ $100-500
Tag ~ $1- 50
Reader ~ $1k-5k
Already widely used

by fabricators/required
by owners
Research & newly

commercialized in
construction
Technology
UWB
X
X
(0.5m)
Tag, fixed sensor and
hub network
Tag ~ $5
Sensor & hub ~ $10k
(estimated)
Research/testing
GPS Receiver
X
(2-5m)
GPS receiver and
satellite
GPS Tagging
X
X
(2-5m)
GPS tag and
satellite
Receiver ~$200
Satellite signal free
Tag ~ $200-500
Satellite signal free
Widely used for

surveying in
construction
Research/testing
4. Proposed Solution
Considering low-cost large-volume construction material tracking, the key question is to tradeoff among
competing needs and finds the most practical technical solution. Based on the above discussion, we propose to use a
combination of barcoding and GPS for material identification and localization for the following reasons: (1) for
material identification, barcodes are already widely applied by the industry and require no or minimal change to the
current practice; (2) GPS has also been widely used for surveying and locating applications in construction; (3) both
technologies enjoy relatively low cost, high level standardization, and reliability for outdoor construction
environments. It is expected to make material tracking solution more scalable for projects of varying sizes, while
minimizing implementation efforts and costs, and thus resistance to changes. Although, a commercial product,
Trackem [5], appears to be based on similar technologies, its performance is not documented. Our solution is based
on the most recent advancement of mobile computing to increase accuracy and efficiency while reducing costs.
The proposed procedure is shown in Figure 2. When compared with Figure 1 current practice, areas of
improvement in the proposed approach can be easily identified with the time-and-dollar sign. In the current practice,
fabricated materials are received with barcodes already applied. A worker uses a handheld device equipped with a
barcode reader and a GPS receiver to record an items barcode, GPS location, and image. Item status data will be
updated to the central material database through Internet. In case of an item being relocated, the above steps will be
repeated to capture the latest location. A CII study found that about 20% items were moved to a different location
[1]. This extra effort appears to be reasonable, especially comparing with the RFID and GPS solution which requires
daily data collection and updating [1]. When an item is requested for field installation, the crew can search for the
item in the database and retrieve its location. An onboard GPS will guide the driver to the laydown yard location to
retrieve and load the item. These automated or semi-automated activities are expected to eliminate paper-based data
collection, increase item localization accuracy, and substantially reduce item searching time.
Fabricated
items
Unload item
& shakeout in
the yard
Installation
request
Record
barcode &
GPS location
Real-time
data update
Location
change?
Search item in
database for
location
Update location
Yes
Material database
GPS guidance
to arrive to
item location
Real-time update
item status
Figure 2: Proposed practice in identifying and locating materials in laydown yards
62
Load & haul

to site
5. Hardware Selection
With the advancements in technology, the prices of handheld computing devices have fallen drastically and many
of handheld computing devices are available in the market in the form of smartphones, tablets, personal digital
assistants, etc. The basic requirements of our proposed approach include (1) a GPS receiver with real-time 3-meter
accuracy or higher; (2) an integrated bar code reader; (3) an integrated digital camera; and (4) wireless
communication capability. A key requirement is the GPS accuracy since a higher accuracy will reduce the size of
search area thus minimizing time required to locate an item. GPS devices or chips range from recreational, mapping
to surveying grades. The accuracy range can fluctuate from 15 meters in the case of recreational/personal GPS units
to less than 1 to 2 centimeters using survey-grade equipment with real-time kinetics and post-processing.
Accordingly, the cost can go from $100 to over $40k. Our selection criterion is to balance the need of accuracy,
portability, easy set-up, and cost. GPS survey equipment is dropped since it is not deemed to be practical to have
equipment in the yard for the entire duration of a project. Custom integration of a handheld computer with a portable
high-accuracy GPS and/or a bar coder reader is not user friendly since it requires a user to carry several individual
devices. The same is true for survey-grade handheld computers with sub-meter accuracy since they do not have builtin bar code reader. After a product search including various industrial models from Trimble and Motorola, Motorola
MC75A was considered due to its 2-meter real-time GPS accuracy, integrated barcode reader and camera, and
rugged design. In addition, the smartphones and tablets available in the current market offer similar capabilities with
possibly lower GPS accuracy but more flexible options for software development and testing. It was determined that
the accuracy of these computing devices to be tested in a real-world condition before final selection. Based on the
availability, the devices listed in Table 2 were selected for the field testing, and they all feature built-in GPS,
barcoding, and imaging capability.
Table 2. List of devices used
Hardware
Operating system
GPS
Bar code
reader
Camera
Wi-Fi & cellular

data
Internal Memory
Motorola MC75A
Windows Handheld 6.5
YES
YES
0.3 MP
YES
1 GB
Sony LT26i
Android 4.4.2
YES
YES
12 MP
YES
32 GB
HTC one (M7)
Android 4.4.2
YES
YES
4 MP
YES
32 GB
Google Nexus 10
Android 4.4.2
YES
YES
5 MP
YES
32 GB
Apple iPad Air 2
iOS 8.1.3
YES
YES
8 MP
YES
16 GB
For efficient material tracking, reading barcodes and collecting GPS locations are the two most important tasks a
hardware is required to perform. Barcoding is a mature technology, eliminating the need to test its accuracy. The
quality of GPS chips however can fluctuate widely among handheld devices. The accuracy of GPS is influenced by
various factors such as hardware, weather, and obstacles in the surrounding. Hence, there is a need to determine the
accuracy of the candidate devices to validate their use for our purpose. The basic idea is to compare readings from
candidate devices with known coordinates at survey benchmarks, as shown in Figure 3. The GPS units to be tested
are placed directly over a surveyed benchmark whose coordinate is well established to an accuracy level of 1st order.
The GPS data is then repeatedly collected in a regular time intervals, and the data set collected contains multiple
readings from the same position using the same device. The position is recorded in a decimal degree format. The
horizontal distance is then measured between the observed location coordinates and the known coordinates of the
surveyed benchmarks. The average distance is used to characterize the GPS accuracy of a candidate device.
The first step is to identify and locate the geographical benchmark locations, these locations are available through
the National Geodetic Survey (NGS) which establishes and maintains these benchmarks. Benchmarks in Houston,
Texas were selected to conduct the experiments. The coordinates of these benchmarks can be accessed through the
NGS Data Explorer [6]. In order to get a satisfactory results, only those points which were established with higher
degree of accuracy can be used for accuracy testing. Four benchmarks were eventually selected.
Each candidate device was used at the four benchmarks situated at various locations in the City of Houston, and
50 readings were taken from each device at each benchmark. As shown in Figure 4, the barcode is setup near the
surveyed benchmark resembling the barcode of a material item. It is placed near the benchmark at a distance of about
63
30 cm depicting a real case scenario. The selected device immediately above the survey benchmark is then used to
scan the barcode while recording the GPS location.
Figure 4. The device, the benchmark and barcode.
actual coordinates
moto
sony
nexus
apple
htc One
29,714278
29,714228
29,714178
29,714128
29,714078
29,714028
29,713978
29,713928
29,713878
29,713828
-95,33839
-95,33844
-95,33849
-95,33854
-95,33859
-95,33864
-95,33869
-95,33874
-95,33879
-95,33884
-95,33889
29,713778
Figure 3. Four selected benchmarks (from left to right: AW0201, AW2342, AW3222, and AW2340)
Figure 5. Distribution of points from various devices
The distance between the observed coordinates of a selected device to that of the known coordinates at a
benchmark is then measured. Smaller distance indicates higher accuracy and vice versa. Vincentys inverse formula
was used for this purpose. The Vincenty formula works by iterations, i.e. the calculation procedure is repeated until
the change in the first approximation of the difference between two longitudes is negligible (e.g. 0.006 mm) [7]. The
gathered GPS data was analyzed using a Vincentys formula script implemented in MS Excel [8]. The distance
between the obtained coordinates and the actual coordinates were measured and the average values were determined.
As shown in Figures 5 and 6, it can be observed that the accuracy of the candidate devices mostly vary between 3
to 5 meters and different devices achieved different accuracy levels. Motorola MC75A is more accurate than other
devices and it is primarily designed for industrial barcode scanning and tagging purposes. As a result, the subsequent
software was developed for this device on Windows Handheld platform.
6. Software System Development
The prototype software was developed by the authors using Visual Basic .Net with references to Windows Mobile
SDK, Motorolas Enterprise Mobility Development Kit (EMDK), Microsoft SQL Server Compact Edition, and Bing
Maps Platform API. Figure 7 show the various operations available in the application. Clicking on the store button
will prompt the user to scan the barcode, and once scanned, the item identification code along with GPS location is
captured and displayed. Optionally, a picture of the item can be taken. Clicking the search option will allow the user
to search through previously scanned items and their location for retrieval with navigation assistance.
64
AW2342
AW2340
AW3222
4,165
4,165
3,678
3,29
4,696
4,138
3,628
3,788
HTC One
Sony LT26i
9,102
Apple I pad Air 2

Google Nexus 10
3,789
2,725
3,105
2,553
2,44
Mototrola MC75A
1
11
13
17,682
15,422
11,554
7,442
5,444
4,736
AW0201
15
17
19
Figure 6. Chart showing varying error levels in various devices (distance between device and benchmark in meters)
Figure 7. System screenshots
7. Conclusion
This study developed a robust and accurate yet cost effective material tracking and locating solution based on
barcoding and GPS. The prototype system consisting of a mobile device and a software module was developed, and
the achieved GPS accuracy is within 3 meters. While the proposed solution has the potential to significantly improve
material tracking efficiency, its low initial and operating costs and robust performance make it practical to use in a
wide range of projects. Future field trails of the developed prototype on an actual construction project will help to
determine the actual time saved and the practicality of this approach. Furthermore, a variety of new tracking
technologies are being made available and more affordable, such as passive RFID, and they should be examined to
cater the ever evolving needs of the construction industry.
Acknowledgement
The authors wish to thank Fluor and AMECO for their generous support in donating the testing equipment and the
access to job sites.
References
[1] Construction Industry Institute (CII) (2008). Leveraging Technology to Improve Construction Productivity. Research Summary 240-1, CII,
Austin, TX.
[2] Thomas, H.R., Sanvido, V.E., and Sanders, S.R. (1989). Impact of material management on productivity: A case study. Journal of
Construction Engineering and Management, 115(3), pp. 370384
65
[3] Pardasani, A., Vantorre, L., Dickinson, J. K., and Thomas, J. R. (2009). Location tracking of prefabricated construction assemblies. NRCC51250, National Research Council Canada.
[4] Shahi, A., Aryan, A., West, J. S., Haas, C. T., and Haas, R. (2012). Deterioration of UWB positioning during construction. Automation in
Construction, 24, pp. 72-80
[5] Trackem (2012). Trackem material management system. < http://trackem.com.au/about/> (Dec. 20, 2013)
[6] National Geodetic Survey Data Explorer <http://www.ngs.noaa.gov/NGSDataExplorer/> (Oct. 1, 2014)
[7] Vincenty, T. (1975) Direct and inverse solutions of geodesics on the ellipsoid with application of nested equations, Survey Review 22 (176),
pp. 88-93.
[8] Latham, J. Vincenty solutions of the geodesic on the ellipsoid, <http://www.contextures.com/excellatitudelongitude.html> (Nov. 15, 2014)
66
Creative Construction Technology and

Materials
Development of firebrick materials for building construction

Aderiye Jide*, Ojambati Timothy Sunday
Glass and Ceramics Technology Department, The Federal Polytechnic, Ado-Ekiti. Nigeria
Building Technology Department, The Federal Polytechnic, Ado-Ekiti. Nigeria
Abstract
Fireclay as a major raw material for refractory production is very abundant in Nigeria. It forms an important construction material
both for residential, industrial buildings and furnaces. The aim and objective of this research activity is to revive firebricks for
slag melting furnaces that are forcing Nigerian slag industries to close down between1987 to 2015 because of refractory problems.
Twelve alumino silicates deposits were explored exploited and examined in Nigeria out of which two deposits were eventually
employed for various refractory prototypes. For a long time refractories were imported into Nigeria in large quantities that were
worth billions of dollar. The Nigerian clay deposits examined have shown reasonable characteristic properties for furnace
construction and maintenance. Suitable phosphoric acid was used as a binder for the firebricks and other castables produced in the
study.
Keywords: Bonding; Construction; Creative; Development; Firebricks
1. Introduction
There are so many variables in firebricks and castables that could be produced from fireclays due to the quality of
the materials within clay deposits. Clays as materials vary rapidly within pits and other surface areas. But
experienced firebrick makers produce refractory products that are sufficiently similar to be represented for
commercial purposes by a brand name [1].Yet, no available quantitative firebricks and castables that are locally
produced in the West African Countries for building construction. Quality firebricks have been a serious problem in
Africa to heat and to melt slag in the Nigerian manufacturing industries for the past sixty years [2,3],. Empirical
frameworks and evidences have shown some twelve Nigerian clay deposits that could be beneficiated and processed
into reasonable firebricks and castables products for both construction and industrial uses [4]. Therefore, the twelve
Nigerian clays were explored, examined and operationally developed to produce firebricks for engineering
applications. Globally, there are very few industries in West African countries with manufacturing processes above
1000C temperature that would not make use of firebricks massively. This makes a summary of their applications
indicative; and why firebricks manufacturers have so many outlets globally for sales and profits than the
manufacturers of silica based bricks whose other outlets are more limited globally today [1,2,5].
* Corresponding author. Tel.: +2348068963311

E-mail address: aderiyejidedesign@gmail.com
68
2. Materials and Methods

The twelve Nigerian clays used were fireclays that consist of natural argillaceous (alumina, silicate and water)
matters with a general chemical formula (XAl2O3 YSiO2. ZH2O). Physically, these fireclays were made of very fine
particle sizes with a range of 15 to 75 microns. This aluminno silicate materials developed plasticity with excessive
moisture. When dried by sun or at 110oC temperature they became hard, but water could still dissolve these Nigerian
clays easily. All these clay samples if eventually fired above 500oC temperature. Clays it will be thereafter calcined
and would not be easily dissolved in water.[6,5]. Geologically, most fireclays are formed chiefly by the
decomposition of feldspar rocks under the agent of erosion. Viable Nigerian clay deposits were preliminary
investigated intensively. After the clays were explored, and various examinations were conducted, the two most
viable Nigerian clay deposits were considered for further studies. These commercial clays are: Nigerian Onibode
fireclay deposit at Abeokuta in Ogun State and Kankara fireclay deposit at Katsina in Katsina State of Nigeria.
Thereafter, the clays were subjected to beneficiation processes, chemical examinations and thermal analyses. Due to
certain reasonable qualities of these two clays in terms of chemical compositions and their refractoriness; the clays
were classified as alumina-silicate refractory material. [7,8]. Equipment used in the study were X-Ray Diffractometer
(XRD) that was used to examine the mineral contents and phases of the materials; Atomic Absorption
Spectrotometer (AAS) which was also used to know the metallic elements present in the material and Differential
Thermal Analysis (DTA) used to know the thermal temperature analysis of the mineral materials. Other devices
employed were Sieves, Furnaces, Driers, Crusher, Weighting machine and Grinder. Experimental procedures were
fractioned into main stages of clay characterization; clay calcinations or grog preparation; classification of grog with
phosphate, batch composition, refractory production, quality examination and assurance. From the clay deposits to
the final refractory products, samples considered representative for this research work were statistically taken for
economic evaluation, physical, chemical, mineralogical, thermal, batch composition and product quality control.
These are summarized and presented on tables 1 to 4 respectively.
69
70
71
3. Results and Discussions

After characterization analyses, Onibode and Kankara clays were further developed into grog batch compositions
bonded with 15% phosphoric acid. Hydraulically, the refractory products were shaped within the moulds designed at
1000kg/mm2. The firebricks and castables were later dried at 110oc temperature; pre-fired at 3500C and subsequently
fired at 1400oC for 24 hours respectively. At 350oC temperature the phosphoric acid would have bonded the
refractory products permanently together [10, 1, 7]. Determinations of these fireclays and their products were further
analysed on Tables 3 and 4 respectively for quality examinations and control in terms of characteristic properties.
The core reaction is written in this research work in equation 1. Chemically, fireclay preparation with the phosphorus
acid as a solution reaction used certain amount of water. The clay minerals dissociated to certain distance in a
solution reaction based on their valences and hydrations. The solution concentration could be associated with the
dissociated electrolyte. As a base exchange, each cation of the fireclay exchanged for another one. At 500oC
temperature, the fireclay minerals within the products made decomposed. Crystallised water and other amorphous
water were totally evaporated. Meta kaolin was formed with the phosphorus acid employed as a strong binder.
However, at pre-firing of refractory castables at 350oC temperature, refractories produced could be employed for
certain low heating industrial baking and drying devices or other engineering applications if technically required.
4. Conclusion
The trial production was based on the theoretical and empirical evidences that were acceptable statistically (Avid
1993; Wills,1992). Eventually, batch composition of 10% fine grog particles, 30% grog medium grains and 60%
coarse particles of fired clay or grog were all mixed homogenously together with 10% phosphorus acid. This
standard batch composition was eventually prepared for all the twelve Nigerian fireclays as presented on Table 3. All
the refractory products made were subsequently dried and fired between 1350oC to 1400oC temperatures gradually.
The research findings were as follows: At 900oC gamma alumina was fairly present; but it was largely observed at
1100oC. At above 1300oC, cristobalite and some other minerals were converted from quartz simultaneously within
the clay. The cristobalite and glassy phase that cemented particles together were chiefly observed at 1200 to 1400oC.
Significantly, crystallization and nucleation played a role in this equation and practice. Usually, free silica from
dissociated clay promotes large formation of glassy phase and cristobalite, rather from the quartz itself. A chemical
equation could be used to summarize the changes that occurred during firebrick firing as:
3(. . ) . + +
Fireclay ------------ mullite + glassy phase + cristobalite.
Mullite was observed at 110oC, while cristobalite disappeared into glassy phase of material at 1100oC to 1400oC
due to free radicals of quartz in the firebricks. There was distinct crystal development after the 1400oC. Firing at very
high temperature mullite and some glassy formation was shown by the sharpness of the line pattern from the x-ray
diffractormeter. The study findings have shown that the twelve Nigerian fireclays were all reasonable for production
of industrial firebricks and crucibles. Onibode and Kankara fireclays were particularly exceptional for refractory
bricks due to their economic and refractory characteristics values for industrial heating houses, residential buildings,
other construction and engineering applications globally.
References
[1] Chesters, J.H (1973). Alumino-Silicate. Refractories Production and Properties. The Iron and Steel Institute. London.
[2] Aderiye, J. (2005): Development of Firebricks Suitable for Glass Melting Furnaces. Unpublished M.Sc. Thesis. Ahmadu Bello University,
Zaria. Nigeria.
[3] Hassan, S.B. (1990). The Study of the Refractory of Properties of some Nigerian Clays. Unpublised M.Sc Thesis. Ahmadu Bello University,
Zaria.
[4] Anyi, J.A (1985). An Investigation of the Refractory Properties of Kankara Clay. Unpublished M.Sc Thesis. Ahmadu Bello University, Zaria,
Nigeria
[5] Wolfgang, T. (1987). Alumina Silicate. Glass Furnace Design Construction and Operation. Society of Glass Technology. Britain.
[6] Heckroodt, R.O. (1994): Evaluation of Plasticity. Institute of Refractories Engineers. South Africa. (1994) 7 8.
[7] J.P Doyle, Refractories. Glass Making Today. Porticullis Press. New York 1979.
72
[8] D.H. Duda, Refractories. Cement Data Book. BanverlagGmb Iesbaden and Berlin, Macdonald. London.
[9] American Society for Testing and Materials (1986); American Material Standard. New York, 1983
[10] Ahmed, K.S. (1986): Development of Phosphate Bonded Fireclay Refractory Castables. Unpublished. M.Sc. Thesis. Ahmadu Bello
University, Zaria. Nigeria.
[11] Raw Materials and Research Development Council (1986); Raw Materials in Nigeria. Raw material Sourcing for Manufacturing in Nigeria.
Raw Materials and Research Development Council. Lagos, Nigeria.
[12] G.Avid . P. Brain, Glass Building. Butterworth Heinemann Ltd. Linacre House Oxford Britain. 1993.
[13] B. AWills, Particle Size Analysis. Mineral Processing Technology. Pergamon Press Oxford, Britain. 1992.
73
Calculation of the temperature in ventilated air gap of reinforced

concrete cooling tower
Barabanshikov Yurii, Belyaeva Svetlana, Antonova Maria, Vasiutina Sofia.
St. Petersburg State Polytechnical University, Saint-Petersburg 195251, Russia
Abstract
Monitoring cooling towers have shown that one of the decisive factors leading to premature failure of the concrete shell is
migration of vaporous moisture from the inside to the outer surface, condensation and freezing of the surface layer, which results
in the destruction of the shell. The purpose of research is to determine the optimal values of the temperature in ventilated air gap.
It is necessary to provide the required thrust and the air throughput to maintain the mode of heat and humidity. Temperature and
air velocity affect heat-moisture mode. The calculation was made for the three cases of developing thrust in the gap. First case
thrust is created using the heated air by heat exchange with the warm surface of the screen. Second case thrust is created using
heated air by dint of a smooth pipe with a diameter of 100 mm, which supply the circulating water. Third case heating is carried
out by two ribbed pipes with a diameter of 50 mm with round or square edges, the diameter (side) of 100 mm and increments 100
mm.
As a result of research the following conclusions were obtained: air temperature in the gap depends on the outdoor temperature text
and it is as higher, as higher the text; medium temperature in height gap tmed was lower in the case of additional heater than at
natural convection; the temperature difference t0-text decreases with increasing text; air temperature at the inlet of the gap t0
decreases with increasing thickness of the gap; the temperature in the air gap increases from t0 to th. Difference th-t0 as height, as
smaller the thickness of the air gap and outdoor temperature.
It is necessary to provide the required thrust in air gap for the effective protection of reinforced concrete cooling tower. Thickness
and shape of the gap, the outdoor temperature and the temperature inside the cooling tower depends on it.
Keywords: air gap, air velocity, cooling tower, mode of heat and humidity, temperature in the air gap.
1.
Introduction
Cooling towers are applied in circulation water supply system, where cooling of water must be deep and steady
while the hydraulic and thermal loads are high. The complexity of heat-exchange processes, when water passes a
cycle from converting into steam to its subsequent condensation, is caused by many factors. Influence of
environment and internal intensive process.
Damp-proof covering is usually applied to protect interior surface. However, experience of cooling towers
application shows that these method is not rather effective [1]. Installation of screen that is made of vapor proof
elements is further more effective protective option. The screen should have gap with interior surface. The
accounting of feature of the heat-moisture and aerodynamic modes was begun by Barabanshchikov [2]. This article
is deep research of the aerodynamic mode in a cooling tower.
74
2.
Calculation of the temperature and speed of air in ventilated air gap
The calculation of temperature and speed of air in a gap was made for three trust creation cases. Air temperature
in the ventilated gap depends on air speed in a gap. Air speed in a gap is unknown and it depends on a difference of
temperatures of external and internal air. Calculation was made by an iteration method.
2.1 First case (absence of heating)
Trust arises at the expense of a natural gravitational pressure in the absence of heating. It is determined as a
difference of middle temperatures of air in a gap and outside of cooling tower (tmedtext ). The increase of tmed in
comparison with text takes place due to the heat exchange of air in a gap with screen and shell. Because of SsSsh the
total amount of heat, which air receives, equal:
=
Q S S ( t 2 + t3 2t med )
(1)
where heat transfer coefficient; Ss and Ssh the areas of gap`s walls from the screen and shell; t2 and t3
temperatures of surfaces of screen and shell in gap. Express the warmth Q according to the:
Q = cair vmed S ent ( t med text )
(2)
t med =
(t 2 + t3 atext ) / ( a 2)
from where:
(3)
where text temperature of external air; Sent area of air inlet; cair specific heat of air in the gap;
a = cair vmed Sinl / ( S S )
(4)
The air consumption in the ventilated layer is determined by a difference of pressure p. The movement of air is
influenced by this difference. Hydraulic losses in a layer are equal p at a design consumption. The pressure P in the
layer with natural circulation is equal to the sum of the wind pv and gravitational pt pressures:
p = pv + pt
(5)
pv is equal to the difference of the pressures created by wind on an entrance and exit from a layer:
pv ext ( k1 k 2 )vw / 2
=
2
(6)
where k1 and k2 aerodynamic coefficients on an entrance and an exit of a layer; vw velocity of air. Gravitational
pressure pt arises due to the difference in density between the outside air and the air in layer.
pt =
Hg ( ext )
(7)
where H difference of height of inlet and outlet of air in layer. Air velocity through the gap is obtained from the
condition of equality of available pressure (5) and hydraulic losses.
v = ( 2 p / )
0.5
= [( k1 k 2 )vw / + 2 Hg ( ext int ) / ( int )]

2
0.5
(8)
where sum of frictional and local resistance coefficients. Mass air rate j through 1 rm of gap length on perimeter
is equal:
75
j = v
(9)
where thickness of an air layer. As the wind direction is changeable, in this case it is advisable to take k1=k2,
which will simplify the formula (8). Calculation model is shown in Fig. 1. The air enters into the gap with a
temperature t0 and changes its temperature, passing through it.
Heat exchange hcr at some distance with walls gains stationary
character and air steam gets the invariable temperature of tconst
which is not connected with its reference temperature. The
task consists in determination of air temperature in any section
of a layer and heat exchange through a construction.
Temperature of tconst can be determined according to a
formula:
=
tconst
text + ( tint text ) Rext

=
( Rext + Rint )
( Rext tint + Rint text )

( Rext + Rint )
(10)
where Rext and R int resistance to a heat exchange of external

and internal parts of a structure with surrounding air layers.
Into a gap between surfaces of the screen and shell a radiant
Fig. 1
heat exchange is effected with coefficient of radiant heat
exchange r, depending on temperature. Coefficient r is determined by formula:
r = red 0b
(11)
where 0 blackbody coefficient; red reduced power of blackness of surfaces ; radiation factor;
b=0.81+0.01tmed temperature coefficient; tmed medium temperature between surfaces. Heat transmission
resistance of screen Rint and shell Rext is defined:
Rint
= 1 / int + Rs + 1 / l + 2 / r
Rext = 1 / l + 2 / r + Rsh + 1 / ext
(12)
where l coefficient of convective heat exchange of one surface to the air, moving in the layer with velocity v.
Convective heat exchange in a layer can be calculated on the following dependences based on M.A. Mikheyev's
recommendations [3]. For the laminar mode of the movement (Re<2103) in the channel, use dependence:
Nu = 1.4 ( Red / l )
0.4
Pr
0.33
( Pr / Prw )
0.25
(13)
where Pr/Prw takes into account the dependence of physical properties on temperature and direction of thermal
stream. The average value of the coefficient of convective heat exchange for air along the length of layer is equal to:
l =
0.896 + 1.5110 t (v )
0.2
0.1
/d
0.5
(14)
where v velocity, m/s; t temperature difference between the air and the surface air layer; t average of these
temperatures; d equivalent diameter, which is equal to F/P (F the area and P channel perimeter). For layer d is
equal to width of the gap d=.
Table 1. Values depending on l/d.
l/d
1
1.9
2
1.7
5
1.44
10
1.28
15
1.18
76
20
1.13
30
1.05
40
1.02
50 and more
1.0
For channels of very big length l/d > 0.067RePr5/6 (in this case holds for all ) the Nu becomes almost constant:
=
Nu 1=
Nu 4( Pr / Prw )
0.25
(15)
In an air layer of the enclosure when for air PrPrw, Nu=4, and l at text=0 is equal:
(16)
l = 4air / d
Table 2. Average value of l for air at text =0 at various thickness of a gap.
l=4air/d
0.1
0.976
0.15
0.651
0.2
0.488
0.3
0.325
0.4
0.244
0.5
0.195
0.7
0.139
1
0.098
For the turbulent area of flow (Re>2103) according to the [3] we have:
0.8
Nu = 0.021Re Pr
0.43
( Pr / Prw )
0.25
(17)
At the beginning of the gap l accepts values up to 1.65 and then decreases and at l/d>50 it becomes equal to 1.0.
In technical calculations it is possible to neglect changes of convective heat exchange on a stabilization site (at the
beginning of a layer) in this mode. Consider the change in heat exchange on layer length by method of V.N.
Bogoslovsky [4]. All values are related to the gap width of 1 m. In a random cross-section x the equation of the heat
balance of the air in the air layer within the element dx (Fig. 1) can be represented as:
dQ1 dQ2 =
dQ3
(18)
dQ1 (warmth transmitted through a protective screen) is equal:
dQ1 = [( tint t ) / Rint ]dx
(19)
Through external part of construction (shell of cooling tower) passes dQ2 that is equal:
dQ2 = [( t text ) / Rext ]dx
(20)
The part of heat through a construction is lost on air heating. Air temperature increases by dt on length dx by
changing heat content on dQ3:
dQ3 = cjdt
(21)
The difference between the heat flows through the inner and outer parts of the construction to the air in the layer
with the formula (10) can be written as:
dQ1 dQ2 = [( Rext + Rint ) / Rext Rint ](tconst t ) dx
(22)
After substitution (21) and (22) we will receive the differential equation (18) in a look:
[( Rext + Rint ) / Rext Rint ](tconst t ) dx =

cjdt
After division of variables and integration from t0 to t and from 0 to x the solution of this equation is:
77
(23)
x = e
Kx
(24)
As an example we will calculate temperature in a gap at a thickness =0.15 m and temperature of external air
text=0 . The values of thermal resistance Rs=ds/s and Rsh=dsh/sh, included in Rint and Rext, are given in table. 3.
Table 3. Thermal resistance of elements of construction.
Type of construction
Work material
Unitized screen
Precast screen
Shell
Fiberglass of cold curing

Glass fibre laminate
Reinforced concrete
Coefficient of heat conductivity ,

W/(m)
0.33
0.29
2.04
Average thickness of d,
m
0.0005
0.002
0.7
Thermal resistance,
m2 /W
1.5210-3
6.9010-3
0.343
Average value for int=10.8, for ext according to [5]. For winter conditions ext=23 W/(m2), for summer
conditions according to a formula:
ext =1.16(5 + 10v ) =17.4

0.5
(25)
where v minimum from average speeds of a wind on rhumbs for July. Their repeatability makes 16% and more and
is accepted according to [6], but not less than 1 m/s. The heat exchange coefficient by radiation is determined by the
general formula:
=
r =
0.541.05.770.93
= 2.9
red b
(26)
By calculations it is established that depending on temperature of external air: tmed=-25.223.6 and

b=0.81+0.01tmed=0.561.05. For the winter period it is possible to accept b=0.93.
=
Nu 0.0216629
=
0.83 ( 0.83 / 0.83)
22.1
0.8
0.25
0.43
(27)
For unitized screen:

= 1 / int + Rs + 1 / l + 2 / =
Rint
1 / 10.8 + 1.5210
r
+ 0.15 / ( 22.10.0244 ) + 2 / 2.9

= 1.06
(28)
For precast screen Rint=1.07. As the difference is very small, for the screen we will accept the last value. For
winter conditions:
Rext = 1 / l + Rsh + 1 / ext + 2 / r = 0.278 + 0.386 + 0.690 = 1.35
(29)
For summer conditions:

(30)
Rext = 1 / l + Rsh + 1 / ext + 2 / r = 0.278 + 0.400 + 0.690 = 1.37

Table 2. Dependence from x.
x,
0
1
20
0.780
40
0.609
60
0.475
80
0.371
100
0.289
120
0.226
140
0.176
This shows that with increasing x the value of tends to zero. The temperature of the air in the gap approaches a
constant value tconst. It allows to determine the height of the initial section hcr. Air temperature in a layer practically
does not change in its limits. We will calculate tconst (for =0.15 m and text=0 ):
78
)
tconst= ( Rext tint + Rint text ) / ( Rext + Rint =
(1.3521 + 1.070 ) / (1.35 + 1.07 )=
11.7
(31)
For practical purposes it is enough to consider txtconst with a small error. For example, tx-tconst=0.05 C that is
even excess accuracy. Then the critical height and temperature t x can be calculated according to:
Kx
hcr =
ln[0.05 / (tconst t0 )] / K , t x =
tconst (tconst t0 )e .
(32,33)
At small expenses of air tconst is established at a short distance from gap entrance and remains invariable on all
height of a layer. The average air temperature in a layer differs little from tconst. If height of a layer is commensurable
with hcr the average temperature is much different from tconst. In this case average air temperature in a layer:
H
t med =
tconst ( tconst t0 )
t ( x )dx
Kx
dx
=tconst + ( tconst t0 )
KH
(34)
KH
where H gap height. The described method allows to carry out joint calculation of the inter-related thermal and
aerodynamic modes of the ventilated layer.
2.2 Second case (heating of air inlet by single smooth pipe)
Air on an entrance to inlet needs to be warmed up to ensure sufficient air flow rate. The heating is carried out by
heat exchange with the pipe. This pipe is installed along the perimeter of the cooling tower between the shell and the
protective screen and brings recycled water. Nusselt's criterion for convective heat exchange for Re in the range
400040000 (preliminary calculations showed that Reynolds's numbers are in these limits) is calculated as:
Nu (0.43 + 0.20 Re
=
0.62
Pr
0.38
(35)
where correcting coefficient, which considers degree of turbulence of the running stream. In this case (l/>>50)
=1.0. Pr=/a Prandtl number; kinematic viscosity of air; a temperature conductivity coefficient of air. The
heat exchange coefficient is calculated according to:
= Nut / d
(36)
where d diameter of the warming-up pipe; t heat conductivity of air at temperature t. Amount of heat Q, which is
given to air by a pipe during time at the stationary mode, is equal:
=
Q S p (t p text )
(37)
where Sp area of an external surface; tp temperature of the warming-up pipe (accept tp40 ). The same amount
of heat Q can be expressed through a thermal capacity of external air cout:
=
Q cout v1 out Sinl (t0 text )
(38)
where Sinl area of an inlet; t0 air temperature at the beginning of a gap. By equating the right parts of the equations
(37) and (38) and replacing relation Sp/Sout=d/, we receive:
t0 =
d t p text / ( cout v1 out ) + text
79
(39)
From (39) it is visible that t0 does not depend on diameter of the warming-up pipe, because the product d
remains to constants at any values of diameter. We will enter designation d=d, where d is heat exchange
coefficient of one rm of a pipe. Heat exchange coefficients at a cross flow of the isothermal cylinder were established
experimentally for various values of Nu and Re in research [7]. Experimental values for similar conditions are close
to our settlement.
2.3 Third case (heating of air inlet by bunches of ridge pipes)
Calculation of heat exchange in bunches of the pipes with round and square edges, which are flowed round by a
cross flow of air, is made on the following equations valid in the range 3103<Re<25103:
Nu = CRe
(d / b)
0.54
(h / b)
0.14
(40)
where Nu=b/; Re=vb/; b step of edges; d outer diameter of a pipe; h=0,5(D-d); D diameter or side of an
edge. Calculation was done for a chess bunch of pipes with round edges, for which C=0.223, m=0.65. Accept: b=0.1;
d=0.05; and D=0.1 .
3.
Conclusion
Temperature of air in the gap depends on the outdoor temperature text and it is as higher, as higher the text.
Medium temperature in height gap tmed was lower in the case of additional heater than at natural convection. This,
paradoxical at first sight, situation has the following simple explanation. The heating of air on gap`s inlet increases
the initial temperature of air t0. The consumption of air j increases as a result of increase of speed of the movement.
At the same amount of the absorbed heat increasing of air temperature is smaller, according to a formula (21).
Furthermore, as a result of change of thermal resistance Rint and Rext temperature of a cold concrete wall t3 goes
down more strongly, than temperature of a warm fiberglass wall t2 increases. At the same air temperature t2>tx>t3 it
reduces the total amount of heat dQ3 that also results to a decrease of dt. The temperature difference t0-text decreases
with increasing text. Air temperature at the inlet of the gap t0 decreases with increasing thickness of the gap, that also
leads to falling of velocity. The heating of air allows to increase value of initial temperature, but this measure is
effective only at the big area of contact with the warming-up surface. Critical length, on which air temperature
becomes constant (tconst), makes thousands of meters, which significantly exceeds the height of the cooling tower
(lcr>>H), therefore the temperature in the air gap increases from t0 to th. Difference th-t0 as height, as smaller the
thickness of the air gap and outdoor temperature.
Along with increase of gap width: losses on air stream resistance are decreased, but it is not very significant; heat
emission of warming-up pipes is decreased due to deterioration of ambient velocity; initial temperature at inlet of a
gap and average temperature in the gap decreases due to increase consumption of air; initial air velocity is lowered
due to decrease of its temperature and according increase of density (it leads to loose of gravitational head).
References
[1] Yu.G. Barabanshikov, S.V. Belyaeva, M. Antonova, M. Zapoev, Air gap between protective screen and surface of reinforced concrete cooling
tower, Advanced Materials Research (2014) 457-461
[2] S.V. Belyaeva, Yu.G. Barabanshikov, Calculation of air gap between the protective screen and the shell of reinforced concrete cooling tower,
Internet Journal "Construction of Unique Buildings and Structures" (2013) #4 (9)
[3] M.A. Miheev, I.M. Miheeva, Osnovy teploperedachi. Moscow, 1973.
[4] V. N. Bogoslovskij, Stroitel'naja teplofizika. Moscow, Vysshaja shkola, 1982, pp. 416.
[5] SNiP II-3-79* (Construction Norms and Regulation), Stroitel'naja teplotehnika.
[6] SNiP 2.01.01-82 (Construction Norms and Regulation), Stroitel'naja klimatologija i geofizika.
[7] V.Ju. Mitjakov, A.V. Mitjakov, S.Z. Sapozhnikov, Mestnaja teplootdacha pri poperechnom obtekanii izotermicheskogo cilindra,
Jenergeticheskie mashiny i ustanovki, Trudy SPbGTU, # 481. SPb: SPbGTU, (1999) pp. 13-18.
80
Laboratory tests with liquid nano-ceramic thermal insulation coating

David Bozsaky*
Szchenyi Istvn University, Faculty of Architeture, Civil Engineering and Transportation Engineering, Egyetem tr 1, Gyr 9026, Hungary
Abstract
Liquid nano-ceramic thermal insulation coatings appeared in the last decades on the market of thermal insulation materials. This
paint-on insulation contains microscopic cellular ceramic microspheres. These vacuum-hollow balls were made of on high
temperature melted ceramic. Its binding material is a mixture of synthetic rubber and other polymers. After mixing with water,
using brush or vacuum vaporizer can be taken on the surface to be insulated.
The special literature of liquid nano-ceramic thermal insulation coatings gives different and contradictory thermodynamic details
about this material. According to some sources its thermal conductivity is around 0,001-0,003 W/mK, but other papers publish
much higher thermal conductivity values (from 0,01 W/mK to 0,14 W/mK).
In the Laboratory of Building Materials and Building Physics at Szchenyi Istvn University (Gyr, Hungary) several
thermodynamic test were made with liquid nano-ceramic thermal insulation coatings. On basis of European Standards (EN) the
thermal conductivity and water absorption of this material was determined. The relationship between thermal conductivity and
water content was analyzed. Experiments were performed with conventional thermal insulation materials with additional ceramic
coating on one side, two sides and beside two plates. Results were analyzed in order to prove the low thermal conductivity and
heat mirror effect of this material.
Keywords: liquid ceramic, nanotechnology, thermal insulation.
1. Introduction
Nano (symbol: n) is an SI prefix meaning one billionth. In the metric system this prefix denotes a factor of 10-9.
Nanotechnology is the engineering of functional systems at the molecular scale. In its traditional sense, means
building things from the bottom up, with atomic precision [4].
1.1. Brief history of nanotechnology
This theoretical capability was envisioned as early as 1959 by the renowned physicist Richard P. Feynman (19181988). The first fundamental studies about nanotechnology were written by C. G. Granqvist and R. A. Buhrman in
1976. In the early 1980s, S. Komarneni and R.Roy developed the first way to synthesize nanoparticles, specifically
nano-ceramics [2]. He used a process called sol-gel and enabled researchers to test the properties of nano-ceramics.
This process was later replaced by sintering in the early 2000s and continued to advance to microwave sintering.
Because of the advancements, researchers are able to produce nano-ceramics at a more efficient rate.

E-mail address:bozsaky@gmail.com
81
1.2. Nanotechnology in architecture

Nano-technology can be used also in architecture. Nano-silica addition to cement based materials can increase the
durability and compressive strength [3]. Wood can be composed with nanotubes or nanofibres and this products can
be twice stronger than steel [5]. Titanium dioxide (TiO2) is used in nanoparticle form to coat glazing because of its
sterilizing and anti-fouling properties [1]. Nanoparticle based coatings can provide better adhesion, transparency,
self-cleaning, corrosion and fire protection. Liquid nano-ceramic coatings are used for thermal insulation [4].
1.3. Liquid nano-ceramic thermal insulation coatings
Paint-on insulation products like ThermoShield, Protector, Manti and TSM Ceramic contain microscopic (with a
diameter of 20-120 m) cellular ceramic microspheres. These vacuum-hollow balls were made of on high
temperature melted ceramic. Its binding material is a mixture of synthetic rubber and other polymers. Main
components are styrene (20%) and acryl latex (80%). Styrene guarantees the mechanical strength. Acryl latex makes
this material resistant against weather conditions and provides adequate flexibility. Other environmental additives
(biocides, anti-fouling and antifungal materials) make the final product durable and mould-proofing. After mixing the
ceramic microspheres with the binding material, the additives and with water, using brush or vacuum vaporizer can
be taken on the surface to be insulated [4,7].
In these microscopic vacuum spaces thermal transmission processes happen in non-traditional ways. The inner
surface of cellular ceramic microspheres works as a heat mirror and reflect the 60-80% of heat radiation. Thermal
conduction is very difficult between the small interfaces of ceramic microspheres and in vacuum space minimalizes
thermal convection [1,7].
The special literature gives different technical details about these materials (Table 1). Moreover, thermodynamic
details are extraordinarily contradictory. Some sources say that its thermal conductivity is around 0,001-0,003 W/mK
[7,8], but others publish much higher values (from 0,01 W/mK to 0,14 W/mK) [6].
Table 1. Main material characteristics of liquid nano-ceramic coatings according to the special literature.[1,6,7,8]
Material characteristics
Symbol
Dimension
Value
Density (wet)
Density (dry)
Tensile strength
wet
dry
t
kg/m3
kg/m3
kPa
500-745
290-410
300-400
Adhesion strength (concrete)

Adhesion strength (steel)
Liquid water permeability
ad
ad
w
kPa
kPa
kg/m2 h0,5
460-920
470-900
0,16-0,20
Thermal conductivity
W/mK
0,001-0,003, or 0,014, or 0,14
These details are often not confirmed with laboratory tests or refer non-adequate experiments. For example, some
sources determine indirectly the thermal conductivity of this thin coating with heat transfer experiments of wall
structures according to MSZ EN 1934:2000 (Title: Thermal performance of buildings. Determination of thermal
resistance by hot box method using heat flow meter. Masonry.) and MSZ EN ISO 8990:2000 (Title: Thermal
insulation. Determination of steady-state thermal transmission properties using the calibrated and guarded hot boxes)
standards [6,7,8]. Nevertheless these methods are suitable only for determining heat transfer coefficient of the global
building structure. To measure thermal conductivity of thermal insulation materials the only suitable standard is MSZ
EN 12667:2001 (Title: Thermal performance of building materials and products. Determination of thermal resistance
by means of guarded hot plate and heat flow meter methods. Products of high and medium thermal resistance).
2. Laboratory tests and results
In the Laboratory of Building Materials and Building Physics at Szchenyi Istvn University (Gyr, Hungary)
several laboratory experiments and thermodynamic test were made with liquid nano-ceramic thermal insulation
coatings. On basis of MSZ EN 1602:2013 (Title: Thermal insulating products for building applications.
Determination of the apparent density) standard the density was determined in wet and air-dry condition. According
to MSZ EN 12667:2001 standard the thermal conductivity of this material was determined using Taurus TCA 300
82
heat flow meter. We also measured long-time water absorption according to MSZ EN 12087:2013 (Title: Thermal
insulating products for building applications. Determination of long-term water absorption by immersion.) standard.
The relationship between thermal conductivity and water content was analyzed. Experiments were performed with
conventional thermal insulation materials additional ceramic coating on one side, two sides and between two plates.
2.1. Density
For experiments enough pieces of adequate samples were necessary. The fresh liquid nano-ceramic mixture was
filled into five surface-treated wood frames and left for solidifying. After two days the samples were solid enough to
take out from the formwork and they were suitable for laboratory tests.
At first the dimensions and weight of liquid nano-ceramic coating was determined and density of them in wet
condition was calculated 510,84-555,87 kg/m3 with an average of 533,01 kg/m3 (Table2). Later the samples were
placed in a dryer case and left there at 70C and 50% relative humidity. The density was daily determined until the
samples got in air-dry condition. Summarizing the results the air-dry density of nano-caremic coating was 353,29386,25 kg/m3 with an average density of 370,28 kg/m3 (Table 2). Comparing with Table 1 is considerable that
experimentally measured density values are inserted to the range of density details presented in the special literature.
Table 2. Density and thermal conductivity of liquid nano-ceramic coatings on basis of laboratory tests.
Material characteristics
Symbol
Dimension
Value
Density (wet)
Density (dry)
wet
dry
kg/m3
kg/m3
W/mK
533
370
0,069
2.2. Thermal conductivity

After studying the special literature the measuring method of thermal conductivity was augured problematic. Heat
flow meter can only measure samples with thickness between 20-120 mm and the practical thickness of this material
is only 1-2 mm. Moreover the measuring limits of this machine are between 0,01-0,50 W/mK and some references
publish about 0,001-0,003 W/mK, which value is immeasurable with a standard heat flow meter. This is why two
different experiments were invented to determine thermal conductivity.
The first idea was to spray 1-2 mm thick liquid nano-ceramic layer on three different types of conventional
thermal insulation materials. For this procedure expanded polystyrene (EPS), extruded polystyrene (XPS) and
fiberwood were chosen and from these materials four types of samples were made:
Type 1
Type 2
Tpye 3
Type 4
Type 5
sample without coating

coating on the upper (warm) side
coating on the lower (cold) side
coating on two sides
coating between two plates.
All types of samples were tested with heat flow meter. The hypothesis was the following: If the coating has very
low thermal conductivity and also thermal mirror effect the heat transfer measurement must show significant
difference between Type 1 (without coating) and the other types (Type 2-5) of samples. Moreover samples with
coating (no matter where the coating is) should have much lower thermal conductivity than samples without coating.
But the results of this measurement traversed this hypothesis (Table 3).
With nano-ceramic coating thermal conductivity became lower only in the case of XPS samples but the decrease
of it was not as significant as expected. It was no matter that the coating was on the cold or warm side, the decrease
of thermal conductivity was nearly the same (0,91% and 1,01%). The degree of decreasing was triple (3,32%) when
the coating was on the two sides and 1,76% when it was between two plates.
Contrarily the thermal conductivity of EPS and fiberwood plates became higher when they got nano-ceramic
coating. Only the degree of increasing depended on the material, because fiberwood plates changed twice stronger
than EPS plates. One-sided coating caused 0,84% and 1,00% increase by EPS plates and 1,52% and 2,11% increasing
by fiberwood plates. Two-sided coating caused 1,76% and 2,60%, inner coating layer caused 3,43% and 7,16%
increasing of thermal conductivity. Subsequently it can be stated that low thermal conductivity and thermal mirror
83
effect of liquid nano-ceramic thermal insulation coating is not provable with heat flow tests of coated thermal
insulation plates. Moreover, liquid nano-ceramic coating seems to have a minimal destructive effect on thermal
conductivity.
Table 3. Thermodynamic test result of different thermal insulation materials with liquid nano-ceramic coating.
Materials
Without
With liquid nano-ceramic coating
coating
Warm side
(W/mK)
(W/mK)
(%)
(W/mK)
(%)
(W/mK)
(%)
(W/mK)
(%)
EPS plate
0,0399
0,0402
0,84
0,0403
1,00
0,0406
1,76
0,0412
3,43
XPS plate
0,0347
0,0343
-0,91
0,0343
-1,01
0,0335
-3,32
0,0340
-1,78
Fiberwood
0,0922
0,0936
1,52
0,0942
2,11
0,0946
2,60
0,0988
7,16
Cold side
2 Sides
Between 2 plates
On basis of these results another idea was raised. If the thermal conductivity of liquid nano-ceramic coating could
be between 0,01-0,50 W/mK it can be checked on samples that were used for density measurements. So after
determining the density the original pure liquid nano-ceramic samples were placed in the Taurus TCA 300 heat flow
meter in order to measure their thermal conductivity. According to MSZ EN 12667:2001 standard these
measurements were practicable. It wet condition (58,07% m/m moisture content) the thermal conductivity was set to
be 0,1120 W/mK but tending to air-dry condition this value increased until 0,0690 W/mK. It is very different from all
details we can find in the special literature (Table 1 and Table 2).
R2=0,868
Figure 1: The relationship between moisture content and thermal conductivity
Analyzing the connection of thermal conductivity and moisture content (Figure 1) it was proved that the
difference between thermal conductivity in air-dry condition and with a water content of 12% m/m is unnoticeable.
Passing this limit a lineal relationship is visible between thermal conductivity and moisture content so it is declarable
that thermal conductivity is directly proportional to moisture content after a limit of 12% m/m. This moisture content
84
can be termed as natural water content, which has no effect on thermal conductivity. This attribute is very similar to
natural thermal insulation products (wood wool, fiberwood, cornstalk insulation blocks etc.) even though liquid nanoceramic insulation coatings are not nearly natural, organic materials.
2.3. Water absorption
Water absorption of thermal insulation materials is a very important material characteristic and it is determinable
on basis of MSZ EN 12087:2013. This standard prescribes to store the samples under water for 28 days. The
hydrotechnical character of this material was unknown. Moreover the change of water absorption in time was also an
interesting point of view. This is why water absorption was not only determined after 28 days but at regular intervals
too. If we take a look at Figure 2 (relation between time and moisture content) it is considerable that there is high
initial water absorption at the first day. But then as time passing by water absorption is steady. The 28 days water
absorption is calculated to be 28,81% m/m but samples are not saturated after that time. Moisture content is
continuous after 28 days and it is not either tending to a predictable limit after 44 days. Water absorption experiments
are still running in order to find the limit value.
R2=0,993
Figure 2: The change of water content in time (long-term water absorption by immersion)
3. Conclusions
According to the special literature thermal transmission processes happen in non-traditional ways in liquid nanoceramic paint-on insulations because their inner surface has a heat mirror effect. The special literature gives different
and contradictory technical details about these materials.
In the Laboratory of Building Materials and Building Physics at Szchenyi Istvn University (Gyr, Hungary) the
following characteristics were controlled: density in wet and dry condition, thermal conductivity and water
absorption.
85
On basis of density measurements it is considerable that experimentally measured density values (average density
is 533,01 kg/m3 in wet and 370,28 kg/m3 in air-dry condition) are inserted to the range of density details presented in
the special literature.
Thermal conductivity measurements came up against difficulties (e.g. measuring limits). To determine thermal
conductivity two methods were applied but they were not able to prove the very low thermal conductivity nor yet the
thermal mirror effect of liquid nano-ceramic coatings. According to MSZ EN 12667:2001 the thermal conductivity
was directly measureable with a standard heat flow meter. Thermal conductivity of liquid nano-ceramic coating was
measured to be 0,069 W/mk which detail is very far from the other details presented by the references.
Beyond these experiments the relationship of thermal conductivity and moisture content was analyzed. A water
content limit of 12% m/m was determined. Under this value the thermal conductivity is constant but over this value
thermal conductivity and moisture content are directly proportional.
On basis of MSZ EN 12087:2013 standard the long-term water absorption was determined by immersion. After
the prescribed 28 days water absorption was 28,81% m/m but in contrast with traditional thermal insulation materials
it did not tend to a limit. Water absorption is constant after it and even after 44 days 38,44% m/m water absorption is
not nearly a limit value.
References
[1] M. Abdelrahman: Towards sustainable architecture with nanotechnology, Al-azhar Engineering 11th International Conference, Cairo, 2010,
paper 154
[2] D. Hoffman, R. Roy, S. Komarneni: Diphasic ceramic composites via a sol-gel method, Materials Letters, Volume 2, Issue 3, 1984, pp. 245
247
[3] W. Lan, F. Kexing, Y. Liang, W. Botao: The Application of Ceramic Coatings in Petroleum Chemical and Building Industries, International
Conference on Material and Environmental Engineering, 21.03-24.03.2014, Jiujiang (Jiangxi, China), Atalantis Press, ISBN 978-94-6252004-2, 2014, pp. 146-149.
[4] S. Leydecker: Nano-Materials in Architecture, Interior Architecture and Design, Birkhuser Verlag AG, Berlin (Germany), ISBN 978-3-76437995-7, 2008
[5] R. A. McIntyre, R. A.: Common nano-materials and their use in real world applications, Science Progress, Volume 95, Number 1, 2012, pp. 122.
[6] G. Paul, M. Chopkar, I. Manna, P. K. Das: Techniques for measuring the thermal conductivity of nanofluids: A review, Renewable and
Sustainable Energy Reviews, Volume 14, Issue 7, 2010, pp. 1913-1924.
[7] Anon.: TSM Ceramic Coatings, Fullisol Ltd., Budapest (Hungary), p. 10
http://www.fullisol.hu/files/TSM%20Ker%C3%A1mia%20bevonat_prospektus_v2.pdf
[8] Anon.: New generation thermal insulating nano-coating with micro-sized ceramic balls, Mart Ltd., Dunakeszi (Hungary), p. 8.
http://www.mahlmart.hu/docs/pages/mahlmart-prosi-eng.pdf
86
Application of full-scale experiments for structural study of high-rise

buildings
Alexej Bulgakov a*, Danil Shaykhutdinovb, Nikolay Gorbatenko b, Shikhmagomed
Akhmedovb
b
a
Platov South-Russian State Polytechnic University (NPI), Prosveshcheniya str. 132, Novocherkassk, 346428, Russia
Abstract
The paper presents the application of full-scale-model experiments to develop software and design a device for determining the
degree of reinforcement bar rusting in concrete elements of high-rise buildings. Operation of the designed device is based on the
dependence of the electromagnetic field surrounding a ferromagnetic body on its geometrical parameters and reduction of
electromagnetic properties of the ferromagnet by oxidation. To receive primary information about the electromagnetic field an
original measuring device is used, which is a matrix of high-precision electromagnetic transducers. In order to determine their
position in relation to the control object distance sensors are used. The measurement results are transmitted to a computer model
that is adjusted so that the results of modeling the electromagnetic field at the locations of transducers agreed with the results of
direct measurements. The required model parameters are the geometric dimensions of the reinforced bar.
To raise the measuring device to the height of the building structure it is proposed to install it on a quadrotor.
Keywords: full-scale-model experiment, a study of building structures, quadrotor, nondestructive testing of reinforced concrete structures
1. Introduction
Over the past few decades the construction industry has made a significant step forward. Construction technology
develops at a fast pace. It should be noted that construction projects vary in purpose, materials, height, standard life
service, purpose and operation characteristics. Increasingly, there is a need for renovation of old buildings and
structures due to changes in their functionality, improvement of design standards, as well as other factors. All this
requires the development of a variety of technologies, techniques and special equipment for testing of buildings and
structures, as well as quality control of building structures. Engineering survey of building structures is a separate
area of construction activities, covering a range of issues related to ensuring the operational reliability of buildings,
carrying out the repair work, as well as the development of project documentation for reconstruction of buildings and
structures. The amount of the structural surveys is increasing every year, which is primarily a result of deterioration
and obsolescence of buildings. Operation of buildings due to various reasons results in the deterioration of building
structures, reduction and loss of their bearing capacity, deformation and strains in individual elements and the entire
building. To develop measures to restore the performance of structures, it is necessary to carry out control survey
operations to identify the causes of premature wear, the bearing capacity reduction. A special class of problems is
* Corresponding author. Tel.: +49-1577-581-7236

87
connected with the examination of high-rise buildings. In this paper, in order to raise the measuring device to the
height of the building structure it is proposed to install it on a quadrotor [1, 2].
All nondestructive testing (NDT) methods are based on an analysis of the impact of various types of radiation on
the controlled object, the study of the nature of propagation of electromagnetic and acoustic oscillations in it, the
study of the structure of materials by conventional and electron microscopes. NDT methods are based on the
observation, recording and analyzing the results of the interaction of physical fields (radiation) or substances and the
object under control, the nature of this interaction being dependent on the chemical composition, structure of the
controlled object, etc. The use of nondestructive testing instruments helps to easily solve the problems of noncompliance with the requirements by the project contractors and the consequences of improper installation.
Depending on the nature of the interaction with the control object, passive and active control methods are
distinguished. In the first case waves generating in the object are recorded (by the noise of the operating device it is
quite possible to judge its serviceability, failure and even its character). Active methods include the ones based on
measuring the intensity of the acoustic signal transmitted or reflected by the object. Currently, the most widely used
and promising are active control methods. Depending on the physical phenomena underlying the methods of active
control, they are divided into four main types: acoustic, magnetic, eddy-current, radio-wave. Acoustic methods of
nondestructive testing such as ultrasonic flaw detectors are applied to all materials conducting acoustic waves. Eddycurrent NDT methods are based on the study of the interaction of the electromagnetic field of the eddy current
transducer and electromagnetic field induced in the controlled object of the eddy currents having a frequency up to 1
MHz. Eddy-current NDT methods are used in practice to control the objects that are made of conductive materials.
Radio-wave NDT methods are based on detection and analysis of changes in the parameters of radiofrequency
electromagnetic waves interacting with the object of control (their length ranges from 0.01 to 1 m). They provide the
object detection at a depth of 1 m with an accuracy of 5 mm. Magnetic NDT methods are based on the analysis of
interaction between the control object and the magnetic field. As a rule, they are used to determine the parameters of
objects made of ferromagnetic materials. This class of methods is divided into magnetic-particle, fluxgate, induction
and magnetic-tape methods.
To study high-rise buildings a measuring device based on magnetic induction tomography (MIT) is proposed. [3].
This method operates on the basis of the principles of magnetic induction non-destructive testing. The method allows
visualization of the magnetic permeability distribution based on the interaction of the magnetic field and the
ferromagnetic medium. The parameters of the electromagnetic field are determined by the geometrical dimensions of
the object and, in particular, they are dependent on the electromagnetic properties of ferromagnetic material, being
substantially reduced during the oxidation. In addition, this method is rather powerful in terms of varying the
parameters of the radiation to optimize the search and geometric dimensioning of re-bars.
2. Development of the measuring device
To implement the chosen method of nondestructive testing it is suggested to use a measuring device, which block
diagram is shown in Figure 1.
The measuring device includes: OPC a mini-computer for controlling the measuring process and storing the
measurement data for further processing, DAC a digital-to-analog converter that implements functions of the drive
oscillator for signal probing, PA a power amplifier which provides conditioning of an amplified signal to the DAC
output, D a switch for selecting the emitting coil from the matrix of high-precision electromagnetic transducers
(Magnetic System), MA a multichannel instrument amplifier of EMF signals derived from the outputs of the coils
unused for emitting an electromagnetic field, ADC a multichannel analog-to-digital converter for converting the
electric signal into a digital form to be recorded in OPC memory.
88
Object
1
D
PA
DAC
Magnet system
SS
OPC
en
MA
ADC
Figure 1. Block diagram of the measuring device
Furthermore, the block diagram depicts a timing element SS, intended to synchronize the digital-to-analog
converter DAC, the switch D, the analog-to-digital converter ADC.
3. Development of the Magnetic System block
To investigate the possibility of applying the principle of building the Magnetic System block (Figure 1),
simulation of the processes was performed in the GMSH + GetDP application package. Magnetic System block
model in conjunction with the test object is shown in Figure 2. In Figure 2, the following notations are agreed: 1 a
matrix of electromagnetic transducers, which are induction coils made of stranded copper wire with a w number of
turns, 2 the object of control a test cylinder of iron with a given magnetic permeability and dielectric
conductivity .
A number of experiments were carried out, in each of which electric sinusoidal current was applied to one of the
induction coils (Figure 2, 1.1) and magnetic flux , intersecting the section of the other coils was measured.
Examples of the results of measuring magnetic flux as a function of magnetic induction B are shown in Figure 3:
= (),
where i a sequence number of each of the measuring induction coils.
Figures 3a, 3b, 3c show simulation results for the induced magnetic flux in the presence of a sample of 12 mm (a
red line), 13 mm (a blue line) in diameter, and in the absence of the test sample (green line) in the induction coils
marked in Figure 2, respectively 1.2 (Figure 3a), 1.3 (Figure 3b), 1.4 (Figure 3c) at the frequency of the sinusoidal
electric current in the induction coil 1.1 (Figure 2), equal to 1 kHz. Figures 3d, 3e, 3f show similar results when the
frequency of the sinusoidal electric current in the induction coil 1.1 (Figure 2) equals 10 kHz.
89
1.1
1
1.3
1.4
1.2
Figure 2. Model of the matrix of electromagnetic transducers of the measuring device.
0,0000002
2E-08
, Wb
1,5E-07
8E-08
, Wb
1,5E-08
0,0000001
1E-08
5E-08
t, ms
4E-08
5E-09
t, ms
0
0
0,2
0,4
0,6
0,8
1,2
1,4
-5E-08
2E-08
0,2
0,4
0,6
0,8
1,2
1,4
-5E-09
-2E-08
-1E-07
-1E-08
-4E-08
-1,5E-08
-6E-08
-2E-07
-2E-08
2E-08
, Wb
0,0000001
5E-08
t, us
0
40
60
80
-1E-07
8E-08
, Wb
1,5E-08
6E-08
1E-08
4E-08
5E-09
t, us
100
120
-5E-09
1,2
1,4
, Wb
t, us
0
0
20
40
60
80
100
120
-2E-08
-4E-08
-2E-07
-1,5E-08
-6E-08
-2,5E-07
-2E-08
0,8
2E-08
-1E-08
-1,5E-07
0,6
0
20
0,4
1,5E-07
-5E-08 0
0,2
-8E-08
a
2,5E-07
t, ms
0
0
-1,5E-07
0,0000002
, Wb
6E-08
20
40
60
80
100
120
-8E-08
Figure 3. Examples of the dependencies of magnetic flux on the time (t), obtained by simulation in GMSH + GetDP environment for various
measuring induction coils
For processing of the received aggregate time characteristics from all the induction coils we suggest to use the
original method of full-scale-model experiment.
90
4. Application of the full-scale-model experiment to determine the parameters of the ferromagnetic elements
of reinforced concrete structures
It is suggested to analyze high-rise buildings by means of magnetic induction tomography (MIT) [3]. This method
allows visualization of the distribution of magnetic permeability based on the interaction of the magnetic field and
the ferromagnetic medium. The magnetic field is generated in the object of study by the system of coils located at its
surface. Information on the magnetic properties of the object of study, obtained as a result of the field response, is
inputted into a computer. Its software contains a computer model that includes a mathematical model describing the
distribution of the field in the object, techniques of modeling and functional minimization. As a result of solving the
inverse problem an unknown distribution of the magnetic permeability and geometrical sizes of re-bar inside the
object of study is restored, that can be used in nondestructive testing of concrete elements in high-rise buildings. This
problem belongs to the inverse problems of mathematical physics.
To solve such a problem it is advisable to use a methodology of full-scale-model experiment. The effectiveness of
this approach for determining the magnetic parameters of electrical products is shown in [4, 5]. The special feature of
this methodology is that the results of the experiment are used as the input data for simulation of the electromagnetic
field of the test structure, and as a criterion for assessing the accuracy of the numerical solution to this problem.
To solve the problem we propose the following algorithm for a full-scale-model experiment in MIT:
1. A magnetic field is generated by applying a current pulse to excitation winding V and magnetic induction
Bi i 1,2,..., N is measured, where N a number of measuring transducers.
2. We set the initial values of the magnetic permeability of the subdomains of the test object i and the
0
geometrical parameters g i
f 0 10 , 02 ,..., 0m1 , g10 , g20 ,..., gm0 2 .
3. We solve the direct problem.

The magnetic field equation has the form of
rotH ; div B 0 ,
(1)

wherein B , H vectors of the magnetic flux density and magnetic field strength, respectively, the known
current density in the excitation winding V .
For the system (1) B 0 H in the air V0 and in the excitation winding V ; B Fe H in ferromagnets
VFe ; Bn Bn ; H H .
On the basis of the equation div B 0 , we introduce the magnetic vector potential

A by relations rotA B ;
div A 0 . Using A , we transform the system (1). As a result, we obtain
V ;
1
1
div grad A
div grad A 0 VFe .
0
0 V0 ;
(2)
At the interface we have
1 A
1 A
.
n n
A A ;
(3)
The solution of system (2) with condition (3) can be conveniently found by using the variational version of the
finite element method (FEM) [6]. Minimization of the functional corresponding to problem (2), (3) leads to a system
of algebraic equations.
k
ij
91
Ai
1
0k S k , k 1,2,..., N ,
3 k
(4)
where
ijk grad ik grad kj dV , ik and kj the basic functions of the k-th finite element; S k area of the
Vk
face of the k-th finite element.

0
After solving the system (4), we find Bi
i 1,2,..., N , where N a number of measuring transducers.

2
1. Calculate the square of the norm of the difference J i Bi Bi

0
2. Check the condition J i , where accuracy of determining the minimum of the functional J i .
3. If the condition of point 4 is satisfied, the solution is obtained and it equals f
. Otherwise, using the gradient
k 1 k
1
method of minimizing the functional J, we find the next approximation f . Here ratio f
f grad J k is
used, wherein
a diagonal matrix of steps.
4. Return to point 3, using the new f values.

5. Conclusion
An algorithm was developed to implement the method of full-scale-model experiment as the basis for the software
and design of a device for determining the degree of reinforcement bar rusting in concrete elements of high-rise
buildings. To get raw information about the electromagnetic field an original design of the magnetic system, which is
a matrix of high-precision electromagnetic transducers was proposed and studied. The measurement results undergo
processing in a computer model, which is set in such a way that the result of a simulation of the electromagnetic field
at the locations of transducers should coincide with the results of direct measurements.
Acknowledgements
The study results are obtained with the support of the project #1.2690.2014/K Methods to solve inverse problems
of complex system diagnostics (in engineering and healthcare industry) based on full-scale and modeling testing,
implemented within the scope of a designing stage for the state-given job.
References
[1] Bertram T., Bock T., Bulgakov A., Evgenov A. Generation the 3D Model Building by Using the Quadcopter // 31st International Symposium
on Automation and Robotics in Construction and Mining, 9-11 July 2014, Australia. Sydney, University of Technology, 2014, pp. 778-783.
[2] Waslander, S.L., Hoffmann, G.M., Jung Soon Jang, Tomlin, C.J. Multi-agent quadrotor testbed control design: integral sliding mode vs.
reinforcement learning. Intelligent Robots and Systems, 2005. (IROS 2005). Page(s): 3712 3717.
[3] Soleimani M., Lionheart W.R.B. Image Reconstruction in Three-Dimensional Magnetostatic Permeability Tomography IEEE Transactions on
Magnetics, vol. 41, no. 4, April 2005. pp 1274-1279.
[4] Gorbatenko N.I. Natural-model tests of products made of ferromagnetic materials. Rostov-on-Don: SKC VS, 2001. 392 p.
[5] Shaykhutdinov, D.V., N.I. Gorbatentko, Sh. V. Akhmedov, M.V. Shaykhutdinova, K.M. Shirokov, 2013. Experimental and Simulation Tests
of Magnetic Characteristics of Electrical Sheet Steel. Life Science Journal. V. 10, No. 4. pp. 2698-2702.
[6] Zenkevich O., Morgan K. Finite Elements and Approximation Moscow.: Mir. 1986. 318 p.
92
A case study on the expansion of power plant from simple cycle to

combined cycle
Hoon Choi*, Hyouk Sueng Kwon, Dong Won Shin, Han Seok Kwon
KEPCO E&C, 2354 Yonggudaero, Giheung-gu, Youngin-si, Gyeonggi-do, 446-713, South Korea
Abstract
This is a case study of expansion of a power plant from a simple cycle to a combined cycle in Cote dlvoire in West Africa. The
project is called CIPREL IV Volet B Project. The original plant was composed of 2 units of Gas Turbines (GT) and related
equipment. With increasing demands on the electricity in Cote dlovire, the owner of the plant came up with an expansion plan
and KEPCO E&C won an EPC project. For the expansion of power plant, a Steam Turbine (ST), two units of Heat Recovery
Steam Generators (HRSGs), an Air Cooled Condenser (ACC), and many of other equipment are installed. This paper focuses on
civil works among many fields of engineering in the project. In this paper, efforts to overcome environmental and geographical
challenges are described. Creative civil design concepts and construction methods of civil works are also described. To address
the underground water, the submerged rectangular concrete casing method was applied. Vibration damping springs were installed
under the ST foundation instead of pile works. To avoid interference between exist piping line and new civil structure, and to
maximize the efficiency, precast concrete product and related construction method were applied. Furthermore, to save
transportation costs, steel members were divided into segments and delivered using container.
Keywords: Combined Power Plant, Expansion, Submerged Rectangular Concrete, Vibration Damping Spring, Precast Concrete Product, Segment
1. Introduction
1.1. Project General
The Republic of Cote d'Ivoire, the driving force of West Africa, has resolutely taken up the path to development
in a climate of peace. This move will inevitably require investment in infrastructure and electric power, an area
where demand is growing at a fast pace (+18% annually). According to this demand increase, the CIPREL IV Volet
B Project had been started in the middle of 2013. The plant had been already operated in the simple cycle mode with
2 units of gas turbines and generators. To increase efficiency of power generating capacity without additional fuel,
the expansion works from simple cycle to combine cycle had been begun. To this end, one (1) Steam Turbine (ST),
two (2) Heat Recovery Steam Generators (HRSGs), one (1) Air Cooled Condenser (ACC), and related equipment
were installed.
This is ongoing project and is schedule to be finished in December 2015. This paper is focused on civil works
among many fields of engineering in the project. In this paper some of creative civil design concepts and
construction works are introduced to overcome obstacles for the successive project.
* Corresponding author. Tel.: +82-31-289-4124 ; fax: +82-31-289-4323

E-mail address:hchoi@kepco-enc.com
93
Figure 1. Schematic View of Combined Power Plant (Expansion Concept)
2. Plan and Construction

As shown on Figures 2 and 3, the master plan was composed with GTG (Gas Turbine Generator) 1 and 2 that are
existing. The GTGs generate electricity using fuel gas and emit exhaust gas with heat. This exhaust gas is transferred
to HRSG (Heat Recovery Steam Generator) 1 and 2, and steam is generated inside of HRSG 1 and 2. HRSG 1 and2
are new facilities. The steam is transferred to STG (Steam Turbine Generator) that is inside of STB (Steam Turbine
Building) through the steel pipe line on the piperack. Steam pipe is most important pipe among the entire piping
system. STG, STB, Piperack and Steam pipe line are new facilities. Using steam, STG can generate electricity and
this generated electricity is transferred to transformer nearby STB through IPB (Isolate Phase Bus). Used steam is
transferred to ACC (Air Cooled Condenser) for cooling and recycling. At ACC, used steam is cooled, condensed and
become water. This condensate water is transferred to HRSG again for recycling. The ACC is controlled in the ACC
electrical room under the ACC and those are also new facilities. The waste water from each facility is transferred to
the water treatment facility. Before waste water is discharged to outside of plant, water is treated fully. The expected
total amount of generated electricity is 119MV.
Figure 2. Project View
Figure 3. Mast Plan of Project
94
3. Obstacles to Project
During the project, we have faced many kinds of obstacles. In this paper, we describe briefly four main obstacles
and how we could address them. First is that the entire process of the project including design, procurement, delivery
and construction shall be finished only within 2 years. Second is distance from Korea to Cote dIvoire taking more
than 20 hours by airplane. Furthermore, communication between the design team in Korea and the construction team
in Cote dIvoire is difficult due to an 8-hour time difference. Because of the short project duration, sometimes
engineering decisions shall be made urgently between design and construction engineer groups with considerable
thought. However, these kinds of judgments are hard to make fast due to the time difference. As a result, this may
induce waste time of construction. Third is lack of quality infrastructure in Cote d'Ivoire. According to the minimum
functional specifications (MFS), we have to produce results with high quality within a limited project budge. We had
to use domestic construction equipment (fork lift, back hoe, drilling equipment, etc) and construction materials (steel
plate, anchor, etc.) to minimize unnecessary spending according to priority. The transportation costs may exceed the
budget, if all equipment and materials are procured outside of Cote dIvoire. However, we sometimes cannot use
heavy equipment because of limitation on available equipment. So, we must wait until such heavy equipment is
available. It is indeed difficult to speed up construction works even after necessary equipment acquired because of
poor management conditions. As a result, we shall undergo the project with limited construction techniques. These
obstacles are summarized on Table 1. Fourth is natural and social environment limitation. During the raining season
(about 2 months), construction cannot be carried out preventing from securing enough time. The construction site is
reclaimed land and there exists sea nearby the construction site. So underground water elevation (EL.) is only GL 2.0m. In addition, the leaked oil from the underground oil pipe line is mixed with the water. So, we shall treat this
oily water before draining this oily water out of the site. The spread of Ebola-virus disease in 2014 in the West
Africa region also brought impacts on the procurement plan.
Table 1. Obstacles toProject
First
Second
Third
Forth
Short construction period
Distance and time different
Lack of equipment and low

quality of material
Natural and social condition
Figure 4. Site View After Rain Fall
Figure 5. Underground Water After Excavation
95
4. Efforts
4.1. Vibration damping spring
We applied vibration damping spring between STG and STG foundation. STG is one of the most important and
expensive equipment for a power plant. As STG is rotary equipment, stability check under each step of vibration
shall be conducted. In consideration of the sensitive characteristic of STG against vibration, STG foundation is
usually constructed directly on the bed rock or pile foundation is applied. In this project, after detail structural
analysis by civil engineers, we noticed a huge STG foundation will be needed with a deep foundation (pile or casing)
due to the bad status of geological condition where soil lay is too thick. It is the reason that we cannot apply point
bearing piles even though the soil status (sand) itself is relatively good. Instead of soil improvement and huge
foundation, we selected to install vibration spring. By adopting this design concept, cost increase in civil material,
construction fee and duration outweighs additional costs increase in the equipment price itself.
Figure 6. Vibration Damping Spring
Figure 7. STG Foundation (sub part) Before Vibration Damping

Spring Installation
4.2. Segments delivery

We divided structural steel members to segements and transported them to the site using container boxes. Usually,
one boby member (not segement) is better considering convenience of installation and detail steel design since
connection details are not needed. In this sense structural steel member is ususally fabricated as one body member if
fabrication is available and there is no problem on lifting, installation, transportation technique. However, we
devided one structural steel member into segements for better transportability from the fabrication factory in Dubai
to the construction site, even though no issues on fabrication, transporation technique, lifting and installation were
forseen. In case that some long members cannot be transported using container, they had to be shipped as bulk cargo
despite small amount, charging more than the costs of connection detail fabrication works because of long
transporation distance..
4.3. Submerged rectangular casing method
Inside of STB, there needs a deep concrete pit (bottm elevation is about GL -7.0m) in order to guarantee the
performance of ACC. However, there exists eletrical building in the near distance and ground water elevation is GL 2.0m. For water prevention, sheet-pile method is not available with no available sheet pile and related equipment at
that time, which in turn we have to select submerged concrete casing method instead of any other water prevention
methods. Figure 8 shows the section view of a concrete pit. The Submerged rectangular casing method is applied
according to the following procedures;
1st : Construct the 1st wall of a concrete pit on soil
2nd : Bituminous coating for concrete protection and decrease friction between soil and concrete pit
3rd : Submerge
4th : Construct the 1st, 2nd slab and 2nd wall
96
(a) Section
(b) Concrete Work for the 1st Wall on Ground
(c) Submerge
Figure 8. Construction of Submerge a Concrete Pit
4.4. Precast concrete product

We applied precast concrete product to the site boundary wall (Length: 420mm, Height: 5.0m) to save costs and to
accelerate construction works together since no form work was needed with placing the precast concrete shop in the
corner of the site. All precast walls and columns for the site boundary wall were made at site.
(b) Construction
(a) Precast Shop Plate

Figure 9. Construction of Precast Site Boundary Wall
97
5. Conclusion
For expansion works for a combined power plant, new equipment shall be installed while obstacles potentially
interrupting constructions works exist. In an effort to tackle such obstacles, creative methods as shown below were
introduced and applied to the civil works. As a result the total costs could be saved and construction could be
preceded as planned while achieving cost cuts.
(1)
(2)
(3)
(4)
Vibration damping spring

Segments delivery for steel member
Submerged concrete casing work
Precast concrete
For the success of project, most important thing is to make a close investigation about site condition, usable
infrastructure and culture. Sometimes old technique can be better than latest technique when we consider all things at
the same time. So, technical decisions through brainstorming among engineers like described above are very
important and essential.
Acknowledgements
This research was supported by the CIPREL IV VOLET B EPC Project of KEPCO E&C (code 41A15). The
financial support provided by the above Project of KEPCO E&C is acknowledged.
References
[1] American Concrete Institute (2005), Building Code Requirements for Structural Concrete (ACI 318-05) and Commentary (ACI 318R-05),
ACI Committee 318, Farmington Hills, Michigan.
[2] Salmon, C. G. and Johnson, J. E. (1996), Steel Structures Design and Behavior, Harper Collins College Publishers, New York.
[3] Park, R. and Paulay, T. (1975), Reinforced Concrete Structures, John Wiley & Sons, New York.
98
Multi-criteria comparative analysis of vertical baffles in traditional

technology
DROZD Wojciech, PUECKI Damian*
Drozd, Cracow University of Technology, Poland, PhD Eng
Puecki, Cracow University of Technology, Poland, MSc.
Abstract
Vertical partitions are a very important part of the building. They have many functions. Polish buildings employ many solutions for
vertical baffles using traditional technology. This is a decision problem for investors.This article will help to solve this problem.
Which is the best solution? The author used a multi-criteria comparative analysis. Five systems were analysed: Porotherm, Ytong,
Silka, Thermomur and Optiroc Blok.As a result, the article ranks all variants solutions of the traditional technology.
Keywords: vertical baffles, traditional technology, multi-criteria comparative analysis.
1. Introduction
The purpose of this paper is to help in the decision which of the solutions for vertical partitions currently used in
traditional technology is the best. Most investors when planning construction using porous ceramics would choose
Porotherm, when in need of aerated concrete blocks, they would probably select Ytong. Silka sand-lime products and
Optiroc Blok expanded clay blocks would also be taken into account. The last, fifth choice of material is the
Thermomur insulated concrete forms. This article attempts to make a distinct, multifaceted comparison of the analysed
systems, using ultimate criteria, which have been given a hierarchy of importance. Multi-criteria analysis made it
possible to rank the solutions analysed from highest to lowest on a scale. The five systems amounted to as many as 31
variants, giving the investors the choice of a variant that meets their expectations. The solutions ranked in this manner
allow for a critical assessment of their advantages and disadvantages.
2. Initial set of criteria
The initial set of criteria includes 16 criteria of destimulants and stimulants (Table 1) ,:
Table 1. Initial set of criteria.
No.
Criterion
K1
Description of the criterion

Unit of measure: [PLN/m2]
* Tel.: +0048-12-628-2125; fax: +0049-12-628-2330.

E-mail address: wdrozd@ztob.pk.edu.pl
99
Cost of building (R, M, S) 1 m 2 of the gross

surface area of the outer wall
Character of criterion: Destimulant

Type of criterion: Measurable
K2
Time of building 1 m 2 of the surface area of the

outer wall
Unit of measure: [h/m2]

K3
Thermal insulation U of vertical partitions

without plaster
Unit of measure: [W/(m2K)]

K4
Sound insulation RA2 of a single element without

plaster
Unit of measure: [dB]

Character of criterion: Stimulant
K5
REI fire resistance of a single element without

plaster with a load of 1.0
Unit of measure: [min]

K6
Characteristic compressive strength fk of a single

element
Unit of measure: [MPa]

K7
Weight of a single element
Unit of measure: [kg/pc.]

Character of the criterion: Destimulant
K8
Width of the vertical partition with the possible

thermal insulation without plaster
Unit of measure: [m]

K9
Number of layers of the vertical partition

without plaster
Unit of measure: [Integer]

Character of the criterion: Destimulant
K10
Use of single elements per 1 m2 of the surface of

the outer wall
Unit of measure: [pc./m2]

K11
Use of mortar per 1 m2 of the surface of the

outer wall
Unit of measure: [L/m2]

100

K12
Tools for cutting individual elements
Assessment based on 1-4 scale:

1 - No possibility of cutting elements;
2 - Cutting elements using a regular handsaw;
3 - Like 2, plus the possibility to use a regular chainsaw;
4 - Like 3, plus the possibility to use special recommended cutting
tools.
Type of criterion: Immeasurable
K13
Facilitating the transfer of individual elements

and their bricklaying
Assessment based on 1-4 scale:

1 - Absence of any profiling of elements;
2 - Face with tongue and groove profile;
3 - Like 2, plus the use of the mounting brackets in the elements;
4 - No use of vertical and horizontal joints, and elements
combined like LEGO bricks.
K14
Types of mortar used in the construction of

vertical partitions
Assessment is based on the scale: 1 5

1 - Use for erecting vertical partitions using a specific class of
concrete mix
2 - Use for laying regular cement-lime mortar;
3 - Like 1, plus the possibility to use insulating mortar;
4 - Use of commercial mortar for thin horizontal joints;
5 - Like 3, plus the possibility to use foamed mortar under
pressure;
K15
Available product range within a single system

for erecting vertical partitions
Unit of measure: [Integer]

K16
Presence of various additional elements for the

system for erecting vertical partitions
Unit of measure: [0 or 1]
Type of criterion: Two-level
101
3. Building a matrix for the criteria graph's arc

Building a matrix for the criteria graph's arc consists of building matrix G with the size (n + 1, n + 1) where n is the
number of sub-criteria. The 17 x 17 matrix constructed is presented in Table 2. Each pair of criteria Ki, Kj, where i j,
is analysed in regard to the data which they provide about the evaluated solution. If this data partially overlaps , i.e.
refers to the same features of a solution, then the direction of this relationship is examined. When the criterion K j
contains a bit of data Ki, this means there is a connection of Ki and Kj via an arc directed from Kj to Ki. This data is
coded by assigning a value of 1 to element G (j, i) and a value of 0 to element G (i, j). If bits of data Ki and Kj are
independent, the value of 0 is attributed to elements G (i, j) and G (j, i). A global criterion Kn + 1 is also introduced,
which is connected to each of the remaining criteria by assigning the value of 1 to the elements G (n + 1, k) for k = 1,
..., n and the value of 0 to the elements G (k, n + 1) for k = 1, ...,n..
Table 2. Criteria graph matrix.
K1
K2
K3
K4
K5
K6
K7
K8
K9
K10
K11
K12
K13
K14
K15
K16
KG
K1
K2
K3
K4
K5
K6
K7
K8
K9
K10
K11
K12
K13
K14
K15
K16
KG
4. Layered organisation of the criteria graph's arc and the final set of criteria
The matrix of the graph of criteria G = {gij}, shown in Table 2, shall be organised in a layered manner. This means
that for the matrix, we will calculate:
bj 0 = n+1
(1)
i=1 g ij
Where:
bj0 - Number of arcs entering the j-th vertex.
Vertices Kj for which bj0 = have the 0-th order.
102
The next step is to calculate the following values:

0 when bj
bj = {
bj
k1
k1
=0
i=Zk1 g ij when bj
k1
(2)
0
Where:
Zk-1 - Set of vertices, for which bjk = 0.
Vertices for which bjk = 0 have the k-th order.
Completion of the calculation process takes place when bjk = 0 for j = 1, ..., n + 1 [3].
The criteria assigned to the respective layers are presented in Table 3.
Table 3. Criteria adapted to the respective layers.
Criteria
Layer 0
KG
Layer 1
K3
K4
Layer 2
K9
K14
Layer 3
K10
K11
Layer 4
K2
Layer 5
K1
Layer 6
K15
Layer 7
K16
K5
K6
K7
K8
K12
K13
The final set of criteria consists of seven criteria from the first layer of organisation, which consists of:
K3 Thermal insulation U of vertical partitions without plaster;
K4 Sound insulation RA2 of a single element without plaster;
K5- REI fire resistance of a single element without plaster;
K6 Characteristic compressive strength fk of a single element;
K7 Weight of a single element;
K8 Width of the vertical partition possibly with thermal insulation without plaster;
K12 Tools for cutting individual elements.
In addition, the final set of criteria is further extended by two criteria, as they are important for all investors. All
decision makers in order to select the optimal materials for the vertical partitions are guided by the following criteria:
K1 Cost of building (R, M, S) 1 m 2 of the gross surface area of the outer wall;
K2 Time of building 1 m 2 of the surface area of the outer wall.
Upon the completion of modifications, the final set consists of nine criteria. All of these criteria will be taken into
account in the further part of the study, in the multi-criteria comparative analysis. The selected set of nine criteria will
represent variants of materials used for the construction of exterior walls.
5. Weights of the criteria

In multi-criteria evaluation, it is often necessary to take the hierarchy of the adopted criteria into account. This
process can be supported by pair analysis. It involves the construction of the square matrix A with the dimensions n x
n, where n is the number of criteria. Elements aij of this matrix are assigned a value based on the preferences specified
by the author. If criterion ki is more important than kj, then aij = 1, otherwise aij = 0. An exception is the diagonal of
matrix A, in which aij = 1. Next, the elements of matrix A are added along the line to obtain a reliable indicator of the
weight of the i-th criterion. This sum is converted in such a manner that the value of the weight indicator belongs to
the desired interval 0 - 1. Table 4 shows the pair analysis and the values which form the weights of the final criteria
[3].
103
Table 4. Pair analysis with the weights of individual criteria.

No.
K1
K2
K3
K4
K5
K6
K7
K8
K12
Sum of the
criterion
Weight of the
criterion
K1
0.111
K2
0.089
K3
0.200
K4
0.156
K5
0.133
K6
0.178
K7
0.044
K8
0.067
K12
0.022
TOTAL 45
1.000
6. Coding variant measurements

Thirty one variants were selected for the analysis (Figure 1). Standardisation was used when coding to move from
dimensional values to dimensionless values. The purpose of standardisation is to replace the fractional measure xij with
its relationship to the maximum value of the measure according to criterion K j for all variants. In case of the criteria
which are a stimulant of the measure of the i-th variant according to the j-th criterion, the following calculations were
made[3]:
zij =
xij
xjmax
(3)
Where:
xjmax - Maximum value of the measure according to the j-th criterion.
In case of the criteria which are a destimulant of the measure of the i-th variant, the following calculations were
made:
zij =
xij
xjmax
(4)
Converting the decreasing values into increasing ones, i.e. applying maximization, the following calculations were
made:
1
xij = x
ij
(5)
Where:
xjmax - Maximum value of the measure of the j-th criterion after maximization.
7. Synthetic scores- correcting variants of the solutions
In the multi-criteria analysis, variants was assessed using five indicators of adjusted synthetic scores. Based on the
results, the best material was selected, which received the highest numerical score between 0 - 1. Formulas used in the
assessments are as follows [3]:
Adjusted multi-application index: Ji = m
j=1 zij j , wherein zij > 0,(6) vj - is the criterion weight, m - is the
number of criteria;
Adjusted summation index: Ji = m
(7)
j=1(zij j );
Adjusted additive index: Ji =
1
m
m
j=1(zij j );
(8)
104
m
j=1 j
Weighted harmonic mean: Ji =
j
Weighted geometric mean: Ji = m
j=1(zij ) , wherein zij > 0.
j
zij
vj
m
j=1
, wherein zij > 0;
(9)
(10)
8. Summary of the variants of solutions for all the systems

Chart 1 shows all the variants of the solutions, from the highest score to the lowest. In addition, the cost of
constructing (R, M, S) 1 m 2 of gross surface area of the outer wall has been added. This allows to see the results not
only from the point of view of the final assessment of the adjusted summation index, where the price having a weight
of 11.1% was already taken into account, but also gives the opportunity to visualize the cost of each variant of the
solutions, for which the investor must be prepared.
Figure 1. Results of the adjusted summation index (from the highest) together with costs.
105
Chart 2 shows the all the variants of the solutions together, from the highest score to the lowest, and additionally
the construction time for 1 m2 of the outer wall. For investors, this information is also quite significant. This criterion
was included in the multi-criteria analysis and has a weight of 8.9%.
Figure 2. Results of the adjusted summation index (from the highest) together with time.
106
9. Conclusions after ranking the variants of the solutions

The Investor, after becoming familiar with graphs 1 and 2, might notice that the highest possible rating according
to the adjusted summation index was given to Thermomur 450 th. Expanded polystyrene concrete formwork with
different widths of blocks have ranked first, second and sixth in the ranking. The third, fourth and fifth places are
occupied by another analysed product - Silka sand-lime products. Places from the seventh to the nineteenth except the
twelfth and eighteenth are occupied by Ytong solutions. This system ranks in the middle of the ranking. The twelfth
and eighteenth positions are occupied by Optiroc Blok expanded clay blocks. Places from the twentieth to the last are
occupied by Porotherm. Maybe it's a little surprise why this is so. Last place in the ranking for Porotherm is caused,
inter alia, by the need to perform thermal insulation on the walls made of the hollow bricks produced before 2014,
whose parameters do not meet the requirements for thermal insulation, according to the Regulation [2].
References
[1] Polish Standard PN-EN 1996-1-1:2010 Eurocode 6. Design of masonry structures.
Part 1-1: General rules for reinforced and unreinforced masonry structures.
[2] Regulation of the Minister of Infrastructure of 12 April 2002 on the technical conditions to be met by buildings and their location (Journal of
Laws of 2002 No. 75, Item 690, as amended).
[3] Deszcz J., Szwabowski J.: Multi-criteria comparative analysis. Theoretical basis and examples of applications in the construction industry.
Silesian University of Technology, Gliwice 2001.
107
Porosity of self-compacting concrete

Abdulkader El Mir*,Salem Georges Nehme
PhD Student, Department of Construction Materials and Technologies, Budapest University of Technology and Economics, Budapest, Hungary
Associate Professor, Head of the Laboratory, Department of Construction Materials and Technologies, Budapest University of Technology and
Economics, Budapest, Hungary
Abstract
The construction industry demands more durable concrete with high performance. Self-compacting concrete (SCC) is developing
gradually to meet many aspects of construction technology, especially reinforced concrete. On the other hand, durability
properties still need some enhancements particularly in term of microstructure properties. Furthermore, there is a lack of research
on non-destructive testing of self-compacting concrete. Question arises: are the contexts on the strength of conventional normal
concrete (NC) extendable on the strength of SCC? Laboratory tests were carried out at the BME, Department of Construction
Materials and Technologies. Aim of the research was to determine the service life of SCC with respect to normal concrete.
Constant and variable parameters were determined to the concrete mixes. Constant parameters were: type of cement CEM III-A
32.5 N-MS and grading curve of the aggregate. Variable parameters were: water-cement ratio, content of cement, content of
limestone powder. The purpose of this study is to analyze the implementation of economical non-pozzolanic filler additive
(limestone) into the concrete matrix of SCC. Normal and self-compacting concrete mixes were prepared to reach a correlation
between porosity indicators. Results indicated that SCC mixtures had more reliable rebound index and lower total porosity values
than NC; whereas water absorption in SCC was found to show considerably higher values than references NC mixes.
Keywords: Durability; Porosity; Self-compacting concrete;Strength; Surface hardness.
1. Introduction
Progress in concrete technology has led to the advancement of a new type of concrete, which is known as selfconsolidating concrete or self-compacting concrete (SCC). It is a highly flowing concrete that spreads through dense
reinforcement, reaches every corner of the formwork, and is consolidated under its own weight without vibration or
any other means of compaction [1]. Nowadays, SCC is becoming more popular and demandable worldwide due to its
workability and efficiency. Generally, SCC components are typically identical to normal concrete (NC) with high
filler content added, i.e. fly ash limestone powder and others. SCC has been distinguished from NC in term of pore
microstructure mainly to the implemented filler materials and human non-intervention factors (vibration). Hence
durability and pore structure are interconnected and relatively different in SCC. Concrete must be durable against
several exposure circumstances which lead to deterioration processes. These processes can be categorized as
mechanical (impact, fatigue and abrasion), physical and chemical i.e. (freeze and thaw cycles, carbonation, sulfate
attack and others). Absorption-related properties test is applied to indicate the porosity and potential durability of
concrete [2]. In this study, our target is to investigate the water absorption and total porosity of SCC, related to the
* Corresponding author. Tel.: +36203557384

E-mail address:abdelkader.elmir@gmail.com
108
experimental results of surface hardness test (Schmidt hammer) and evaluate if SCC has a well-defined higher
resistance than NC with respect to durability and structural integrity.
2. Experimental program
2.1. Materials
Danube aggregates, slag cement, limestone powder, tap water and polycarboxylate-based high range water
reducing admixtures were applied to produce several NC and SCC mixtures. Local natural sand is used as fine
aggregates with a fraction between (0-4 mm). A fixed proportion of particle size distribution is divided as 45%
(0-4 mm), 20% (4-8 mm), and 35% (8-16 mm) respectively. Gravel extracted from river was used as coarse
aggregates is based on a maximum diameter size of Dmax= 16 mm. Limestone powder produced from carboniferous
limestone (98% of CaCO3 content) with corresponding specific gravity (2.7) is implemented as a filler for SCC.
Duna-Drava CEM III/A 32.5 N-MS is used in the concrete mixtures. It has a special characteristic of moderate
sulfate corrosion resistance. New generation (Sika ViscoCrete Neu-5) is applied as HRWRA. It is an aqueous
solution of modified polycarboxylates. On the other hand a stabilizer is used in the case of excess use of water or
superplasticizer (Sika stabilizer 4R). In this study, a total of fifteen SCC and NC concrete mixtures were prepared
with various cement content. Three separate water to cement ratios (w/c) were permanent with respect to limestone
variation into the mixtures. Grading curve and cement type were constant parameters whereas cement and limestone
fine-content (w/f) content were variable parameters. For more details, mixtures proportions are shown in table 1-2
respectively.
Table 1. Mixture proportions of fresh concrete (kg/m3 ).
SCC-1
SCC-2
SCC-3
SCC-4
SCC-5
SCC-6
SCC-7
CEM III 32.5 N-MS
320
360
400
320
360
400
320
Water
180
180
180
180
180
180
180
Limestone
300
260
220
260
220
180
200
Agg.(0-4 mm)
700
701
703
717
719
721
744
Agg.4-8 mm)
311
311
312
319
319
320
330
Agg.(8-16 mm)
544
545
547
558
559
560
578
Sika 5 Neu
1.28
1.84
1.28
1.8
2.2
1.744
Sika 4-R
0.6
0.66
0.216
w/c
0.561
0.5
0.45
0.561
0.5
0.45
0.561
w/f
0.29
0.29
0.29
0.31
0.31
0.31
0.34
109
Table 2. Mixture proportions of fresh concrete (kg/m3 ).

SCC-8
SCC-9
SCC-10
SCC-11
SCC-12
NC-1
NC-2
NC-3
CEM III 32.5 N-MS
360
400
320
360
400
320
360
400
Water
180
180
180
180
180
180
180
180
Limestone
160
120
160
120
80
Agg.(0-4 mm)
746
747
762
763
766
833
817
802
Agg.4-8 mm)
332
332
338
339
341
370
363
356
Agg.(8-16 mm)
580
581
592
593
596
648
635
623
Sika 5 Neu
1.548
1.76
1.408
1.44
1.4
0.672
0.594
0.76
Sika 4-R
0.216
0.216
0.033
w/c
0.5
0.45
0.561
0.5
0.45
0.561
0.5
0.45
w/f
0.34
0.34
0.375
0.375
0.375
0.5625
0.5
0.45
2.2. Specimens
Fourteen 150 mm cubes were prepared and evaluated for compressive strength. Specimens were tested on a 3000
kN compression test machine (Form-Test Alpha 3000). Surface hardness was determined using N-type Schmidt
hammer. Total porosity and water absorption tests were executed. Cubes were removed from their formwork after 24
h of casting and kept for 28 days in water for curing.
2.3. Surface hardness determination
The most widespread non-destructive test for concrete strength is the portable Schmidt hammer. According to EN
12504-2 [3], hardness of the concrete surface can be determined on cube specimens areas (150150 mm) of NC and
SCC at the age of 28 days. In order to understand the behavior of this instrument, it is important to recognize the
factors that are affecting the rebound distance. The energy absorbed by the concrete depends on the stress-strain
relationship of concrete. Thus, the absorbed energy depends on the strength and stiffness of concrete. The surface
texture influences the rebound value. When the test is performed on a rough concrete surface, we might have some
local crushing under the plunger and the reflected value will be lower than the actual one [4]. N-type hammer is
applied on our specimens. it is designed for concrete testing elements with 100 mm or more thickness, or concrete
with maximum gravel size less than or equal to 32mm. This type of hammer provides rebound values which are
recorded as a bar chart on the scale of the rebound hammer. Similar conditions applied for all specimens: horizontal
direction of the Schmidt hammer impacted on a centrally 100100 mm surface area tested with 10 independent
points respectively on the surface.
3. Total porosity
Pore is a term designated for gaps or opening between 1 nm and 1 mm. Pores are voids filled with air or liquid.
These cavities are formed between crystals in the solid material or as gas bubbles in hydration phase. Among pore
types, open and closed pores are formed. Open ones are those into which gas or liquid might flow and designate
permeability. In order to determine the total porosity, it is important to understand the difference between the density
of solid material and not the solid body where pores are not included in the latter. The density of solids in the
material not the solid body is illustrated by the term true density. Hence Pyknometry method is applied for the
determination of absolute density in accordance with EN 725-7[5].
t =
m solid
Vsolid
(1)
110
Where:
t : absolute density of the material
msolid : mass of solid material without pores
Vsolid : volume of solid without pores
Whereas Bulk density is the terminology showing the ratio of mass to the total volume of a sample (volume of
solid and pores):
b =
mb
Vb
(2)
Where
b : bulk density of the material
mb : bulk mass of the material with pores
Vsolid : volume of solid with pores
Porosity (Pt) of a body can be determined as follows,
Pt = 1
b
t
(3)
3.1. Absorption in hardened concrete

Permeation, diffusion and capillary sorption illustrate the transport mechanisms of liquid, gases in hardened
concrete. SCC in comparison with NC of similar concrete strength reveal a denser microstructure. Through capillary
pores and internal micro cracks penetration of water occurs. Mainly interconnected capillary pores which are related
to water to cement ratio affect the flow of water in the hydrated cement paste and total porosity of hardened concrete.
The prediction of water absorption is related to concrete components e.g. (amount of cement, silica fume, limestone
etc.)[6]. In this analysis, the volume of permeable pores was determined based on ASTM recommendations [7]. Thus
apparent porosity was calculated with respect to the following formula:
Pa =
n. b
100. w
(4)
Where
b : bulk density of the material
w: density of water
n: moisture content
4. Results
Table 3, 4 and 5 show respectively the results of fresh concrete, mechanical properties of specimens and
durability indicators for all NC and SCC mixtures [8,9].
4.1. Mechanical properties
Mixtures with relativity high water to cement ratio resulted in a material with low strength with respect to low
water to cement ratio mixtures with higher strength. SCC mixtures SCC-1, SCC-4, SCC-7 and SCC-10 which hold
similar water to cement ratio (w/c=0.561) showed relatively a higher compressive strength (by 56%) compared to
those with lowest water to fine-content ratio (w/f) in comparison with the highest water to fine-content mixtures and
NC-1 mixture. Whereas SCC mixtures SCC-2, SCC-5, SCC-8 and SCC-9 which represent a similar water to cement
111
ratio (w/c=0.5) showed a strength variation of 39% between different water to binder ratios and NC-2. Moreover
with decrease of water cement ratio (SCC-3, SCC-6, SCC-9 and SCC-12) and variation of water to fine-content ratio,
the latter exhibit a strength increase of 30% with variation of limestone filler. Due to the implementation of
limestone powder with the cement, an optimized concrete skeleton is obtained which results in a higher strength
which varies with respect to water content. Comparatively, even though SCC mixtures with the highest water to finecontent ratios contain an insignificant amount of filler (limestone), they still tend to have a higher compressive
strength with respect to NC.
Table 3. Fresh and hardened concrete properties.
SCC-1
SCC-2
SCC-3
SCC-4
SCC-5
SCC-6
SCC-7
Flowability(mm)
750
645
625
800
785
810
810
Slump(mm)
Viscosity(s)
7.6
11.19
11.9
5.6
4.8
4.7
4.2
Classification
SF2
SF1
SF1
SF3
SF3
SF3
SF3
fcu(N/mm2)
47
57
65
46
50
56
46
Avg. rebound index
44.3
47.07
46.83
42.1
43.13
48.97
43.37
Table 4. Fresh and hardened concrete properties.

SCC-8
SCC-9
SCC-10
SCC-11
SCC-12
NC-1
NC-2
NC-3
Flowability(mm)
795
750
750
790
720
Slump(mm)
525
555
505
Viscosity(s)
5.5
6.1
4.3
4.8
5.1
Classification
SF3
SF2
SF2
SF3
SF2
F4
F4
F4
fcu(N/mm )
49
57
30
41
50
27
32
40
Avg. rebound index
42.03
46.67
39.87
40.57
42.9
32.9
33.05
32.8
Figure 1. Normal distribution density function for surface rebound index of concrete mixtures.
It is important to distinguish between SCC and NC pore structure behavior. As shown in Fig.1, SCC mixtures
tend to have a lower standard deviation with respect to NC. The deviation varies dramatically when the impact of the
112
Schmidt hammer on the contact surface of concrete (Non homogenous material) is directly applied on an aggregate
or highly porous surface. Therefore, SCC shows more reliable values due to denser microstructure.
4.2. Durability properties
Capillary pores have the major influence on the durability of concrete due to connectivity and continuity of pore
structure. Based on the higher amount of filler material and exclusion of vibration, SCC must have a denser
interfacial zone and more uniformly dispersed microstructure [10].
Figure 2. NC and SCC analyzed photograph using Image C software.
Pore size, shape and distribution properties are interconnected towards concrete strength. Figure (1) present two
photos of NC and SCC cases with similar water to cement ratio (0.5). As shown in the left side of the figure, NC
hold equivalently more pores which tend to be in modest deviations from equidimensional with respect to SCC. The
later has more rounded angularity in comparison with NC.
Table 5. Durability indicators.
SCC-1
SCC-2
SCC-3
SCC-4
SCC-5
SCC-6
SCC-7
Total porosity%
13.565
9.261
8.498
13.29
12.209
11.973
15.245
Apparent porosity%
6.18
4.68
3.05
2.43
4.51
3.18
5.37
Table 5. Durability indicators.

SCC-8
SCC-9
SCC-10
SCC-11
SCC-12
NC-1
NC-2
NC-3
Total porosity%
14.083
8.901
14.409
13.505
11.594
14.191
13.322
12.912
Apparent porosity%
4.75
2.75
4.57
4.52
3.61
2.74
2.52
2.14
Fine-content and total porosity are interconnected. SCC mixtures with (0.29) water to fine-content ratio have an
average total porosity of 10.36%. This value tends to increase with the ratio of water to fine-content (0.375) about
27% to reach an average of 13.16% of porosity. On the other hand, Tab.5 shows that NC has a higher resistance to
water absorption with respect to SCC by 65%. This could be explained by the continuity on which the paste hold in
the matrix during the hydration. However, NC has a higher aggregate content in where the matrix tend to have more
discontinuity between capillaries. In case of SCC capillaries can be connected and form a capillary system in the
113
relatively high fine-content, on the other hand in case of NC the capillary is interrupted by the aggregate. Thus curing
is more sensitive in case of SCC.
5. Conclusions
Based on the completing of this study, the following conclusions can be drawn:
In higher water to cement ratio, limestone filler is more effective in compressive strength,
Surface hardness test is more reliable in SCC with respect its to total porosity,
Total porosity tend to increase in SCC with respect to water to binder ratio,
Surface hardness standard deviation is more likely to increase with the growth of the pore structure,
Capillary suction is higher in SCC about 65%.
Acknowledgements
The authors acknowledge the fact that the financial support of the department of Construction Materials and
Technologies of Budapest University of technology and economics arranged the possibility of the research. Also
they would like to thank Sika Hungary Ltd. and Duna-Drva for their materials support.
References
[1] KH. Khayat, Workability, Testing and performance of self-consolidating concrete. ACI Mater J. , 1999, 96(3):346-53.
[2] Cement Concrete and Aggregate Australian, Chloride Resistance of Concrete, www.ccaa.com.au, June, 2009, 37pps.
[3] EN 12504-2:2001, Testing concrete in structures. Non-destructive testing. Determination of rebound number, 2001.
[4] ACI Committee 228 (2003), 228.1R-03: In-Place Methods to Estimate Concrete Strength, American Concrete Institute, Detroit, MI.
[5] EN 725-7., Advanced technical ceramics - Methods of test for ceramic powders - Part 7: Determination of the absolute density, 1995-11-00.
[6] FIB, Model Code for Concrete Structures 2010, Ernst & Sohn, 2013.
[7] ASTM (C 642.1997), Standard Test Method for Density, Absorption, and Voids in Hardened Concrete, Annual Book of ASTM Standards:
American Society for Testing and Materials.
[8] EFNARC (2002), European Federation of Producers and Applicators of Specialist Products for Structures, (Specification and Guidelines for
Self-Compacting concrete).
[9] MSZ EN 206-1:2002, Concrete part 1. Technical requirements, fulfilment, production and conformity.(Beton. 1. rsz: Mszaki
Felttelek,teljestkpessg, kszts s megfelelsg), Hungarian standard.
[10] W. Zhu, P. Bartos, Permeation properties of self-compacting concrete, Cement and Concrete Research, 33 (6), 2003, pp.921-926.
114
Restoration of old movable bridge at Busan in Korea

Jin-Woo, Kim*, Kyeong-Ho, Park**, Dong-Hyup, Kwak***Dept. of Ocean Civil Engineering, Gyeongsang National University, Gyeongnam, 650-160, Korea
**Lotte Engineering & Construction, Gyeongnam, 656-861, Korea
Abstract
This paper is focused on the primary restoration of the Yeongdo Bridge, it is a movable bridge designated as an important cultural
heritage. The Yeongdo Bridge was built in 1934; which was a single leaf typed movable bridge, the first bascule bridge, and the
biggest movable bridge in Orient area. Also it was the first bridge to connect the land with the Yeongdo Island in Korea.
In 2006, Busan Metropolitan City decided to restore the old Yeongdo Bridge with funding from one of Koreas mega companies
called Lotte Group which decided to solely support the entire construction cost. Although the restored bridge has kept with its
original form, considering the increased volume of transportation traffic, only the width of bridge was widened. For the future, a
new restored Yeongdo Bridge will be expected to moderate the traffic congestion and the safety of bridge will be improved
compared with the old bridge. Moreover, this restored Yeongdo Bridge will contribute in improving regional economy, and
revitalize the tourist industry maintaining to show the history of suffering of Korean War. In addition, throughout this paper, it
will elaborate a great deal of information about special procedures and characteristics in a field of repair and restoration of many
kinds of old infrastructures.
Keywords: Movable bridge; restoration; heritage
1. Introduction
In Korea, the Yeongdo Bridge symbolizes joys and sorrows of Korean people in the past of the Korean War and it
contains all of the modern history of Busan. When the completion ceremony of old Yeongdo Bridge had been
hosted, one third of Busan's population was gathered in its opening ceremony, with this respect, the Yeongdo Bridge
was enormous to the general public. And in view of the appearance of new technologies, this bridge was a great
wondering structure to the Koreans. For this reason, by Busan Metropolitan, this bridge was designated as a cultural
heritage with monument No. 56 with respect to the historic and iconic collection of structures for the modern and
contemporary history. And Busan Metropolitan carried forward a construction of repair and restoration with
maintaining the bridge type of existing bridge, reconstruction of movable bridge, and only by widening the width of
bridge [1, 2]. The construction for the repair and restoration of bridge began in July 2006 and finished in November
2013.
2. Historical background of the Yeongdo Bridge
As shown in Fig. 1, geographically, Busan is located in the south-east corner of Korean Peninsula. At Busan, the
Yeongdo Bridge had been opened as a movable bridge type in November 1934 as like Fig. 2 (a). At that time, Korea
as a poor country, the completion of movable bridge was a wonderwork that they had no experience with. In 1966,
the function of bascule was discontinued with the increasing of traffic and the installation of water pipe as shown in
Fig. 2 (b). But recently because the deterioration of old bridge was very serious, the volume of traffic increased
115
sharply and it was suggested steadily to restore the Yeongdo Bridge. During those days, Lotte Group offered the
restoration of old bridge and for the reward, the development of the Second Lotte World was created.
Fig. 1 Location of the Yeongdo Bridge
(a) Initial figure (1934)
(b) Recent figure (2006)
Fig. 2 Existing bridge
As shown in table 1, this bridge is consisted with three types of bridge (I-beam girder bridge, truss bridge, and
plate-girder bridge). A foundation of machine room for movable bridge and bridge pier was made of wooden pile.
116
Table 1. Comparison of existing bridge and restored bridge
Restored Bridge
Old Bridge
Bridge Type
Span Details
I-beam girder bridge +

Truss bridge(movable bridge) +
Plate girder bridge
I-beam girder bridge +

Truss bridge(movable bridge) +
Plate girder bridge
I-beam girder bridge: 22.285m
I-beam girder bridge:

22.440m
Movable bridge :
Movable bridge: 31.300m
214.63m
Plate girder bridge:

161.060m
Plate girder bridge: 161.045m
Width
Footway: 22.9 m
Roadway: 12.5 m
214.8m
31.300m
18.3m
Footway: 23.0 m
Roadway: 19.3 m
25.3m
3. Construction of repaired and restored bridge

At the construction site, because the navigation is frequent, the sea routes for the many ships are moved, and
sometimes, the shipping control was performed in these areas. In the pursuit of this purpose, traffic sign of seaway
was installed, the control post of seaway was put up, and the control ship was operated. Basically, the outline of
restored bridge is illustrated in the table 1. The substructure work of restored bridge is classified with the bridge pier,
abutment, and machine room for the bascule. In the field work, the double cofferdam method was applied as a
temporary facility, the outline of temporary facility was shown in Fig. 4 and table 2. A substructure of restored
bridge was constructed with cast-in-place concrete pile (diameter: 1,500mm). And a demolition of existing bridge
was performed with using the wire saw method to preserve the original form. The superstructure is consisted with
three types bridges (I-beam girder bridge, truss bridge, plate girder bridge), as shown in Fig. 3 (a), (b), they were
factory-built, and the members of factory-built were constructed with the huge blocked erection method (maximum
lifted load: 600t). Especially the movable bridge was transferred in the field following its test run. The general shape
of longitudinal section for new bridge is shown in Fig. 4. At the present, to be allowed the vessel passing, the
movable part of restored bridge is operated at one at a time per day as shown in Fig. 5 (b).
In Korea, for the first restoration of the movable bridge that was designated as a cultural heritage, though all of the
code for criteria were applied in the design and construction of a restored bridge, with addition to, mainly the
following categories (scour prevention work of the pier, impact prevention work in seaway, and wind tunnel test for
considering the affects of the tall building) were strongly considered [3, 4, 5].
(a)
Installation of plate girder
(b) Installation of bascule
Fig. 3 Construction of new bridge
117
Fig. 4 General shape of longitudinal section
(a)
Normal state
(b) Operated state

Fig. 5 Restored bridge
Tabel 2 Method of temporary facility
Classification
Method of temporary facility
A1
H-pile + Earth anchor, SGR
Machine room
Steel sheet pile(800mm)
P1P8
Dual steel pile + Steel sheet pile(800mm)
A2
H-pile + Earth anchor, SGR
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3.1 Prevention work for pier scour

When the pier was constructed under the water, at around of the pier structure, the local scour will be occurred by
the deformed current. In this site, the local scour for around of the pier would be studied with considering the tidal
current as shown in Fig. 6.
3.2 Impact prevention work for pier

When the ship crashed at pier, the pier should be protected to prevent the collapse or to decrease the impact of
bridge. In these purposes, to decide the position of fender at the pier, the numerical modeling type was shown in Fig.
7. With this result, the fender was constructed.
Fig. 6 Scour Mechanism around the pier
Fig. 7 The scheme for modeling the position of fender
3.3 Wind tunnel test for bridge

When the movable bridge was stood upright to allow the ship to pass, at around of the bridge, the wind flow
pattern affects the behavior of the movable bridge. In the future, when the high rise building with the name of the
Second Lotte World is constructed near by the bridge, the building would have important effect on the behavior of
the movable bridge for the operation. Accordingly, in these cases, to decide the capacity of motor that is used in
bascule procedure, the wind tunnel experiment was performed to reflect the surrounding condition of bridge site. The
detailed scheme for wind tunnel test was shown in Fig. 8.
(a)
Considering the Lotte World Building
(b) Non-considering the Lotte World Building
Fig. 8 Wind tunnel experiment
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4. Conclusion
The Yeongdo Bridge is kept as a recollection for the Korean War and its harsh period. In that time, the Yeongdo
Bridge was the meeting point of people who were separated by war and many Korean elders find themselves with
emotional healing when they look at the bridge that represents the difficult times in the past. In this sense, the
construction of the repaired and restored bridge is very important and meaningful. And the repaired and restored new
bridge solves traffic congestion and the deterioration of the problem of structure safety is secured. As well as, this
bridge will contribute to regional economic vitalization as a premium tourist attractions as telling the important
history of Busan. Also it would suggest a great deal of information about the special procedures (scour prevention
work for the special condition, impact prevention work for the crash of vessel , and wind tunnel test for tall building,
and so on), and the characteristics of repair and restoration in many kind of old infrastructures.
Acknowledgements
The writer wishes to thank the Lotte Engineering & Construction of the Lotte Group for supporting the data of
bridge construction. .
References
[1] Korean Society of Civil Engineers, KSCE Magazine , Vol. 63, No.2, 2015
[2] Lotte Engineering & Construction , Construction Report for repair and restoration of the Yeongdo Bridge, 2014
[3] Ministry of Land, Infrastructure and Transport , Design Criteria of Steel Structures, 2012
[4] Ministry of Land, Transport and Maritime Affairs , Design Criteria of Bridge, 2010
[5] Korea Society of Civil Engineers, Korea Highway Bridge Design Code, 2009
120
Multi-attributes evaluation methodology for emerging housing

technologies
VPS Nihar Nanyama *, Riddha Basua, Anil Sawhneya, J.K Prasadb
a
RICS School of Built Environment, Noida (UP), India

Building Materials and Technology Promotion Council,New Delhi, India
Abstract
Provision of housing for urban and rural population is a great opportunity and an important challenge for India. Numerous
government and private initiatives of varying dimensions are underway to meet this very crucial basic need. The industry must opt
for new innovative technologies for meeting this huge demand. But from the perspective of affordability and sustainability,
development and identification of appropriate construction technologies for the housing sector is extremely crucial. The Indian
housing value chain is very complex. A plethora of factors and issues need to be addressed in this regard. A careful evaluation of
these technologies is equally important. While there is no dearth of available technologies, adoption remains low due to a number
of factors. The first and foremost barrier is the availability of a scientific, holistic and transparent evaluation framework for
emerging housing technologies. Motivated by this issue this research seeks to identify the attributes that affect the selection of an
appropriate housing construction technology and develop a multi-criteria evaluation-framework to evaluate the emerging housing
technologies.
Keywords: Emerging housing technogies, affordable & mass housing, multi-criteria evaluation framework.
1. Introduction
In the recent years, enormous advancement of construction technology, from traditional site-based methods to a
more dynamic combination of methods [1], has given new possibilities for residential construction. As per Berge
2009, a large number of innovative alternate building materials and low cost construction techniques have been
developed through intensive research and development efforts during last four decades. The evidence of such an
evolution of global housing-construction philosophy can be seen in the increasing growth of prefabricated house
building in Japan [2]; off-site fabricated housing in Germany [3]; industrialized building in Malaysia [4]; off-site
manufacture in Australia [5] and prefabricated high-rise structures in Hong Kong [6] [7].
Coming to India, a large population base, rising income level and rapid urbanization has made housing industry a
booming sector Indian Economy. According to the Ministry of Housing and Urban Poverty Alleviation (MHUPA) in
2012 there were 18.78 million units housing units short in urban India; nearly 95% of this shortfall was in the
economically weaker sections (EWS) and low income group (LIG) housing. To meet the huge demand of affordable
and sustainable housing, the sector must use these technologies. But selection of the most appropriate one among
these emerging technologies is a complex process and depends upon many factors like cost and time certainty, speed
* Asst. Professor. Tel.: +91-9987226955.
E-mail address: nnanyam@rics.org
121
of construction, energy efficiency, effectiveness in the use of materials, design flexibility, future maintenance
requirements and performance throughout the housing life-cycle, customer satisfaction and acceptance, compliance
with building regulation etc. It becomes difficult to make a decision considering so many qualitative and quantitative
factors in tandem. Also, a decision makers preference needs to be taken into consideration while assessing these
materials, for instance, low cost of a material may be most preferred by a person but may not be by another. Apart
from this there are challenges like deficiency of local knowledge about appropriate housing design and current
construction practices, non-availability of specialized training to apprise the selection of housing technology,
imported housing technologies and materials consume high energy for better conditions, causing cost overrun and
imbalance in environment. Repair and maintenance works disturb the quality of the habitat and damage the
architectural integrity, building materials and skilled labour are in short supply, leading to inflated prices. Thus there
arises a need for the development of a standard framework considering all the attributes which will aid the
practitioners in decision making regarding emerging technologies of housing construction.
Objective: The goal of this research is to develop a multi-criteria evaluation framework for the emerging systems
and technologies of residential construction. In order to accomplish the afore-said goal following research objectives
have been set:
Identification and understanding of the issues and attributes of the emerging housing systems and technologies
that affect, both positively and negatively, decisions to utilize them in residential construction
Selection of appropriate decision making tool capable of processing both qualitative and quantitative information
on the emerging housing systems and technologies to be evaluated
Design of the evaluation framework for emerging housing systems and technologies based on the information and
knowledge acquired in the previous steps
2. Research Methodology
The development of the holistic evaluation framework proposed in this research will be multi-step process. These
steps are as follows:
Identification of attributes for the emerging housing systems and technologies under consideration
Definition and criteria for the identified attributes: All primary, secondary and tertiary level attributes are defined
along with their respective evaluation criteria.
Review of the attributes by the Technical Advisory Group (TAG).
Collection of expert opinions: Attributes reviewed by the TAG are then presented to industry-experts with more
than 20 years of experience in housing sector, for their comments.
Finalization of Attributes: The final attribute list in finalized after incorporating the improvements and
modifications suggested by the experts.
Development of Evaluation Frameworks: It is essential for any housing technology to fulfill each and every
selection criteria enlisted under Mandatory Attributes, so in the process of decision making all the mandatory
attributes have equal weightage. However, for the Preferred & Desired Attributes, even if a technology fails on
any particular attribute, it is possible that on an overall basis the technology may deemed to be acceptable. So two
separate frameworks are developed. To rationalize the process of evaluation on preferred & desired attributes, it
was crucial to determine the level of preference that should be given to each attribute enlisted under this category.
In this research the relative weightage of preferred and desired attribute is determined by pairwise comparison of
the attributes based on feed-back obtained from TAG. Analytical hierarchy process is used to calculate the
relative weights of the attributes and then to calculate Technology Preference Index based on the calculated
relative weights of the attributes.
3. Presentation of Attributes
Attributes are presented in three level vertical classification systems: Primary level, Secondary level and Tertiary
level. In the primary level attributes are broadly classified into two heads: (i) Mandatory Attributes and (ii) Preferred
& Desired attributes. Building systems and housing technologies are primarily evaluated for all mandatory attributes.
If the adopted or emerging technology successfully adheres to all the parameters and criteria given in the mandatory
attributes, then the technology shall be further evaluated with preferred and desired attributes for implementation and
promotion to suit end user requirements. So, while the mandatory attributes provide information regarding whether a
122
system can or cannot be used housing construction under Indian conditions, the preferred & desired attributes gives
information regarding the level of recommendation for implementation of the attribute for affordable and mass
housing sector.
Emerging
Housing
Technologies
Mandatory
Attributes
Accepted
Technologies
Rejected Technologies
Preferred &
Desired
Attributes
Accepted
Technologies
Rejected Technologies
Figure 1: Evaluation of Emerging Housing Technologies on Primary Level Attributes
Each primary level attribute is divided into secondary level attributes to depict the broad aspects of evaluation
under that primary attribute. And each secondary attribute, in turn, is divided into tertiary level attributes to capture
the major factors under that secondary attribute which governs the selection of a particular housing technology. A
detailed classification of attributes is given in Table 1.
3.1. Mandatory attributes for evaluating housing construction technologies
Mandatory Attributes are classified into two secondary level attributes: (i) Strength and Stability Requirement
and (ii) Performance & Statutory Compliance. The attribute Strength & Stability Requirement talks about the
stability of the system in terms of joint performance etc and capability of a system to with-stand the various vertical
and lateral design loads calculates as per IS Standards while Performance and Statutory Compliance describes the
overall performance of a particular system (especially in terms of fire resistance) as well as the compatibility of the
system with Indian statutory provisions and local building byelaws.
3.2. Preferred & Desired attributes for evaluating housing construction technologies
The Preferred and Desired Attributes broadly describe the efficacy of a particular system when implemented for
a specific project-type under the prevailing local conditions and other constraints. They are broadly classified under
six secondary level attributes: (i) Functional Requirement (ii) Constructability (iii) Economic Viability (iv)
Maintenance (v) Sustainability and (vi) Finish Quality. The attribute Functional Requirement takes into account
the compatibility of a housing system with the generally accepted functional requirements of building project like
durability, end-user-friendliness, thermal comfort, acoustic comfort or sound proofing, design flexibility offered by
the system in during and post construction phase, suitability for different climatic conditions, water-tightness etc.
Constructability defines the extent to which a building design with a chosen technology provides for ease of
construction while meeting the overall requirements of the building. Constructability includes tertiary level
attributes like simplicity in construction & versatility, requirement for equipment and skilled laborers, requirement
for temporary structures & facilities, compatibility with different types of architectural designs, construction-safety
and level of hazards involved in the implementation of the system etc. Economic Viability describes the economic
competitiveness in the present market conditions and business environment. Apart from the initial implementation
cost of the system, this attribute takes into account other factors associated with the financial feasibility of
implementing a technology, like speed of construction, efficiency of design, economies of scale, supply chain
reliability in terms of authenticity and availability of technology providers, lead time for procuring the system and
also the possibility of mass-producing the adopted technology in India using locally available resources. The
attribute Maintenance caters for the lifecycle cost of a particular system, as well as the expected frequency and
type of maintenance required over the service life of a particular system. Given the fact that in India there is a
general unavailability of skilled workforce this attribute also includes the level of difficulty associated with regularmaintenance work for a system in terms of availability of workmen, tools, technologies and material needed for the
maintenance work. With view to encourage the sustainable construction practices the new and emerging technologies
123
should also be evaluated from the aspect of sustainability and eco-friendliness. The attribute Sustainability
describes how eco-friendly a particular technology is in terms of use less virgin material, less energy, cause less
pollution and less waste without compromising on the projects economic viability and the comfort, safety and other
requirements of its occupants. Choice of methods and materials greatly affect the workmanship quality and thus the
ultimately the finish quality of construction. So while evaluating the technologies of construction, one shall take into
account the desired quality of finishes also. Finish Quality includes bulging and waving of surfaces, hollowness,
surface cracking, thick plastering requirements etc. Broadly the different aspects of Finish Quality are classified
into external and internal finish quality.
Table 1: Attribute Matrix for Evaluating Emerging Housing Technologies
Attributes for Evaluation of Emerging Housing Technologies
Primary
Attribute
Mandatory Attribute
Preferred & Desired Attributes
Secondar
y
Attribute
Strength &
Stability
Requirement
Performance
& Statutory
Compliance
Functional
Requirements
Constructabilit
y
Economic
Viability
Maintenance
Sustainability
Finish
Quality
Stability
Against
Vertical Loads
Fire
Resistance
Design
Flexibility
Simplicity in
Execution &
Versatility
Initial Cost
Maintenance
Cost
Ecofriendliness
Internal
Finish
Quality
Stability
Against Lateral
Forces
Violation of
Statutory
Provisions
Restriction on
Number of
Floors
Design
Compatibility
Speed of
Construction
Frequency of
Maintenance
Embodied
Energy
External
Finish
Quality
Service Life/
Durability
Foundation
Type
Economies
of Scale
Type of
Maintenance
Thermal
Comfort
Skilled Labour
Lead Time
Ease of
Maintenance
Acoustic
Performance
Equipment
Efficiency
of Design
End-userfriendliness
Temporary
Service
Requirement
Supply
Chain
Reliability
Weather
Resistance
Construction
Safety
Technology
Transfer
Possibility
Performance of
Joints
Tertiary
Attributes
WaterTightness
4. Evaluation of Emerging Housing Technologies on Mandatory Attributes

As described earlier also it is crucial for all emerging housing construction technologies to pass on each attribute
enlisted under Mandatory Attribute category. The acceptance criteria for the mandatory attributes were decided by
the Technical Advisory Group established for the purpose of this research and based on the Indian Standards and
statutory regulations.
5. Evaluation of Emerging Housing Technologies on Preferred & Desired Attributes
For the technologies which deem to be acceptable after evaluating through the Mandatory Attributes, Preferred
and Desired Attributes are used for determining a general recommendation level for the implementation of the
technology in India for construction of affordable and mass housings. The recommendation level for implementation
of a particular technology was determined with the help of an index, referred as Technology Preference Index
(TPI), calculated as per equation (1). The recommendation level for different ranges of TPI in given in Table 2.
124
= =1
(1)
PI= m
j=1 Kj Fj
(2)
Where, Wi is the relative priority of the ith secondary attribute; n is the number of secondary attributes; PIi is the
Performance Index of a housing on ith secondary attribute and calculated as per equation (2).
Where Ki is the relative priority of the jth tertiary attribute under ith secondary attribute; m is the number of tertiary
attributes enlisted under ith secondary attribute. Fj is a score out of 100 given to the housing technology when
evaluated on the jth tertiary attribute.
Table 2: Recommendation Level for Different Ranges of TPI
TPI Range
Recommendation
<30
Not recommended
30-50
poorly recommended
50-70
Recommended
70-90
Highly Recommended
>90
Strongly Recommended
Ascertaining the relative priorities of the several enlisted Preferred and Desired Attributes was a prime
requirement for determining the indices. The relative priorities are mainly decided based on the responses obtained
from the experts of the Technical Advisory Group (TAG) established for the purpose of this research. There were
many methods for the computation of relative priorities that should be given to the secondary and tertiary attributes.
The experts could be asked to rank the various attributes directly on a scale of 0-10 or 0-100; the experts could be
asked to provide their responses on a specific scale such as Likert scale and the weights could be determined based
on their responses; or the experts could be asked to provide their responses on the pairwise comparison of various
attributes, as in the case of Analytical Hierarchy Process or AHP [8].
Table 3:AHP Decision Matrix for evaluation of Emerging Housing Technologies on "Preferred & Desired Attributes"
Primary
Attribute
Functional
Requirement
11%
Constructability
12%
Economic
Viability
41%
Maintenance
9%
Sustainability
23%
Finish
Quality
3%
Secondary
Attribute
Design
Flexibility
2%
Simplicity in
Execution &
Versatility
6%
Initial Cost
20%
Maintenance
Cost
59%
Ecofriendliness
83%
Internal
Finish
Quality
17%
Restriction
on Number
of Floors
4%
Design
Compatibility
7%
Speed of
Construction
14%
Frequency
of
Maintenance
20%
Embodied
Energy
17%
External
Finish
Quality
83%
Service
Life/
Durability
21%
Foundation
Type
7%
Economies
of Scale
9%
Ease of
Maintenance
14%
Thermal
Comfort
6%
Skilled Labour
40%
Lead Time
6%
Type of
Maintenance
6%
Acoustic
Performance
5%
Equipment
18%
Efficiency
of Design
3%
End User
Friendliness
36%
Temporary
Services
Required
2%
Supply
Chain
Reliability
31%
Weather
Resistance
9%
Construction
Safety
20%
Technology
Transfer
Possibility
17%
Water
Tightness
17%
Tertiary
Attributes
125
For this research work AHP has been used for determining the relative weights of several secondary and tertiary
level attributes. The AHP decision matrix for evaluation of housing technologies on Preferred & Desired
Attributes along with the calculated relative weightage for each secondary and tertiary level attribute is shown in
Table 3.
6. Case Study: Evaluation of Glass Fibre Reinforced Gypsum (GFRG) Panel Building System
Glass fiber reinforced gypsum (GFRG) panel more popularly known as Rapid-wall is a building panel made up of
calcined gypsum plaster and reinforced with glass fiber. It is an integrated composite building system which uses
factory made prefab load bearing cage panels and monolithic cast in situ reinforced concrete in filled for walling and
roof or floor slab. This system is particularly suitable for construction of low to medium rise buildings up to ten story
heights. GFRG building system was originally developed in Australia and it has been used in Australia for the
construction of mass housings since 1990s. However presently these panels are being produced in India in semiautomatic plant setups.
Table 4: Evaluation of GFRG Panel System based on "Preferred & Desired Attributes"
Secondary
Attribute
Tertiary
Attributes
Functional
Requirement
75
Constructability
70
Economic
Viability
79
Maintenance
55
Sustainability
67
Finish
Quality
75
Design
Flexibility
60
Simplicity in
Execution &
Versatility
50
Initial Cost
90
Maintenance Cost
55
Ecofriendliness
70
Internal
Finish
Quality
75
Restriction
on Number
of Floors
60
Design
Compatibility
60
Speed of
Construction
90
Frequency of
Maintenance
50
Embodied
Energy
50
External
Finish
Quality
75
Service
Life/
Durability
70
Foundation
Type
60
Economies
of Scale
80
Ease of Maintenance
60
Thermal
Comfort
50
Skilled Labour
80
Lead Time
70
Type of Maintenance
60
Acoustic
Performance
70
Equipment
65
Efficiency
of Design
70
End User
Friendliness
80
Temporary
Services
Required
70
Supply
Chain
Reliability
80
Weather
Resistance
70
Construction
Safety
65
Technology
Transfer
Possibility
60
Water
Tightness
90
While evaluated on the Mandatory Attributes it was found that this system satisfactorily passes on each of the
identified attribute which implies that the system can be used in India for housing construction. However in order to
determine the efficacy of this system for the construction of mass affordable housing, this system was to be further
evaluated on the developed evaluation framework for Preferred and Desired Attributes. The scores obtained by the
system on various Preferred & Desired Attributes are enlisted in Table 4. Based on the decision matrix as shown in
Table 3 and equation (1) and (2) the TPI (Technology Preference Index) calculated for GFRG system was found to
be 70 which implies that for construction of affordable and mass housing in India, GFRG panel or Rapid-wall system
is highly recommended.
126
7. Conclusion
The research identifies an efficient and yet easy-to- implement set of attributes which will also serve as a
Decision Support System (DSS) for the emerging technologies in affordable housing construction. Thus, this set of
identified and defined attributes will aid the Indian Real Estate developers to select the most appropriate method of
residential building construction from the perspective of affordability and sustainability. However the attributes
defined in this report and the evaluation framework doesnt work as a pro-technology-provider. The evaluation
framework developed shall be implemented after conducting performance appraisal certification followed by proof
of concept. And also the recommendation obtained through the developed evaluation framework is only a generic
recommendation regarding the compatibility of a particular housing system for construction of low-cost mass
housings in India. Final recommendation for adopting any emerging technology shall be ensured only after
performing an onsite evaluation in addition to the report generated from the multi attribute analysis.
Acknowledgements
We are grateful to Dr. Shailesh Kr. Agrawal (Executive Director BMTPC, Ministry of Housing & Urban
Poverty Alleviation, and Government of India) for funding the project and supporting us from time to time by his
expert comments. We thank all the experts for their comments and suggestions given to shape out the project
References
[1]. W. Pan, A. Dainty and A. Gibb, "Establishing and Weighing Decision Criteria for Building System Selection in Housing Construction,"
Journal of Construction Engineering & Management, vol. 138, no. 11, pp. 1239-1250, 2012.
[2]. J. Barlow and R. Ozaki , "Building mass customised housing though innovation in the production system: Lessons from Japan," Environ.
Plann. A, vol. 37, no. 1, pp. 9-20, 2005.
[3]. T. Venables and R. Courtney, "Modern methods of construction in GermanyPlaying the off-site rule," DTI Global Watch Mission, Dept. of
Trade and Industry (DTI), London, 2004.
[4]. M. R. A. Kadir, W. P. Lee, M. S. Jaafar, S. M. Sapuan and A. A. A. Ali, "Construction performance comparison between conventional and
industrialised building systems in Malaysia," Struct. Surv., vol. 24, no. 5, pp. 412-424, 2006.
[5]. N. G. Blismas and R. Wakefield, "Drivers, constraints and the future of offsite manufacture in Australia," Constr. Innovation, vol. 9, no. 1,
pp. 72-83, 2009.
[6]. C. M. Tam , Z. M. Deng and S. X. Zeng, "Evaluation of construction methods and performance for high rise public housing construction in
Hong Kong.," Build. Environ., vol. 37, no. 10, pp. 983-991, 2002.
[7]. L. Jaillon and C. S. Poon, "The evolution of prefabricated residential building systems in Hong Kong: A review of the public and the private
sector.," Autom. Constr., vol. 18, no. 3, pp. 239-248, 2009.
[8]. S. Wakchaure and K. Jha , "Review of inspection practices, health indices, and condition states for concrete bridges," Indian Concrete Journal
, vol. 86, no. 3, pp. 13-26, 2012.
[9]. E. Natividade-Jesus, J. Coutinho-Rodrigues and C. Antunes, "A multicriteria decision support system for housing evaluation," Decision
Support System, vol. 43, no. 3, pp. 779-790, 2007.
[10].Centre for Environmental Planning and Technology, "Housing for Economically Weaker Sections/ Low Income Group," Ahmedabad, 2013.
[11].J. A. Alonso and M. T. Lamata, "Consistency in the analytic hierarchy process: A new approach," International Journal of Uncertainty, vol.
14, no. 4, pp. 445-459, 2006.
[12].Bureau of Indian Standards, "National Building Code of India (Part-4 Fire & Life Safety)," New Delhi, 2005.
[13].Bureau of Indian Standards, "National Building Code of India ( Part- 3 Development control rules and general building requirements)," New
Delhi, 2005.
[14].Bureau of Indian Standards, "National Building Code of India (Part- 5 Building Materials)," 2005, New Delhi.
127
Selected innovative solutions and overview of molds for precast

concrete
Aleksander Nica*, Andrzej Foremny, Krzysztof Kaczorek, Pawe Kluczuk
Warsaw University of Technology,
Al.
Al.
Al.
Al.
Armii Ludowej 16, Warsaw 00-637, Poland

Abstract
Precast concrete products are widely used for infrastructure, construction sites, roads, retaining walls, river erosion control and
drains all over the world. In order to obtain a proper shape and surface of the prefabricated elements it is required to use not only
durable and rigid molds but also easily adjustable solutions according to different shapes and dimensions of products. Intensive
development of concrete technology in recent years, including broadening of Self Compacting Concrete applications, has
contributed to the progress in mold planning and manufacturing. Nowadays an innovative software, as for example 2D/3D CAD
Systems or Finite Element Method (FEM) simulation are used commonly in the process of designing the molds. The paper
presents solutions increasing productivity and efficiency of molds when demolding, setting and cleaning. Moreover the Authors
of the paper focus on automation in mold change system, reliable and flexible mold systems. The examples described include,
among others, molds for drainage systems, manhole base shells and retaining walls. The summary of the paper contains future
needs and potential applications in the field of molds technology for precast concrete.
Keywords: innovative solutions, mold manufacturing and planning, precast concrete.
1. Introduction
One of the most important market conditions that should be met by a precast concrete plant is providing a high
flexibility in terms of the range of products offered. Implementation of this condition is possible with the proper
organization of production, including the shortest possible time of mold changeovers. For many years the precast
industry is characterized by the synergy of the traditional manufacturing industries and the precast industry, while
still requiring production lines and project sites [5]. A great part of innovations has been transferred from science and
other industries into concrete manufacturing plants, as for example CAD Systems for designing the molds. In
addition, it should be emphasized the use of multifunctional robotic production cells that were first applied in the
prefabrication of concrete floor panels and later for wall and roof panels [6]. Despite the technological progress in
Architecture, Engineering and Construction Industry (AEC), including for example: Contour Crafting [7], [8] or
Concrete Printing [9] that significantly reduce the use of molds and formworks in construction, mold manufactures
still get involved in working on innovative solutions. Some of these solutions are described in this paper.
* Corresponding author. Tel.: +48-22-234-57-49; fax: +48-22-825-74-15.

E-mail address:a.nical@il.pw.edu.pl
128
2. Overview of molds for precast concrete

Steel molds are used in a production of reinforced and unreinforced precast concrete elements. Design and shape
of the molds depend mainly on the production technology in the plant, type of concrete, weight and shape of the
element and number of elements in one casting. In flow production, in which elements move through the subsequent
production stations, the molds are usually light and non-separable and have small dimensions. Precast concrete
elements that are prepared on the stationary production lines require massive and separable molds. Concrete
technology affects leak-tightness of the molds. Self-compacting concrete (SCC) can be poured into the molds of a
high level of leak-tightness. In addition, the lack of vibrations influences a higher durability of molds. Concrete
reinforcement technology also influences the massiveness of molds. Prestressed elements due to the need of
transferring large tensioning forces are designed with larger cross-section of steel with high mechanical strengths.
Casting of several elements at the same time requires a usage of a battery molds, which can be non-separable,
separable and partially separable. General classification of molds used in precast production plants is presented in
table 1 [1].
Table 1. Classification of molds for precast concrete elements.
Mold cross-section shapes depending on the element
shapes
Mold cross-section shapes depending on the mold structure
Rod elements
Plate elements
Partially separable molds

immediately after casting
Molds with elastic sides
Battery molds
Non-separable
Non-separable
Straight surface side
Partially separable with

one side tilted
Complex surface side
Mold with one elastic

side
Non-separable

one side moveable
one side tilted

one side moveable

two sides tilted

two sides tilted
Separable with tilted low

height sides

two low height sides and
raised hinges
Untypical for the

elements such as:
columns with
multidirectional consoles
etc.
Mold with two elastic

sides

fixed partitions and tilted
sides
two sides moveable
removable partitions
Mold design in terms of strength is carried out under consideration of static loads that include the weight of
element, mold and mold equipment. In addition, the mold must carry dynamic loads, mainly due to the vibration
generated during the compaction of a concrete mix. Currently molds are designed using 2D/3D CAD software
Systems, on the basis of Finite Element Method [2].
3. Fully automated mold change system
In order to meet the requirements of the market, the concrete manufacturers need to reconcile flexibility,
productivity and safety, while offering an ever-larger of high quality products. Mold changeover operation has a
significant meaning for productivity and safety in the precast manufacturing plant. It is also a necessary consequence
of the wide range of incoming orders.
A good example of the company that has taken on the challenge of fully automating this operation is Quadra. The
company is a manufacturer of equipment for the concrete industry. The first tailored automatic stacker crane has
been set up in the Plattard factory with which Quadra has been in close cooperation for many years [3].
129
Figure 1. Automated mold rack storage [3].
The mold rack storage has been located in a closed area. A special route has been created from the rack storage
area to the block machine, enabling the stacker crane to move between both areas. The stacker crane moves and
handles molds from the rack to the block machine and from the block machine to the rack while production is still in
operation. As a result of this, the transfer time does not affect the production since it is not stopped. A space between
the block machine and the face mix unit has been implemented to enable moving the molds directly from and to the
block machine. Regarding automation of the operation an accurate referencing of the mold and the tamper head is
recorded [3]. Adjustment of the tamper head, the mold and the vibrating table of the press ensures accurate and
automated positioning. Positions are adjusted automatically to the type of manufactured products and according to
the recipes.
Figure 2. Stacker crane ready to incorporate the new mold [3].
The operator uses the control screen to select the mold required for the next production. Without interrupting the
current production, the automatic stacker crane withdraws the required mold from rack and transfers it to the block
machine area for placing it within a temporary situated close to the machine [3].
130
As soon as the production is ready, the stacker crane moves between the block machine and the face mix unit in
order to withdraw from the block machine the mold to be changed. The stacker crane puts this mold and latter places
the new one. Pestle and mold adjustment with securing is carried out automatically. After resuming production the
stacker crane transports the mold, which has been used to the washing station.
Figure 3. Washing station set up outside the building [3].
As soon as the washing is completed the mold is located in the storage rack and waits for further use.
4. Shuttering magnet system
Precast concrete manufactures in order to maintain a leading position in the construction market need to offer a
very diverse range of products. Obtaining complex shapes of products requires the use of a reliable and flexible mold
systems. One of the most important factors that influence the production efficiency in the manufacturing plant is
quick and precise assembly and disassembly of molds. An innovative solution in this regard are ultra-light shuttering
magnets. Their use as an equipment for molds assembly eliminates the use of time-consuming molds screwing on
one hand, on the other hand the total weight of the mold is reduced.
Figure 4. MagFly AP ultra-light shuttering magnet [4].
131
The magnet is light and therefore also particularly simple do handle. It is simple to position to align together with
the shuttering and that makes the shuttering particularly precise [4]. With an adhesive force of 22 kN and a mass of
just 5,40 kg, including levers and adaptors, the magnet has a very favorable force/mass ratio.
5. Mold for integral drainage
In the last few years water-permeable roads have been often constructed in Japan. A new designed drainage has
the ability that allows the permeated water from the road to be flowed into drainage through its side holes. One of the
conditions to obtain a high productivity and a proper manufacturing of this type of the internal drainage is to ease the
operation of the inner core assembly and disassembly.
Figure 5. Inner core examples able to be collapsible in one-touch by hand [10].
Inner cores showed in figure 5 are able to be collapsible in one-touch by hand. The main advantage of this
solution is the ability to separate the inner core from concrete and make a demolding operation as easy as possible.
The inner core can be moved away from the concrete product in many ways, such as: roll-back type (by human
hand), automatic type (by a special machining) or gooseneck type (by a crane depending on the individual
customers requests. The molds presented in figure 6 and 7 are with the roll-back type inner core.
Figure 6. Mold with roll-back type inner core, hung from one side with sliding rail [10].
The inner core is hung from one side with sliding rail. As a result of it, cleaning and demolding operation are
clean and safe [10].
The inner can be opened and closed with one-hand without usage of any hydraulic device, as it is shown in
figure 7. In this case elimination of automation on one hand and the human involvement, on the other, result in
reducing a risk of overlooking a potential clogging, caused by the poor cleaning of the mold.
132
Figure 7. Opening and closing of inner in one-touch by hand [10].
In order to prevent the concrete from leaking the molds are equipped with rubber gaskets. Replacing the gaskets
material are the only maintenance operations for this type of mold.
6. Conclusion
The paper presents selected innovative solutions in the field of steel molds for precast concrete elements. The
main objective of these solutions is an improvement of production process. In case of fully automated mold change
system, due to the fact that molds are transported by means of stacker crane during production, manufacturing has to
be stopped for only 5 minutes. The loss of production is therefore minimized and enables the manufacturer to switch
production more frequently, enabling it to be flexible and varied. In addition, the automation of this operation is
beneficial for the health and safety of the operators. Indeed, no manual intervention is required [3].
The use of magnetic shuttering system significantly influences the improvement of productivity and increase
flexibility in the assembly of precast concrete mold for an element. The molds for integral drainage due to the use of
roll-back type inner core are easily demolded. Demolding, which means overcoming of adhesion forces between
concrete and mold material is very important in terms of the prefabricated element surface quality. In many cases,
especially in large precast concrete elements of a complex shapes, the process of demolding needs to be carried out
in stages. As a result of it, the whole activity consumes more time.
Automation in the precast concrete industry improves the production process. Retraining of workers towards
operation of highly efficient machines increases the level of safety in the manufacturing plant. At the same time
quality of products and efficiency increase, resulting in greater competitiveness of production. Due to the fact that
molds cover often more than 50% of the whole production line costs, it is rather not possible to skip them in the
process of automation the production in precast concrete industry.
References
[1] J. Bielawski, K. Cieszyski, W. Hadyniuk, E. Szymaski, H. Wojciechowski, Przemysowa Produkcja Prefabrykatw, Procesy Podstawowe
w Produkcji Prefabrykatw Betonowych, PWN, Warszawa, 1987
[2] Materials published by Toyota Forms Molds for Precast Concrete.
[3] Fully Automated mould change in a block machine: new patented system, Quadra, Concrete Plant International 6/2014.
[4] Cutting-edge modernizations for the optimization of traditional precast plants, B.T. Innovation GmbH, Concrete Plant International 1/2014.
[5] Samuel Y.L. Yin, H. Ping Tserng, J.C. Wang, S.C. Tsai, Developing a precast production management system using RFID technology,
Automation in Construction 18 (2009), p. 677-691.
[6] Bock T., Digital design and robotic production of 3D shaped precast components, The 25th International Symposium on Automation and
Robotics in Construction, Vilnius Lithuania, 26-29 June 2008, p. 11-21.
[7] Khoshnevis, B. (2004) Automated construction by contour craftingrelated robotics and information technologies. Automation in
construction 13(1), 5-19.
[8] Khoshnevis, B., Hwang, D., Yao, K., and Yeh, Z. (2006), Mega-scale fabrication by contour crafting, International journal of Industrial and
System Engineering, Vol. 1, No. 3, pp. 301320.
[9] Lim, S., Le, T., Webster, J., Buswell, R., Austin, S., Gibb, A., and Thorpe, T. (2009), Fabricating construction components using layer
manufacturing technology, GICC'09, , Loughborough University, Leicestershire, UK, pp. 1316
[10] Mold for internal drainage, Toyota Kohki Co., Ltd., Concrete Plant International 2/2011.
133
The Pinpoint Placement Tool A cost effective solution for layout

Darren A. Olsen, J. Mark Taylor, Robert Dean, Aubrey Beal, Jamey Freeman*
Auburn University, Auburn AL, 36849, US
Abstract
This research is related to the development and testing of a new layout tool. The tool dubbed the Pinpoint Placement Tool PPT
was initially designed to increase the precision of under-slab plumbing layout. The tools development sprung out of an
interdisciplinary student collaboration that paired construction management with industrial design students. Faculty were
encouraged to review and examine the early prototypes produced by the student teams and to explore additional scholarship
opportunities. This process led to the creation of the PPT. The aim of this research is to exam the utility of this new tool by
comparing its accuracy to the traditional methods used for under-slab plumbing layout. To facilitate this comparison the researchers
performed controlled experiments with the new tool and supported their data with interviews and observations.
Keywords: Layout; Plumbing; Product Development; Surveying
1. Main text
1.1. Academic Collaboration
A multi-disciplinary collaboration led to the development of a new tool for use in under-slab plumbing layout. This
new tool was compared to the tools and processes traditionally employed in under-slab plumbing layout to determine
its effectiveness. The collaboration began with experienced construction professionals, who identified commonlyoccurring problems within the industry and then presented those problems to a group of students in a studio
environment. One of these problems was the issue of slab penetration points being misplaced. The student group
initially pursued a resolution to this problem. At the end of the semester the student teams showcase their
solutions/tools, and the construction management faculty were encouraged to pick up where the students left off and
to further refine their products.
The initial solution developed by the students was a useful and well executed tool; however the decision was made
to approach the problem in a different manner. A second tool was developed by construction management faculty to
resolve the original problem but this time the tool incorporated additional technology including optical lasers. Some of
the technology that went into the development of the second version of this tool was outside of the expertise of the
construction management faculty and this created an opportunity for cross-disciplinary collaboration with electrical
engineering students and faculty. The end result of all these efforts was the development of the PPT.
* Darren Olsen. Tel.: 334-844-4186

E-mail address:dao0002@auburn.edu
134
1.2. The Problem

Following site work on residential construction projects, the sequence of construction activities shifts to the structure
of the home. The structure of the home starts with the foundation. For homes utilizing a slab on grade, the under-slab
utility systems must be roughed-in prior to the slab being placed. These systems may consist of, but are not limited to:
water, gas, waste, electric and data. The critical action when laying out these under-slab utilities is locating precisely
where they are going to penetrate the slab.
To place their under-slab penetrations in the proper locations, plumbers must carefully determine where the walls
are to be built without physically seeing them in place. When plumbers install underground plumbing, they often have
to work with make-believe walls. When pipes are turned up through the concrete slab, the location of the pipes is often
designed to be inside a wall or a specific distance offset from the face of a wall. The location of these yet-to-be-built
walls is determined by drawings (Woodson, 1996). If the methods used to perform the layout activity are not done
with pin-point accuracy, the integration of building components can become burdensome and costly for the contractor.
Tradesmen performing under-slab plumbing on a facility do not have the luxury of performing dry runs with their
material. Once the slab is poured and cured, those penetrations are then set (Hemp, 2001). Misplaced penetrations not
only impact the constructed facility, but also disrupt the schedule of the construction process, resulting in more costs
for the contractors involved. Mistakes due to human error are bound do happen, a local plumbing contractor said it
best, I dont care if you are the best plumber in the world. At some point in your plumbing career you have chipped
up concrete to fix yours or someone elses work. The results of these misplaced slab penetrations can cause delays
and an increase in cost of labor and materials. Examples of this include, but are not limited to, the following (Joyce,
2001 & Carroll, 1998):
The slab will have to be partially demolished and the plumbing moved.
The installation of the fixtures is impossible without adjusting the partition walls, essentially decreasing the
designed area of certain rooms.
Critical dimensions that are not accounted for could create issues with other areas in the project.
Toilets located too close to the bathroom walls impede access for occupants and makes sanitation difficult.
1.3. Traditional Layout Methods
In residential construction, the process of laying out under-slab utilities typically utilizes only basic hand tools
including the tape measure, plumb bob and string lines. By reading the blueprints for a facility, one uses the dimensions
provided to establish the center line for the plumbing penetration for a future fixture location. (Joyce, 2001)
The slab edge form is a mold made of dimensional lumber, and the inside faces of the slab edge form represents the
perimeter of the slab-on-grade. Utilizing the slab edge form as a baseline (x axis), tradesmen mark the locations of the
future wall intersections on the slab edge form. From that point, tradesman will then pull an offset (y axis) to locate
the correct point within the wall for the utility to penetrate the slab. (Joyce, 2001) This offset is subject to angular error,
since no interior walls are present. If the plumber does not hold the tape at a perfect ninety degree angle to baseline,
there is potential for the utility to penetrate the slab outside of the future wall even if it is just off by a degree or two.
To compensate for this difference, tradesmen may set the initial point temporarily, then move that point along its xaxis by pulling the same dimension that was used to initially locate the wall from the adjacent slab-edge form. Once
the perpendicular points are recognized, a permanent mark for the slab penetration is set. To utilize this method of
angular correction, the edge form must be a closed-in square or rectangle. Another alternative to correct the angular
error is to use a 3-4-5 triangle or the Pythagorean Theorem. This alternative is time consuming and requires a minimum
of two tape measures, and potentially two to three tradesmen. Along with angular error, another inaccuracy that can
easily occur involves the individuals responsible for taking the reading from the tape measure or instrument. When
taking a measurement reading from the edge form, the persons involved may forget to add or subtract the width of the
form board to determine the proper measurement. As the inside edge of the form represents the outside face of the slab
or exterior wall.
A potential alternative for placing plumbing penetrations is the use of the Total Station. If the data is available to
identify the under-slab penetration locations and the instrument is calibrated correctly, the total station is a precise
135
layout instrument that could virtually eliminate errors. One disadvantage is that investment in total stations requires a
considerable initial outlay of capital (Crawford, 1995). This is compounded by the fact that total stations can be
complicated and quite time consuming to set up and use. These facts have caused many residential contractors to ignore
this technology.
1.4. The Solution
The Pinpoint Placement Tool (PPT) was developed in response to the problem of precision. The PPT works by
utilizing a series of alignment lasers which are 90 degrees opposed. The function of one of the lasers is to square the
base unit with the baseline. The other laser is used to sight-in the tape measure at a perfect 90 degree angle to the
baseline. Once the depth of the measurement is determined, a button on the tape measure activates a laser plummet
which will mark the desired point on the surface below. The PPT prototype used in this research was in every sense
homemade, and, thus, even though it is functional, its precision is subjected to the rudimentary materials and
manufacture used to produce it. Despite this, the PPT was awarded a patent. This function of the PPT is depicted in
figure 1 below.
Figure 1: Demonstration of PPT
2. Methodology
This study chronicles the research and development that went into the creation of an innovative new tool aptly
named the Pinpoint Placement Tool (PPT). To demonstrate the effectiveness of the device, research was undertaken to
compare the precision of plumbing layout done both with and without the use of the PPT. Data for this research was
gathered through various methods including; observation of professional plumbers, a controlled experiment involving
10 student volunteers, and interviews with two plumbing contractors involved in both residential and commercial
construction.
First, quantitative data was sought as regards to the accuracy of plumbers performing under-slab layout using their
traditional methods. The homebuilder mentioned above, who initially brought the problem to our attention, facilitated
contacts with plumbers who allowed direct observation of their layout activities. This homebuilder builds
approximately 600 homes a year in a single metropolitan area. Since the builder has a large volume of work ongoing,
it was possible to observe and record the plumbing layout activities of three different plumbing subcontractors at four
different homes over the course of two days. The method used to assess the accuracy of their layout involved using a
total station to shoot the corners of the home and the center-points of the penetrations. The information gathered was
136
then overlaid on the AutoCAD floor plans provided by the homebuilder. Using this method it was possible to determine
how far off-center each penetration was in relation to the plan. The final step of this evaluation involved the analysis
of each home to determine how many errors were made.
Next, a controlled experiment employing 10 students at Auburn University was performed to simulate under-slab
layout. The students were given a basic floor plan with the six points dimensionally located from the edge of slab. A
slab form was set up which precisely coordinated with the floor plan. The students were instructed in how to execute
their layout using similar methods which the plumbers were observed utilizing in the field. For each point location,
each student initially performed the traditional method of layout using basic hand tools (tape measure and plumb bob)
for this process and then later used the Pinpoint Placement Device in the same manner. When a student would determine
their point, they placed a designated pin with a reflector in the ground. These points were then shot with a reflectorless Total Station and then overlaid on the plan to determine the degrees deviation from the target. The average distance
from center utilizing the tape measure method vs. the device was then calculated for each test. The average distance
from center for each test was then totaled into one average using the tape measure and one average using the PPT. The
averages were then compared to determine the precision of each method used during the experiment.
Lastly, qualitative data was collected to; (1) further define the current means and methods of under-slab layout being
used by professionals, and (2) to obtain feedback about the professionals perceptions of the Pinpoint Placement
Device. Interviews were conducted with two local plumbing contractors in Auburn, Alabama. The larger commercial
contractor, hereafter referred to as Contractor A, employed 12 workers, while the smaller residential contractor,
Contractor B, employs two people total. While one contractor was focused on the commercial market and some
residential work, the other contractor worked out of his truck and focused on the residential market.
3. Results and Analysis
3.1. Field Observations
A large homebuilder allowed researchers access to a number of their homes under construction for the purpose of
determining how accurately slab penetrations were being located by their plumbing subcontractors. Three professional
plumbers were observed while constructing the groundwork on four slab-on-grade homes. Their rough-in locations
were recorded through the use of a total station and then plotted on the AutoCAD floor plans. In the AutoCAD floor
plans, the offset distance from the center of the target locations was determined. Figure 2, shown below, reveals the
number of slab penetrations throughout each home and indicates the number of acceptable penetrations.
Figure 2: Number of Acceptable and Unacceptable Slab Penetrations
137
After discussions with the plumbers, the criteria for acceptable penetrations were determined to be: 1) Drains lines
designed to be concealed in a wall must be located within the faces of the wall but will be allowed to move on a
horizontal axis within the wall; and 2) Drain lines such as toilet flanges should be centered on the fixture and the
appropriate distance offset from the face of the wall. Pursuant to these criteria, two of the penetrations failed to be
acceptable.
In addition to those penetrations which failed the aforementioned criteria, three out of the four homes observed also
contained minor errors. Such slight errors are recognized as acceptable penetrations; however they may serve as
potential problems during the construction of the home. For example, in House 1 a pipe penetration in a plumbing
chase was located greater than one foot from its proposed destination on the architectural drawings. Houses 2 and 3
also contain minor issues in their under-slab layout penetrations.
3.2. Controlled Experiment
The following data was gathered through a controlled experiment involving 10 students. The students were trained
how to layout plumbing utilizing traditional methods. The students were then given instruction on how to use the PPT.
They were given a mock floor plan from which they had to locate six penetrations. These penetrations included both
in-wall and slab penetrations out in space. The students were to layout the six penetrations first utilizing the traditional
tape measure layout and then utilizing the PPT. The penetrations were marked utilizing reflectors which were staked
into the ground. The reflectors were recorded using a Total Station in order to accurately mark the location of the
students mock penetrations.
The distance from center was documented at each location along with the points relative to the x and y-axis. Once
the data was compiled, averages were derived to compare use of the traditional methods vs. the PPT. However, it
is important to mention that there are several points tested that could be deemed as an anomaly. The anomaly distance
was considered to be any distance greater than 10 inches in length. These results were thought to be errors incurred
through the use of the reflector-less total station. Any data point with this anomaly was not included in the results. In
Figure 3 below the overall average error for each layout method is reported.
Figure 3: Controlled experiment average distance off center.
The results of this analysis display an average 3/16 difference between the two methods. These results also show
that the PPT is more precise then traditional methods during the layout process.
138
3.3. Interviews
Interviews were conducted with two plumbing contractors in Auburn, Alabama. Each company was asked a series
of questions related to the following: (1) Means & Methods Used to conduct layout, (2) Potential Problems, and (3)
opinions about the Device. The means and methods used to perform under-slab layout were almost identical for the
contractors. Both companies reported that they perform their layout using a combination of nylon string along with a
tape measure and plumb bob.
The accuracy of the plumbers penetrations proved to be an issue for both contractors. When asked if these
companies had ever encountered any problems with their under-slab plumbing penetrations, both companies indicated
they had. The reasoning for these errors, along with the costs associated with alleviating the problems were also similar
between the contractors. One detail that emerged highlighted the frequency with which these inaccuracies occur and
the need for greater precision. While the commercial contractor involved in this interview specified that these issues
rarely occur, the residential contractor indicated that these errors occur in one out of every three homes.
The introduction of the Pinpoint Placement Device piqued the interest of both contractors. Each contractor felt that
the device could improve efficiency in the field and also indicated that it appeared to be more accurate than the
traditional layout methods used within their companies. Potential improvements were also suggested by the contractors
to refine the device.
4. Conclusion
The first objective of this study was to examine the means and methods of traditional under-slab plumbing and
service system layout. The observed means and methods used by multiple plumbers include the use of basic hand tools
including the tape measure, plumb bob and string lines. The next question related to the accuracy of plumbers layout
utilizing their traditional methods and tools. In a small sample of plumbers who were observed and measured, it was
confirmed that a problem exists with regards to accuracy. Though the sample size was too small to predict the scope
of the problem, it did serve to corroborate the testimony of our interviewees who admitted to problems and further to
the charge of the homebuilder who originally brought the problem to our attention. A larger sample may be able to
accurately predict the frequency of the occurrence of inaccuracies, but anecdotal evidence suggests that problem is of
a sufficient size to warrant searching for a solution.
The second objective was to compare the accuracy and efficiency of the traditional methods and tools that are
utilized for this process to the Pinpoint Placement Device PPT. This was accomplished through defined experiment
conducted at Auburn University. The experiment demonstrated comparable accuracy and efficiency between the use
of traditional methods and using the device. The average distance from center calculated from each test showed only
a 3/16 difference between the two layout methods, with the device averaging a smaller margin of error. It is assumed
that if the PPT was manufactured professionally and precisely it would further enhance the precision of the PPT and
widen the gap. The prototype used in this experiment was essentially a homemade mock-up.
While the use of the Total Station to pinpoint the locations of each penetration is an alternative, it is not practical
for the residential plumbing subcontractor due to the amount of skill required to use it and the cost they would incur.
This research shows that the traditional means and methods used in under-slab penetration layout can be employed
successfully, if great care is taken. However, the data obtained in this study shows that with some minor enhancements,
the Pinpoint Placement Device could prove to be a cost effective tool for plumbing contractors to help improve the
under-slab plumbing layout process by eliminating sources of potential error.
Lastly, the applications for this device are not limited to under-slab plumbing layout. While this device was invented
for a specific purpose, its innovative function may extend into other areas of construction. Once improvements and
advances are made to the tool, re-evaluation of the device and validation of its accuracy are necessary. As an extremely
important step in the development of this tool, it was awarded a patent.
139
References
[1] Carroll, J. (1998). Measuring, Marking & Layout - A Builder's Guide. Newtown, CT: The Taunton Press
[2] Crawford, W. G. (1995). Construction Surveying and Layout: A Step-by-step Field engineering method manual. West Lafayette, IN: Creative
Construction Publishing
[3] Hemp, P. (2001). Plumbing a House. Newton, CT: The Taunton Press
[4] Joyce, M.A. (2012). Residential Construction Academy: Plumbing. Clifton Park, NY: Delmar
[5] Woodson, R. D. (1996). Builder's Guide to Residential Plumbing. New York, NY: McGraw-Hil
140
Frequency analysis and measurements of moisture content of AAC

masonry constructions by EIS
Sanita Rubene*, Martins Vilnitis
Riga Technical university, Faculty of Civil Engineering, 16/20 Azenes Street, Riga, LV-1048, Latvia
Riga Technical university, Faculty of Civil Engineering, 16/20 Azenes Street, Riga, LV-1048, Latvia
Abstract
Electrical impedance spectrometry (EIS) is applied for detection of humidity distribution throughout the cross section of autoclaved
aerated concrete masonry constructions. It is a non-destructive method, which is easily applicable on-site and provides wide range
of information about moisture migration through the cross section of a construction and about changes of materials porous structure.
The particular research provides data about influence of direction in which the measurements are performed (parallel or
perpendicular to supposed cladding direction) on the results of the frequency analysis and measurement values. All measurements
are performed on autoclaved aerated concrete masonry blocks.
Keywords: EIS, non-destructive testing, humidity distribution, drying process, autoclaved aerated concrete
1. Introduction
Autoclaved aerated concrete (AAC) is a load bearing construction material with high performance of heat insulation
parameters. In order to reach these high heat insulation parameters stated by the manufacturers it is necessary to control
the drying process of the construction in order to avoid situations when the drying is slowed down by application
finishing layers on the surface of AAC masonry blocks.
As it is commonly known the AAC masonry blocks have slightly different insulation properties depending on the
manufacturing direction of the blocks. These differences are caused by the specialties of the manufacturing technology
and the following uneven distribution of pores in different directions of the masonry blocks. The subject of the research
described in this paper is to determine the impact of the EIS measurement direction on results of frequency analysis
and measurement values of AAC masonry constructions.
2. Methodology
2.1. EIS method
Method of electrical impedance spectrometry (EIS) enables detection of the distribution of impedance or other
electrical variables (such as resistivity, conductivity etc.) inside a monitored object, and thus the observation of its
inner structure and its changes [1], [2]. This method ranks among indirect electrical methods and it is used in measuring
properties of organic and inorganic substances. It constitutes a very sensitive tool for monitoring phenomena that take
* Corresponding author. Tel.: +371 26461876;
E-mail address:sanita.rubene@inbox.lv
141
place in objects (e.g. changes occurring in earth filled dams when loaded by water, in wet masonry sediments etc.),
electrokinetic phenomena at boundaries (e.g. electrode/soil grain, between soil grains) or for describing basic ideas
about the structure of an inter phase boundary (e.g. electrode/water) [3]. The range of frequencies used for the driving
signal enables the characterisation of systems comprising more interconnected processes with different kinetics [4],
[5].
The basic property of electrical impedance is characterization of AC electrical circuits. It is always greater than or
equal to the real electrical resistance R in the circuit. Imaginary resistance, i.e. inductance - reactance of inductor XL
and capacitance - reactance of capacitor XC, creates variable and therefore frequency - dependent part of the
impedance. Electrical impedance is evidently made up of real and imaginary parts. Resistance R creates real part and
is frequency-independent. Imaginary part is created by reactance X, which is frequency-dependent. Electrical
impedance can be expressed by Ohms equation for AC circuits [6].
2.2. Z-meter III device
In the Laboratory of Water Management Research of the Institute of Water Structures at the Civil Engineering
Faculty of Brno University of Technology, a measuring instrument with a Z-meter III device has been developed within
the solution of an international project E!4981 of programme EUREKA. This instrument is verified in laboratory
experiments and measurements on objects in situ [4], [5], [7].
Z-meter III device consists of an electronic block which performs all measurement procedures. Measurement probes
are attached to the electronic block. There can be used single probe or a pair of probes for the measurements.
The output data of EIS measurements are divided into to components of electrical impedance the R and the X
parts are separated in the output data which brings more opportunities for data interpretation.
As the measurements are taken in AC then the measurement frequency can be altered from 1 000 to 20 000Hz. The
measurement settling time as well as the number of repetitions can also be set in the settings of the device.
3. Previous research in field of EIS application on AAC masonry constructions
Initially, the EIS measurements by Z-meter III were applied on soils and earth filled dams [8]. Researches of
application of EIS measurements on AAC masonry construction were started by authors in 2013.
Prior the EIS mesurements have been applied for the detection of moisture content in concrete constructions by
Rajabipour and Weiss [15], Schiel and co-workers [16] have also researched the moisture gradients that develop in
drying concrete. These researches have been performed on concrete constructions and show credible results on
application of EIS measurements for detection of moisture content in concrete material. The main difference between
the concrete and AAC is the porous structure of the material which has significant impact on water absorption
parameters as well as on electrical behavior of the material.
Therefore, prior application of EIS measurements on AAC construction a frequency analysis should be performed
in order to determine which frequency is most suitable for the respective material. Previous researches prove that a
selection of a correct measurement frequency can have a significant impact on the measurement results. If unsuitable
frequency is selected, the monitored changes of humidity distribution can be minimal or cannot be monitored at all. It
is important to pay attention not only to a single frequency which seems to be suitable for the measurements but also
to a range of frequencies around the selected frequency. This is an important fact due to the fact that the moist suitable
frequency tend to change its value along with changes of AAC structure changes during its drying process [5].
First researches of authors in field of application the EIS measurements on AAC masonry constructions were started
with measurements on single masonry block [5].
After the correlation between the EIS measurements within the block were established and the assumed correlations
between the humidity ratio and changes of the electrical resistivity values were confirmed further researches were
started in order to develop an on-site applicable non-destructive test method for detection of humidity distribution
throughout the cross section of AAC masonry constructions.
These researches display relative correlation between the changes of humidity ratio throughout the cross section of
the construction and EIS measurement results [5], [9], [10], [11]. As one of the main fields of research the monitoring
of the AAC masonry wall drying process by EIS was performed [10], [11]. The results of the monitoring process
proved that in relative values it is possible to monitor moisture migration through the cross section of AAC masonry
constructions.
142
As the main correlations were established the question of the impact of masonry joints or large masonry cracks
arouse. For this reason the second set of experiments was performed. The first research displayed that masonry joints
and cracks have significant impact on the EIS measurement results (Fig.1). Thus the EIS method is not applicable on
masonry constructions where masonry joints or large cracks are between the measurement probes without further
researches [9].
The impact of the masonry joint on the values of EIS measurements can be described with linear correlation (1)
between measurement results which are obtained in boundaries of single masonry block and results where a masonry
joint is between the measurement probes.
= +
(1)
The a quotient is in range of 0,67 to 0,96 that mean the impact factor of joint is in the same range accordingly to
base measurement value in section without joints. However, the C constant is different every time and it is difficult to
conclude what it depends on. The value of C constant has to be a subject of further research [12].
Fig.1 EIS measurement results with masonry joint impact in a

masonry wall fragment [12]
Fig.2. Correlation between EIS measurements and relative

humidity % in aerated concrete block [13]
After the research of monitoring the humidity migration through the cross section of AAC constructions in relative
means was completed, a research of correlation between the electrical resistance values of EIS measurements and
relative humidity rate of the measured material was performed [13].
The research allowed to establish correlation between the EIS measurement results of real part of electrical
resistance in ohm () and the relative humidity value of the AAC material in percentage (%) (Fig.2).
Another issue, which should be considered is the impact of the manufacturing direction of AAC on the EIS
measurement results. As the measurements are performed on wall fragment it is important to consider the AAC
masonry block cladding direction. AAC masonry blocks can be used for cladding in both possible ways on its side
edge or on its plane edge. The load bearing capacity does not change in this situation but as the aerated concrete
masonry blocks are not totally isotropic material due to the specialties of the manufacturing process they have
different distribution of pores in different directions of the block volume. These differences may have impact on EIS
measurement results and the research about such impact was performed by authors in Riga Technical university.
4. Description of the experiment
In the experiment two fragments of the same AAC block were used (AEROC universal AAC masonry block [14])
with density of 375kg/m3. In both blocks a pair of bores were made for insertion of measurement probes (Fig.3). In
one block the bores were made parallel to the manufacturing direction of the block (block A1) and in the other block
perpendicular to the manufacturing direction of the block (block A2).
The EIS measurements were performed with 4 channels of probe for A1 block and 5 channels for A2 block. The
difference of the channels were caused by the thickness of the blocks and the fact that in A1 block only 4 channels
could be inserted (Fig.4).
143
At the first phase of the experiment the frequency analysis for both blocks was performed. The frequency analysis
was performed in range from 1 000Hz to 20 000Hz with measurement step of 100Hz. Afterwards the results were
processed in order to determine the most suitable frequency range for further measurements.
Fig.4 AAC masonry block with inserted measurement probe
Fig.3 AAC masonry blocks used for the experiment
The second phase of the experiment consisted of several parts. At first, both blocks were fully saturated with water
and the initial EIS and gravimetric measurements were taken. Afterwards blocks were left for drying in laboratory
conditions (+20+25C and approx. 70% Rh) and periodically EIS measurements were performed on the blocks.
After the blocks had reached an air dry state they were put into a drying oven and dried to absolutely dry condition in
compliance with RILEM recommendations for drying of AAC [17]. Afterwards another set of EIS measurements were
taken. During all time of the EIS monitoring of the blocks they were also scaled so that correlation between the EIS
measurement values and the average humidity ratio in % of the material could be established.
5. Results
5.1. Results of frequency analysis
A separate frequency analysis was performed for each block. For frequency analysis the X component of resistance
was used because the measurement frequency depends on the porous structure of the material. As the porous structure
of the AAC tends to change with the changes of the moisture content in the material, it is important to consider the
anisotropic properties of the ACC within the frequency analysis of the material. The results show that the most suitable
frequencies for different measurement directions vary significantly (Fig.5 and Fig.6).
For the A1 block the most suitable measurement frequency is in range from 8 000 13 000Hz but for block A2 it
is a range from 5 000 9 000Hz. In order to obtain a comparable measurement results there had to be chosen one
measurement frequency which in this case was chosen 8 000Hz.
Fig.5 Frequency analysis for block A1
Fig.6 Frequency analysis for block A2
144
Attention should be paid to the 2 000Hz frequency in both graphs (Fig.7 and Fig.8) because this frequency show
that next to a seemingly suitable measurement frequency can be frequencies which are totally unsuitable for the
measurements in particular material. If such unsuitable frequencies are chosen for measurements all test results can be
compromised because of the drying process impact on the application of certain frequencies for EIS measurements.
5.2. Results of measurement values
After determination of the measurement frequency the monitoring process of the AAC blocks begun. The EIS
measurements were taken for four months time and impact of measurement direction was determined (Fig.7).
Fig.7 Comparison of EIS measurement data on blocks A1 and A2 depending on measurement direction
The measurement results show that at the beginning of AAC masonry blocks drying phase the measurement values
do not significantly differ but as the drying process progresses the influence of optimal frequency distribution displays
its impact on the results and the measurement values start to differ significantly. It means that in situations when
comparison of the EIS measurement results is necessary it is important to take into consideration the measurement
direction. In opposite case the obtained results can be misinterpreted as increased speed of moisture migration through
the cross section of the construction.
5.3. Correlation between measurement values and relative humidity rate of the construction material
In order to develop the application possibilities of EIS monitoring a correlation between EIS measurements and
relative humidity values have been determined (Fig.8 and Fig.9).
The correlations equations differ depending on measurement direction but overall the trend of the equations is
similar and allow to assume that in all cases concerning measurements performed on AAC masonry constructions they
would be similar.
Fig.9 Correlation between EIS measurements and relative

humidity values in % for sample A2
Fig.8 Correlation between EIS measurements and relative

humidity values in % for sample A1
145
The correlation between the EIS measurement values and relative humidity rate of the construction is logarithmic.
The developed correlation formulas and graphs allow starting on site experiments of humidity distribution detection
throughout the cross section of AAC masonry constructions.
6. Conclusion
EIS method can be applied for on site measurement of humidity distribution throughout the cross section of AAC
masonry constructions. Correlation between EIS measurements and relative humidity of the construction material have
been established. The measurement direction in correlation to the manufacturing direction of the relevant AAC material
has significant influence on absolute values of the measurement results. It means that prior the application of EIS
measurements it is necessary to determine the direction of cladding in masonry construction as it can have significant
influence on test results. The developed guidelines for frequency analysis and correlations between EIS measurement
results and relative humidity ratio in construction can be used as a reference material for further on site measurements
of humidity distribution by EIS measurement device Z-meter III.
References
[1] McCarter, W.J. ; Garvin, S., 1989. Dependence of Electrical Impedance of Cement-Based Materials on their Moisture Condition. In: Journal
of Applied Physics Series D: Applied Physics 22 (1989), No. 11, S. 1773-1776.
[2] 2002. Guidebook on non-destructive testing of concrete structures. International atomic energy agency, Vienna, Austria.
[3] Skramlik, J., Novotny, M., 2008. One-dimensional moisture transport monitored by a non-destructive method. INTERNATIONAL
JOURNAL OF COMPUTERS Issue 4, Volume 2.
[4] Parilkova, J. et al. Monitoring of changes in moisture content of the masonry due to microwave radiation using the EIS method. EUREKA
2011, ISBN 978-80-214-4325-9, Brno (2011).
[5] Rubene S. et al. DETERMINATION OF HUMIDITY LEVEL IN AERATED CONCRETE CONSTRUCTIONS BY NON DESTRUCTIVE
TESTING METHODS, in proc Innovative materials, structures and technologies Riga, 2014 p.135-140
[6] Fejfarov M., 2013. The Application of EIS and PIV Methods to the Measurement of Aerated Flow, EPJ Web of Conferences Volume 45,
2013 EFM12 Experimental Fluid Mechanics 2012
[7] Parilkova J., Vesely J, Prochazka L., E!4981 Computerized Measuring System for Analysis of Chosen Characteristics and Processes in
Porous Environment by EIS Method, presentation of a project in 2012
[8] Parilkova J., Vesely J., Fejfarov M., A muntidisciplinary design measurement: EIS method, its application and use in all formof education in
college, in proc 4th international conference on new honizons in education, 2013, p130-139
[9] Rubene, S., Vilntis, M. Application of Electrical Impedance Spectrometry for Determination of Moisture Distribution in Aerated Concrete
Constructions. In: EUREKA 2013: 1st Conference and Working Session: Proceedings, Czech Republic, Karolinka, 30 Oct-1 Nov., 2013.
Brno: VUTIUM, Brno University of Technology, 2013, pp.124-131. ISBN 978-80-214-4735-6.
[10] Rubene, S., Vilntis, M. Monitoring of Humidity Distribution Changes in Aerated Concrete Masonry Construction by EIS. In: EUREKA
2014: 2nd Conference and Working Session Proceedings, Czech Republic, Brno, 30-31 October, 2014. Brno: VUTIUM Brno University of
Technology, 2014, pp.124-130. ISBN 978-80-214-4883-4.
[11] Rubene, S., Vilntis, M., Noviks, J. Monitoring of the Aerated Concrete Construction Drying Process by Electrical Impedance Spectrometry.
In: Proceedings of 4th International Conference "Advanced Construction 2014", Lithuania, Kaunas, 9-10 October, 2014. Kaunas: Kaunas
University of Technology, 2014, pp.216-220. ISSN 2029-1213.
[12] Rubene, S., Vilntis, M., Noviks, J. Impact of Masonry Joints on Detection of Humidity Distribution in Aerated Concrete Masonry
Constructions by Electric Impedance Spectrometry Measurements. International Journal of Civil, Architectural, Structural and Construction
Engineering, 2015, Vol.9, No.1, pp.1089-1094. e-ISSN 1307-6892.
[13] Rubene, S., Vilntis, M. Correlation between EIS Measurements and Relative Humidity Distribution in Aerated Concrete Masonry
Constructions. In: Recent Advances in Civil Engineering and Mechanics. Mathematics and Computers in Science and Engineering Series 35,
Italy, Florence, 22-24 November, 2014. Florence: WSEAS Press, 2014, pp.67-72. ISBN 978-960-474-403-9. ISSN 2227-4588.
[14] http://aeroc.lv/index.php?page=938&lang=lat&cnt=AEROC_Universal Technical information of AAC masonry blocks used for experiment
(site accessed on April 30, 2015).
[15] Farshad Rajabipour, Jason Weiss, John D. Shane, Thomas O. Mason, and Surendra P. Shah. A PROCEDURE TO INTERPRET
ELECTRICAL CONDUCTIVITY MEASUREMENTS IN COVER CONCRETE DURING REWETTING. Journal of Materials in Civil
Engineering, 2005. 17(5), pp:586594.
[16] Schiel, A., Weiss, W. J., Shane, J. D., Berke, N. S., Mason, T. O., and Shah, S. P. Assessing the moisture profile of drying concrete using
impedance spectroscopy. Concrete Science and Engineering, 2, 2002. pp:106-116.
[17] RILEM recommendations. Aerated lightweight concrete. Materials and Structures/Matdriaux et Constructions, 24. 1991. pp:317-320.
146
Creative Management in Construction
Observation value analysis Integral part of Bayesian diagnostics

Magdalena Apollo*, Marian W. Kembowski
Gdansk University of Technology, Narutowicza 11/12 Street, 80-233 Gdansk, Poland
Abstract
Detailed subject of the research is to analyse the value of the observation, which is a part of preposterior analysis. For the
presented network, the main objective was to determine, conducting of which of three tests is the most valuable from the
perspective of determining possible need or possibility to omission expensive technical expertise. The basis of verification, which
test is the most valuable, is therefore the comparison of expected value of sample information (EVSI) for each of the three tests.
The main advantage of preposterior analysis is answering the question which of the considered experiments is potentially the best
source of information and what cost needs to be incurred on its execution. If the cost of such an examination is relatively small
compared to the value of information on the state of nature, this implies a direct recommendation to conduct the experiment. It is
noteworthy, that test result itself can contribute to an increase in the expected value of the decision involved, but on the other
hand, the reduction of uncertainty may be considerably outweighed to the necessity to incur expenses for this examination.
Keywords: Bayesian networks; decision theory; expected value; preposterior analysis.
1. Expected value as the basis of decision making

Decision making process in general is understood as a process of selecting one of available decisions included in
the decisions space and its graphic representation is decision tree. One of possible approaches supporting this process
is Bayesian Decision Theory that provides mathematical model for making technical decisions under uncertainty [2].
The methodology of Bayesian Belief Networks was developed in the 1990s by a joint efforts of statistical and AI
communities. The first practical applications of Bayesian Nets were in the field of medical diagnosis. Only recently
the methodology was used to analyse environmental [6] and construction problems [9].
Assuming that above mentioned uncertainties can be represented through probabilities, those can be established
based on: relative frequency, conclusions based on mathematical models and conviction of certain distribution of
states of nature based on engineers experience. As much as the first two methods can be verified in objective tests,
engineers conviction has to be treated as subjective measure. Its relative credibility depends on the experts
experience. Subjective measure of probability proves to be useful when we want to express the opinion of the entire
team working on a given project, which is important especially in complex projects involving multiple areas [10].
Consideration of decisions under uncertainty is also crucial in everyday engineering practice, therefore the advantage
of Bayesian networks is the ability of combining objective results of conducted tests with subjective aspects that
allow describing, for example, decision-makers attitude, depending on benefits of certain decision.
Results of actions taken are directly affected by factors, which state is often not fully known. In order to eliminate
doubt regarding the state of certain factor, for example compressive strength of concrete, it is possible to conduct
* Corresponding author. Tel.: +48-58-347-16-37

E-mail address: magdalena.apollo@wilis.pg.gda.pl
148
tests. A sample can be taken and its strength verified, by using compression machine, taking into account its
reliability. In some cases using Schmidt hammer to assess the compression strength of concrete is an equally reliable
and a lot more cost-effective experiment. It is important to note that such tests may not eliminate all doubts, but they
still provide new information allowing for decreasing the level of uncertainty [11]. Considering observation value
analysis, we are considering the relation of cost of (potential) experiment to its benefit of higher value of the decision
being result of the experiment. The test result may increase the value of expected decision, but on the other hand
such increase may be disproportionate to the cost required to conduct the test.
The main task of the observation value analysis is establishing conducting of which test is the most profitable with
regards to the issue considered. The basis of this verification is the notion of expected value, defined as the sum of
products of probability values and benefits of certain occurrence. The most efficient test is defined as the one that
provides the highest value of the sample, being the difference between decision value resulting from this test and
optimal value of the decision without conducting it. Construction of decision model that is reflection of reality and
existing relations between factors occurring in nature and then conducting appropriate experiments allows
establishing a ranking of decisions, including those concerning selection of optimal tests.
2. Methodology of preposterior analysis
The starting point of analysis to select test being the best source of information (providing maximum value of the
sample) is to conduct a posteriori analysis of every possible test-result pair. The result of each pair relates to the
optimal decision and expected value u(e, z) related to it, where:
u (e, z ) = max{E[u (e, z , d | e, z ]}
(1)
E[u (e, z , d ) | e, z ] = i u (e, z , d , x ) p ( x | e, z )
(2)
e type of test (experiment)

z result of the test (experiment)
u(e, z) value of the most beneficial decision when test e is conducted and state z is observed
E[u(e, z, d)|e, z] a posteriori expected decision value when test e is conducted and state z is observed
u(e, z, d, x) value of consequences of making decision d and observing state x as a result of observing state z
when conducting test e; cost of the experiment
p(x |e, z) conditional a posteriori probability of occurrence of state x when conducting test e and observing state
z
The next step is to calculate expected value of every test and select the one that maximizes expected value [2].
E[u | (e)] = k p ( z | e)u (e, z )
(3)
E[u|(e)] expected value of the decision as a result of conducting test e

p(z |e) conditional a priori probability of observing state z when conducting test e
To calculate expected value of each test it is necessary to establish probability of its different outcomes [2]:
p ( z | e) = i p ( z | e, x ) p ( x )
(4)
p(z |e, x) reliability of the sample, conditional probability of occurrence of state z for test e and state x
The basis of calculations conducted in chapters 3.1, 3.2, 3.3 is the definition of expected value. The basis for
verification which test (experiment) is the most beneficial is the comparison of expected value of sample information
(EVSI), as defined in formula 5.
=
EVSI
EV | SI EMV
(5)
149
EV|SI expected value of sample information as a result of conducting additional test; E[u|(e)]
EV|SI for e1, e2, e3 (ei tests conducted in chapter 3 of this article) respectively: E[u|(e1)], E[u|(e2)] and
E[u|(e3 )]
EMV expected value of the decision without conducting additional tests; for action e0 (not conducting additional
test) EMV = E[u|(e0)] = u(e0,z)
3. Observation value analysis case study
The network presented below, showing sample decision problem, should help to answer the question: is it
necessary to conduct technical examination, or maybe the previously conducted technical assessment of the object is
sufficient (Fig. 1). Technical assessment is defined here as a document based on visual inspection of the construction
and potential analysis of available documentation. Assessment conducted this way is not always unequivocal as it is
based on engineers experience, which can only be considered a subjective judgment. Technical examination is an
exercise that in addition to engineers experience (subjective opinion) includes elements of objective tests of
construction materials, measurements of deflection and structural movements, as well as required calculations. In this
case the diagnosis is made reliable by objective tests that are fully verifiable [1].
Fig. 1. An exemplary decision problem: "Is it necessary to conduct technical expertise? (own analysis based on [8]).
In general, when we want to solve the problem in question, first step is to determine its nature and confirm
whether probabilistic network is the right modelling methodology in this situation. In order to do that a number of
criteria need to be considered, including [10]:
well defined variables,

highly organized problem with identifiable cause and effect relations,
uncertainty regarding the abovementioned relations,
solving repetitive problems or issues related to high implementation costs.
In relation to abovementioned criteria, the decision problem, related to potential necessity of conducting technical
examination, is presented in the context of preparation for urban regeneration project. Urban regeneration includes
multitude of actions from such areas as construction, spatial planning, economy and social politics, aimed at
reviving, functionality improvements, aesthetic and comfort improvement, as well as improving the quality of life of
inhabitants of a certain area. Enterprises included in urban regeneration projects are comprised of tasks of investment
(construction works in the area, as well as widely defined infrastructure) and non-investment (so called soft project
elements) nature. Despite the important role of non-investment (social) tasks the research proved that majority of
financial means in this type of projects is allocated to investment construction tasks.
Assuming then, that the success of urban regeneration depends, inter alia, on minimization of additional costs and
those are mainly dependent on technical state of the constructions, decision whether technical examination
is required seems to be key to success of the investment part of regeneration projects. Keeping in mind extraordinary
complexity of described enterprise (complex and social character), scale of its costs and uncertainty regarding the
state of nature, making a decisions whether examination should be conducted is very difficult using traditional
150
inference. Bayesian network allows to make decisions under conditions of limited information (lack of historical
data), and it allows to avoid expensive tests of environment [3] that can be modelled based on experience [5].
The example discussed here is related to a situation where decision needs to be made based on available (limited)
information regarding the modelled state of nature. Decision, whether examination should be conducted, depends on
the level of regeneration investment risk and diagnosis of technical state based on conducted technical assessment.
Occurrence of any of the states of those values is uncertain; therefore the state of nature has been described through
the pair of values: level of investment risk diagnosis of technical state. Those pairs can be treated as bimodal states
xij, presenting combined occurrence of investment risk level and certain diagnosis of technical state. Decision tree of
the case described is presented on Figure 2. For each of technical states and risk levels independently a discrete
probability distribution has been defined, based on calculations of the model built in Netica application [10].
Fig. 2. Decision tree: level of investment risk diagnosis of technical state.
The basis of probabilistic network analysis, aside of the necessity of creating a model, meaning the network
structure, is definition of parameters presented as real numbers in the conditional probability tables and utility tables.
First step is to identify variables, as well as causal, functional and information relations between them, providing this
way the qualitative part of the model. Next, during iterative process, parameter values are defined through testing
variables and conditional probabilities, as well as through verification of directionality of connections [7].
Conditional probability tables (CPT), described in [1], allow for quantitative representation of cause and effect
relations between the model variables. What is more they allow describing expert knowledge, which introduced to
the network as observations, using backward propagation of information, helps to reduce uncertainty of data and
to improve model results. Utility tables are used to determine decision-makers preferences. In the context of our
example they serve to establish utility of conducting examination, so to express benefit of making specific decision
for specific combination of factors, such as: positive or negative decision regarding conducting the examination,
diagnosis of technical state of the object based on technical assessment and result of investment risk assessment.
In general, preference allows representing the value of cost or benefit resulting from specific state of nature as
151
numeric value. In the analyzed example utility, as the benefits of conducting the examination is represented in
sample absolute values, fulfilling the transitivity criteria.
The goal of this analysis is to verify conducting of which test (verification of visibility of construction elements
corrosion, examination of the state of internal installations, verification of technical documentation of the object
regarding ongoing maintenance) is the most profitable from the standpoint of determining potential necessity
or exclusion of expensive technical examination. Taking into account the cost of the potential test, benefits
of increased certainty of the decision taken, can be disproportionate to increased expected value.
3.1. Test no 1 verification of visible construction elements corrosion (e1)
=
EV | SI1
p ( z1 | e1 )u (e1 , z1 ) + [1 p ( z1 | e1 )]u (e1 , z2 )
e1 verification of visibility of construction elements corrosion (experiment 1)

z1 construction elements corrosion is visible
z2 construction elements corrosion is not visible
p(z1|e1) conditional a priori probability of observing result z1 when conducting test e1; p(z1|e1) = 0,325
u(e1,z1) value of the most beneficial decision when conducting test e1 and observing state z1
u(e1,z1) = 49,877 (optimal decision value resulting from the simulation conducted in Netica)
EV|SI1 = 0,325*49,877 + (1-0,325)*34,190 = 39,288 the decision value based on the test
EMV = 32,480 optimal decision value without testing (for e0; results of calculation conducted in Netica)
Sample value: EVSI1= EV|SI1 EMV = 39,288 - 32,480 = 6,808 [-]
3.2. Test no 2 examination of interior installations (e2)
=
EV | SI 2
p ( z1 | e2 )u (e2 , z1 ) + [1 p ( z1 | e2 )]u (e2 , z2 )
e2 examination of interior installations (experiment 2)

z1 state of interior installations determined to be good
z2 state of interior installations determined to be bad
EV|SI2 = 0,675*34,190 + (1-0,675)*49,877 = 39,288
Sample value: EVSI2= EV|SI2 EMV = 39,288 - 32,480 = 6,808 [-]
3.3. Test no 3 verification of technical documentation of the building object regarding ongoing maintenance (e3)
=
EV | SI 3
p ( z1 | e3 )u (e3 , z1 ) + [1 p ( z1 | e3 )]u (e3 , z2 )
e3 verification of the technical documentation of the building object regarding ongoing maintenance (experiment 3)
z1 object has been undergoing regular maintenance
z2 object has not been undergoing regular maintenance
EV|SI3 = 0,625*33,773 + (1-0,625)*49,307 = 39,598
152
Sample value: EVSI3= EV|SI3 EMV = 39,598- 32,480 = 7,118 [-]

4. Summary
The basis of preposterior analysis is to answer the question which of considered tests is the best potential source
of information to maximize sample value and what will be the cost of conducting this test (price of new information).
If the cost of such test is relatively low when compared to the value of information about the state of nature,
it implies direct recommendation to conduct such test. As such using preposterior analysis especially when applying
all currently available IT tools, gives wider possibilities to consider decision problems related to uncertainty, which
is immensely important in everyday engineering practice.
Apart from indisputable advantages of presented procedure, subjectivism of expected value and benefit definition
is sometimes considered as potential flaw of this theory [4]. The process of establishing preference, conducted, for
example, as an interview with experts in certain area (expert panel), is usually executed in situations that do not
require actual risk taking. Such assessment reflects only hypothetical attitudes of the experts when faced with
specific situations. It is worth noting, that individual character of every decision and reluctance to risk taking are
elements that significantly affect the decision and individual preference description for specific results of considered
situations. Depending on circumstances such values may vary for different people and sometimes can ever vary for
the same person [2]. The values therefore describe decision makers preference in a given moment. Because of the
criteria verifying accuracy of expected value it is not required to repeat samples, as majority of engineering projects
is by default unique. Despite problems with establishing benefits (consequences) in practice, requiring involvement
and in-depth analysis of the situation, this concept is crucial in making rational decisions under uncertainty.
Due to small differences in probability distribution of occurrence of certain test outcomes, sample values of the
tests are similar, however they still point to test e3 ahead of the remaining two. Keeping in mind conducted analysis,
including checking which of the tests is the most beneficial form the perspective of establishing the need
of conducting expensive technical examination, it has been determined that the most beneficial is verification
of technical documentation of the object regarding ongoing maintenance. The value of this sample equal to EVSI3 =
7,118 [-], is slightly higher than the value of testing internal installations and the value of checking visibility
of construction elements corrosion (EVSI1 = EVSI2 = 6,808 [-]). In case of similar or equal results, the deciding
criteria may be the cost analysis of each test.
It should be noted that criterion of expected value is used only in order to organize the space of potential
decisions. It is incorrect to consider by how many percentage point one decision is better than the other. Due to some
already mentioned flexibility in establishing benefits (utility value), expected value may have different ratios, but
they will always lead to the same conclusions regarding which decision is better.
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Logistyka nr 6/2014, p. 1496- 1504.
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Naukowo-Techniczne. Warsaw, 1977.
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Studies 2000, p. 133-142.
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International Journal of Project Management 32 (7)/2014, p. 1233-1245.
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Science+Business Media, LLC, 2008.
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University of Life Sciences-SGGW Land Reclamation. 44 (1)/2012, p. 45-55.
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153
Saudi Arabian aviation construction projects: Identification of risks

and their consequences
Ahmad Baghdadi*, Mohammed Kishk
The Scott Sutherland School of Architecture and Built Environment, Robert Gordon University, Aberdeen AB10 7QB, UK
Aberdeen Business School, Robert Gordon University, Aberdeen AB10 7QB, UK
Abstract
Airport projects are considered to be very complex, as they face a number of challenges which inevitably expose them to risks. In
Saudi Arabia, the aviation sector is considered an important sector due to the fact that Saudi Arabia is the first destination for
Muslims on an annual basis. As a result, the Saudi government has allocated a significant amount of its general budget to this
sector through the General Authority of Civil Aviation (GACA). However, it has been found that these projects are still delivered
with a significant number of time and cost overruns. These consequences are typically generated from the risks involved in the
projects. Thus, the aim of this paper was twofold: first, to identify risks associated with aviation construction projects in Saudi
Arabia and, second, to evaluate the consequences of these risks on a number of GACA projects. Critical literature reviews of
common risks associated with aviation projects have been carried out. These were followed by 13 semi-structured interviews with
expert project managers, including clients, contractors and consultants who have been involved in GACA projects. As a result, 54
new risks have been identified and classified into three levels: internal, external and force majeure. Results have confirmed the
existence of time and cost overruns for GACA projects. The significance of the identified risks is currently being assessed and
will be reported in a further paper.
Keywords: aviation construction projects; GACA; risks; risk management; Saudi Arabia.
1. Introduction
Until the 1980s, there were only three airports in the Kingdom of Saudi Arabia (KSA) [1]. Currently, the number
of airports in Saudi Arabia has increased to 26, including four international, eight regional and 14 domestic airports.
As a result of this huge increase, the number of travellers has increased correspondingly (see Figure 1), and is
expected to reach 100 million in 2020 [2]. The main aim of the General Authority of Civil Aviation (GACA) in Saudi
Arabia, which plays the role of client representative (the Saudi government), is centred on facilitating the
development of air travel by applying the strictest standards in the construction, management and operation of
airports, and aeronautical navigation infrastructure and the maintenance of such systems [2].
* Ahmad Baghdadi. Tel.: +447450277261

E-mail address:a.m.a.baghdadi@rgu.ac.uk
154
Figure 1: The number of travellers passing through Saudi airports annually.

Source: The Saudi Arabian General Authority of Civil Aviation website, accessed April 14, 2013.
Among the different types of construction projects, airports projects are recognized as being some of the most
complex [3]. Their importance comes from the fact that they represent a countrys economy, development and
production level [4]. Furthermore, there are challenges and difficulties involved within the construction industry, and
the level of involvement is increased in the context of airport construction [5]. A number of studies have outlined and
explained the challenges associated with airport projects, such as [6] and [7], among others. The following challenges
are associated with Saudi Arabias aviation projects:
Ongoing or expected expansion and renewal projects: A number of domestic, regional and international airports
are undergoing expansion to increase their ability to face increasing demand [8].
The variance of stakeholders involved, all of whom are very involved during the project lifecycle: As a result, the
achievement of a consensus among these stakeholders is quite challenging [9]. This can be clearly seen in the
context of Saudi aviation projects, especially in the ongoing Public Private Partnership (PPP) undertaken Project
of Medina Airport, where a consortium of companies has been awarded the contract to build and operate the
airport and then transferring it to the GACA after 25 years (the period of the concession agreement) [10].
A wide variety of activities and functions are involved, which might force the design concept and specification of
airports to be produced and prepared by an airport organization before the initiation of the construction process
[6].
The time schedule is crucial in aviation projects, with airport clients usually concerned with the completion time
of the project.
Special systems and specifications: A number of systems can make airports more complex, such as sophisticated
devices for security, electrical and data systems, distinct firefighting and alarm systems all of which might add
additional levels of complexity to the design and construction process [11].
Security in airports needs to be consistently high [5].
The mission of the country: As the KSA is considered the main destination for Muslims all over the world due to
its two holy cities, Makkah and Medinah; it hosts millions of Muslims visiting the country to perform the Haj and
Omrah (Islamic obligations) every year.
The aviation sector contributes SR 53.8 billion (1.8%) to the Saudi Arabian GDP [12].
These challenges can be directly contributing to the increased risks of airports construction projects in Saudi
Arabia. Risks are typical reasons for delays or cost overruns that can occur in a project [13]. As a result, a number of
time delays and cost overruns are found among different Saudi aviation construction projects. A report issued by [14]
in 2011 revealed that the first phase of the new King Abdul Aziz International Airport in Jeddah would be completed
in 2014. This is also stated in a report by [15]. However, until this time May 2015; phase 1 of the airports
construction is still ongoing and has not been handed over to GACA yet. Also, the most recent report claims that
Araar domestic Airport will be handed to GACA in 2014. However, until now, the construction of the airport has not
started yet for reasons unknown to the researcher. The tender for design and construction of Terminal 5 at Riyadh
International Airport was awarded in May 2013 for the project completed within 18 months [16]. However, until this
time May 2015; the project has not been handed over to GACA yet.
The aim of the research that underpins this paper is twofold: first, to identify the risks associated with aviation
construction projects in Saudi Arabia and second, to evaluate and confirm the consequences of these risks on a
number of GACAs projects in terms of time delays and cost overruns. The next section of the paper discusses the
literature review which has been carried out. Then the methodology adopted in this paper is outlined. This is followed
by the discussion of the results. Finally, conclusions are drawn and recommendations are introduced.
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1.1. Literature review

Many authors have discussed the risks inherent in construction projects, such as [17-29, and 30], among others.
However, only one study [17] highlighted the risks inherent in airport projects. Forty-five risks have been identified
and classified into eight different categories: strategic, human capital, safety, legal, operational, financial, hazard and
technology [17].
Due to the lack of literature regarding risks in the construction of airport projects, especially in Saudi Arabia,
there was a need to review the risks associated with other construction projects, taking into consideration (where
possible) their relevance to the project type and the location of these projects. Accordingly, studies [18, 19, and 22]
have established a risk structure for highway projects, unspecified projects and residential projects in Taiwan, the
UAE and Egypt, respectively. The three studies share the same classification of risks, classifying the risks into two
levels: internal and external. The internal level includes risks that fall under the control of the project management
team, and the external level includes risks that fall outside the control of the project management team. These three
studies also include further subclassifications of the risks in each of the two levels. The internal level includes risks
generated from the projects participants, such as the client, designer, contractor, subcontractor, and consultant. The
external level includes risks which are generated by other factors, such as political, financial, social, and
environmental factors and acts of god.
In Saudi Arabia, four studies have been found that identify risks in a number of construction projects, including
[26-29]. 56 risks have been identified by [26], which were then categorized into nine classifications based on the
sources of the risks. A more recent study by [28] found 60 risks in public utility projects and classified the risks into
six categories. This was followed by a well-established study by [29] outlining 73 risks in large construction projects.
These risks were classified into eight categories based on the sources from which the risks could be generated: the
project, owner, contractor, consultant, design, materials, labour and equipment. The most recent study on risks in
public construction projects in the KSA was conducted in 2009 by [27], which identified 112 risks categorized into
seven classifications again taking into account the source of the identified risks.
2. Methodology
Two techniques have been used in this study. The use of a critical literature review of the common risks
associated with airport projects and similar projects has been applied as the first step. Related-topic reports and
statistics have also been reviewed. Subsequently, semi-structured interviews were conducted to verify the proposed
structure risks by the researcher, and to evaluate and confirm the existence of overruns and delays in the cost and
time of GACAs construction projects on a wider scale in term of different projects. Interviews have been used as a
supporting technique to identify risks in construction projects in different studies such as [25, 26 and 28].
The 13 interviewees were selected based on their experience in GACA projects10 years or more. Five
interviewees are working for GACA, four interviewees from contractors and four interviewees from consultants who
have all been involved in GACA projects. Also, the diversity of projects was a criterion for selecting the sample, as
the interviewees have been involved in different projects of GACAs. The selected interviewees were asked a
number of questions and given the chance to list any relevant risks they have encountered. The questions included
the following:
1. What are the projects that you have been involved with GACA?
2. What was your role?
3. What are the major risks in the projects that you have been involved in GACA projects? (taking into
consideration the initial proposed structure of the risks by the researcher)
4. What is the impact/s of the mentioned risk/s in the project you have been involved with GACA?
5. To what extent do you measure the likelihood of these risks occurrences and impacts on the projects?
3. Results and Discussion
Relying on the studies mentioned in the literature review, the researcher looked at the risks that are thought to be
related to the aviation sector in Saudi Arabia, risks inherent in construction projects in Saudi Arabia, risks inherent in
156
construction projects in the Middle East (neighbouring countries), and risk inherent in global construction projects.
Also, this study benefitted from the classifications and subclassifications outlined in previous studies (as discussed
earlier in this paper). Accordingly, this research has proposed an initial structure of 44 risks inherent in GACA
projects. Then, interviews were used as second tool to collect data for the current study.
As a result of a simple descriptive statistical analysis that was performed to present the risks that were mentioned
frequently by the interviewees, 54 risks have been outlined; the interviewees added 10 risks (written in red in Table
1) to the initial proposed structure of risks, which contained 44 risks (written in black in Table 1). These risks have
been classified into three levels: an internal level consisting of risks that fall within the control of projects
participants as they are the ones who generate the risks; an external level consisting of risks that partially fall outside
the control of projects participants but where they have some influence to control them; and, finally, force majeure
risks, consisting of risks that are outside the control of any project party. Each of these levels of risks is subsequently
classified into a number of subclassifications based on their source. The classifications and subclassifications of the
identified risks are used in this study in order to facilitate the process of analysing the risks in a further study. Hence,
for the first level of risks (internal), five sources of risks have been outlinedclient, designers, contractors,
subcontractors and consultantsas those represent the main participants in GACAs construction projects. On the
other hand, the external risk level consists of four sources of risks: political, social, financial and natural risks. Lastly,
the force majeure risk level consists of two sources of risks: natural phenomena and weather issues that are not
within any project participants control.
Table 1: The proposed structure of risks inherent in GACA construction projects.
A. Internal Risks
Client-specific risks:
1. Payment delays
2. Tight schedule set by client
3. Inappropriate intervention by client
4. Design changes by client
5. Inadequate scope
6. Site access delays
7. Contract breaching by client
8. Client financial failure
9. Lack of experience of client
10. Obtaining/issuing required approval
11. Issue of sustainability
12. Inadequacy of requirements
13. Poor coordination
14. Changing demands
Designer-specific risks:
15. Design errors
16. Incomplete design
17. Design constructability
18. Poor quality of design
19. Project type know-how skills
Contractor-specific risks:
20. Poor quality of construction
21. Lack of experience of contractor
22. Contractor financial failure
23. Low or poor contractor work productivity

24. Errors during construction
25. Accidents and safety issues
26. Quality and control assurance
27. Contractor breaching by contractor
29. Inadequate risk management plan
Subcontractor specific risks:
30. Poor subcontractor work productivity
31. Subcontractor breaching contract
32. Subcontractor financial failure
33. Material availability
34. Material quality
Consultants specific risks:
36. Inadequacy of specifications
37. Lack of experience
38. Quality assurance
B. External Risks
Political risks
40. Bureaucratic problems
41. Threat of war
42. Labour issues
43. Corruption
44. Changes to laws
Social risks
45. Crime rate
46. Cultural differences
Financial risks
47. Inflation
48. Currency fluctuation
Natural
49. Poor site conditions
50. Pollution
C. Force Majeure Risks
Natural phenomena
51. Earthquakes
52. Fires
53. Floods
Weather issues
54. Severe weather conditions
However, among the 54 identified risks, there were five risks mentioned by at least two interviewees from each
group. These risks have been quantitatively analysed by the use of deceptive statistical analysis (Frequency of
occurrence technique):
Inadequate Scope
This risk was mentioned by 100% of the client interviewees, 50% of the contractor interviewees and 75% of the
consultant interviewees. This result seems to comply with one study that concluded a recent report by [30] found
that some construction industry officials consider lack of scope definition to be the most serious problem on
construction projects.
Payment Delays
consultant interviewees. Although this is typically a risk generated by the client, and it is normally caused due to
157
difficulties with client cash flow [31], this does not seem to be the case in all GACA projects that have experienced
payment delays.
Design Changes
consultant interviewees. There are a number of reasons why changes in designs occur. Some of the reasons have
been mentioned by [32], and these include errors in design documents, changes of requirements by the client or
changes in the site condition. In the case of GACA projects, there are frequent requests for design changes, according
to the interviewees.
Bureaucratic Problems
The risk of bureaucratic problems was mentioned by 60% of the client interviewees, 50% of the contractor
interviewees and 50% of the consultant interviewees. Recent results from a symposium held at the OKAZ
Newspaper head office in 2013, one of the most well-known newspapers in Saudi Arabia, about delays in
infrastructure projects in that country, confirmed that bureaucratic barriers are a major issue that might hinder a
project.
Changing demands
The risk of changing demands was mentioned by 100% of the client interviewees, 50% of the contractor
interviewees and 75% of the consultant interviewees. The issue of GACA changing the types of their projects
(mainly at domestic airports) is obvious, as indicated by the interviews conducted. An example is the changing of the
commands to convert the entire airport operation during the construction of a project, such as the case of Alqassim
Airport and Araar Airport.
As the interviews were also used to evaluate time delays and cost overruns which occurred in GACAs
construction projects, some interviewees mentioned the number of time delays and cost overruns encountered in the
GACA projects in which they have been involved. Table 2 shows some of GACAs construction projects and their
types (domestic, regional or international), that have been affected by time delays and cost overruns. The existence
of time delays and cost overruns, which have been confirmed by the conducted interviews, seems to corroborate
what has been said about the effects of risks on construction projects by [3]. It also stresses the need to manage risks
properly, which highlights the need for a proper analysis of the identified risks in terms of their likelihood of
occurring and their effects.
Table 2. The GACA construction projects that have encountered time delays and cost overruns.
The Project
Project Type
The Impact
Jizan Airport
Regional
Late start of the project (Time delay)
Hail Airport
Regional
Several stops (Time delay)
Najran Airport
Domestic
Quality of the project
Construction of Al-Qassim Airport (Stage 2)
Regional
Six-month delay in project delivery (Time delay)
Construction of Al-Qassim Airport (Stage 3)
Regional
Six-month delay in project delivery (Time delay)
Design of Al-Qassim Airport
Regional
10% added to the total cost (cost overrun)
Four-month delay in project delivery (Time delay)
Development and enhancement of a number of airports
(Stage 3), including:
Domestic
12-month delay in project delivery (Time delay)
1. An expansion of Al-Taif Airport
2. An expansion of Hail Airport
3. An expansion of Jizan Airport
Jizan Airport
Regional
Al-Qassim Airport
Regional
Delay in project delivery (Time delay)
King Abdulaziz Airport
International
Cost overruns
Hafer Albaten Airport
Domestic
Al-Jawf Airport
Domestic
Alqassim Airport
Regional
Araar Airport
Domestic
4. Conclusion
A structure of the risks that are inherent in GACA projects has been introduced by this study. This was done
through the use of a critical literature review and semi-structured interviews with experts who have been involved in
GACA projects, including clients, contractors and consultants. The structure contains 54 risks classified into three
levels: internal, external and acts of god. Then, the risks were subclassified into the sources of each risk. The reason
158
for such a classification is to facilitate the analysis of these risks in a further work. Also, the results revealed that a
number of domestic, regional and international GACA projects have encountered time delays and cost overruns,
which are typical outcomes from the risks inherent in these projects. Although five risks were found to have been
mentioned by at least two interviewees from each group, including design changes, changing demands, payment
delays, bureaucratic problems, and inadequate scope, the researcher suggests that there is the need to quantitatively
determine the importance of the 54 identified risks in terms of their likelihood of occurring and their effects on
GACA projects. Hence, the remaining work of the ongoing study will be focusing on the quantifying the identified
risks in term of their likelihood of occurring and their effects on GACA projects by the use of questionnaires as a
means for collecting data; in order to come up with a proper solution to enhance the current practice of allocating
risks (the aim of the main research) within the abovementioned context.
Acknowledgements
This study is a reporting part of a current PhD, undertaken at Robert Gordon University, Scotland, which aims to
develop a framework to properly allocate risks associated with Saudi Arabian aviation construction projects.
References
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159
Electronic building permission system: The case of Greece

Christos V. Bellos, Kleopatra Petroutsatou*, Leonidas Anthopoulos
Hellenic Open University, Parodos Aristotelous 18, 26 335, Patra, Greece
Laboratory of Construction Equipment and Management, Department of Civil Engineering, School of Engineering, Aristotle University of
Thessaloniki,University Campus, 54124 Thessaloniki, Greece
School of Business and Economics, Technological Educational Institute of Thessaly, 411 10, Larissa, Greece
Abstract
Electronic building permission systems have been used in several European countries from the early 70s (i.e. Italy, France and
Netherlands), while in USA are being utilized several components and sub-modules of the system from the early 30s.The
European Commission defined the electronic application for Building Permission as one of the 20 primary e-Government
services, which each European Member State was obliged to deliver online by 2005, according to the e-Europe strategies (eEurope2003). However, Greece, as well as several other European countries failed to address this challenge and the goal of an
electronic building permission system across Europe was extended, initially until 2010 (i2010 strategy) and eventually until 2020
(Horizon 2020 strategy).
The current study initially defines the primary and secondary functionalities that such a system should have. Furthermore, the
study examines the factors that influence the success or failure of such a project and proceed to a case study investigation in
Greece by examining the current situation and the level of absorption of the European i2010 strategy regarding the electronic
building permission.
The research framework encompasses a literature survey of publications and official reports in order to shape a clear picture
regarding the different approach of e-service delivery. In addition, in this paper are analyzed the results of structured
questionnaires that have been sent and of interviews that have been conducted with public organizations in Greece that are
responsible for the implementation, installation and utilization of such a system (i.e. Information Society in Greece,
Municipalities).
In conclusion, this research investigates the framework of the building permission e-services and its current situation in Greece
that leads to: (a) an effective public management administration by simplification of licensing procedures, (b) a reduction of
depraved behavior and (c) environmental benefits by reducing bureaucracy.
Keywords: e-government, e-service, electronic building permission
1. Introduction
E-government is a concept with demand and citizen different perspectives [1] and represents, among others, a
system with which users can access public services through the Internet [2]. E-government research has made a
significant progress in the last decade by researchers in diverse fields. Previous studies have focused on the egovernment research domain in general, provided region-specific analyses [3], and examined specific topics such as
e-government models [1], e-participation [4], the digital divide [5] and E-government's relationship with aging
populations [6]. Such studies have typically focused on governmental programs, policy lessons, or socio-cultural
* Corresponding author. Tel.: +30 2310 995494; fax: +30 2310 995802.
E-mail address: kpetrout@civil.auth.gr
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issues related to the E-government research domain and have used conventional systematic literature review (SLR)
methods [7]. Such methods may be useful for attaining a general overview of a discipline and its trends, but they are
limited in terms of their ability to reveal the hidden structures and properties of the research domain in question, in
this case E-government.
The adoption of Internet in public libraries [8] and the widespread utilization of technologies have contributed to
the increase of e-government acceptance and adoption [9]. The relationship between Information and Communication
Technologies (ICTs), public libraries and e-government has been widely documented in the literature [8]. However,
E-government as a respected discipline and an established research field was established in the last decade, and has
since developed its own research community and methodology, alongside philosophies and theories [10]; and
domains and fields of study [6].
Application for Building Permission has been defined as one of the 20 primary e-government services, which
each European Member State was obliged to deliver online by 2005 and is the main public service that should be
addressed by 2010, according to the eEurope strategies. The achievement of this e-service delivery has been aligned
to critical challenges, among which worth mentioning: service transparency and corruption elimination; respective
public service simplification and improvement; execution time minimization; economic growth support etc.
In this paper, there are two main issues that will be investigated: (i) initially, the context of the application for
building permission e-service delivery will be defined. To this end, there will be performed an extensive literature
survey on publications and on official reports. Moreover, this literature survey will return a clear picture regarding
the different schools of thought that approach this e-service delivery and two main questions will be answered
regarding the context of the application for building permission e-service delivery as well as the current status at
different countries, specifically in Europe, in delivering building permission e-service.Moreover, it is important to
address the reasons that lead European Commission to define this service as one of the primary common 20 public
services. (ii) Secondly, the case of Greece will be investigated regarding the current status of electronic building
permission as well as the success and failure indicators of such a system. To this end, questionnaires have been sent
and interviews have been conducted with public organizations in Greece that are responsible for the implementation,
installation and utilization of such a system (i.e. Information Society in Greece, Municipalities).
The developmentof this paper is structured as follows: section 2 concerns a background and an extensive literature
surveyand presents the questionnaires and interviews that have been conducted. Next, section 3 presents the main
outcomes extracted from the literature surveyas well as the questionnaires results. Finally, section 5 commentsthe
main conclusions of the current work.
2. Materials and Methods
This section analyses the challenge of building permission e-service and the status of its application to different
countries. Subsequently, we explicitly set out our research questions, which were in briefly reported earlier, our
literature search strategy and discuss the status quo of building permission e-service.
A building permit is formal permission from the local authority to start a construction project. The plans review
process, building permit, and inspection process protect each homeowners interests, as well as those of the
community. It also ensures that the construction is safe, legal, and sound. The building permission could be defined
in general as the standard procedure to obtain building or renovation permission for a building.
On the other hand, the concept of E-service (short for electronic service) represents one prominent application of
utilizing the use of ICTin different areas. Combining the e-services with the building permits processes could lead to
several benefits, both for customers and public authorities. Electronic customer related services of governments have
expanded enormously. In many regulatory domains, the use of ICT services has become common property. This
applies also to the field of building regulations.
2.1. The building permission e-service: current status
The analysis of the literature that was performed included a deep analysis into scientific conferences, journals,
surveys and reports, as presented in Table 1. The main results of the analysis include 4 reports and surveys regarding
the digitization of public services, three reports regarding well-recognized European benchmarking processes of
online building permission services in several EU countries, over 10 scientific papers to journals and conferences
regarding the status of public libraries and their utilization to online building permission process and over 20
scientific papers of the utilization of ICT tools and specifically geographic information systems (GIS) to e-Services,
161
e-government and electronic building permission application. However, as reported earlier, the main literature covers
the e-government generic domain, but do not focus onthe online building permission application and services.
However, there are not adequate references for the study of online building permission systems and the current
status of those systems in different countries. Thus, the current literature analysis included, besides scientific articles
in journals and conferences, national and European regulations of building permissions as well European
benchmarkingreports and surveys on electronic public services that are summarized in Table 1.
Table 1.Main Journals, Conferences and Surveys on Building Permission e-services.
Journals
Conferences
Reports Surveys
ISPRS Journal of Photogrammetry and

Remote Sensing
International Conference on Digital

Government Research
Benchmark Measurement
Annals of GIS
International Conference on Intelligent

Environments
i2010 A European Information Society for

growth and employment
Geo-spatial Information Science
International Conference on Utility and

Cloud Computing
Web Based Survey on Electronic Public Services
Engineering Applications of Artificial

Intelligence (Elsevier)
Design Studies (Elsevier)
Journal of Urban Technology
International Journal of Digital Society
(IJDS)
International Journal of Geographical
Information Systems
Library & Information Science Research
Government Information Quarterly
Studies in Computational Intelligence
Habitat International
2.2. Case study: Greece

This includes an interview that was conducted with a representative of the Information Society in Greece, which
is a public entity, supervised by the Ministry of Administrative Reform and Electronic Government, established in
2001. The Information Society S.A. implements ICT projects throughout the Greek territory and was responsible for
the project ElectronikiPoleodomia that aimed to implement an electronic building permission system.
In addition, there were conducted questionnaires and filled by six Municipalities in order to investigate the level
of implementation, installation and utilization of the project ElectronikiPoleodomia by the Greek public
authorities. There were selected three large municipalities (Ioannina, Marousiand Agrinio), two medium-sized
(Igoumenitsa, Arta) and one small municipality (Filippiada).
3. Results
The results are being organized according to the two main research questions that are being addressed in this
paper: (i) initially, the context of an electronic building permission system and (ii) the case study of Greece analyzing
the success and failure indicators.
3.1. Context of applying building permission e-services
There are many potential advantages of the online handling of building permits. Positive cost and time effects and
a further streamlining of procedures can be expected since the system eliminates bureaucracy. The heaps of paper in
municipalities archives can largely be replaced by one electronic archive. Progress of applications can be tracked
online. Building inspectors will be able to take electronic plans and documents out on-site. Drawings can be viewed
on screen and redline comments can be made. A nationwide uniform building control system is an important
162
additional factor to facilitate the introduction of online building permit procedure. The same rules apply everywhere
(e.g. technical requirements) and the building control authorities work along the same procedures. This enables the
development of a central web server where local building control offices can register.
3.1.1. Security Aspects
However, since government has a duty to carefully handle all data and the identity of applicants, not every service
can be handled online. Security issues are very important in all e-government processes as well as in building
permission e-services. An example in the Netherlands is DigiD, the organization that manages the digital identities of
citizens for the national government. Depending on the level of confidence that an identity provider is given, this will
also put more trust in the provided identity, as a result of which the identity could use more functionality. This
system is generally combined with the sending of an SMS code. At the time of application the identity provider
sends an SMS to the registered mobile phone with a code that can be used once.
In order, to enhance security in online transactions, a future trend in authentication and authorization that could be
applied, also, in online building permission activities is biometrics, which uses body features of the applicant verified
by the municipality. Biometrics can, in principle, replace passes, keys, passwords, codes, photos and signatures and
is currently insensitive to fraud. Various governments are preparing for this method of security. In Belgium a start
has been made with adding a chip in passports on which data is stored. A combination of this digital passport, a card
reader at the users home and a finger print reader can achieve a very high level of security.
3.1.2. Electronic Signatures in online building permission systems
Another application of ICT in online building permission systems is the utilization of electronic signatures.
Signatures are no longer required for written requests to the administration, therefore obviating the need for secure
electronic signatures. This especially eases the use of a portal, as document can now be created on the server
(signatures would have to be created on the citizens computer). If in doubt about the sender of the request,
administration can always request a full signature (which can be on paper or electronically). For both, downloading
the text of the request, as a file must be offered. The citizen can then print, sign, and send it bypost, or affix an
electronic signature and send it bye-mail. However, electronic signatures are difficult to be applied, as appropriate
software is rather rare.
3.1.3. Interoperability issues on online building permission services
United Kingdom (UK) is a great exemplar for interoperability issues based on the UK e-Government
Interoperability Framework (e-GIF). E-GIF is an initiative that aims to define the essential requirements for a Webenabled government. It defines the technical policies and specifications governing information flows across
government and public sectors and is mandatory to comply with e-GIF standards and policies. The UK government
policy defines:
XML and XML schemas for data integration;
UML, RDF, and XML for data modeling and description language; and
XSL, DOM, and XML for data presentation
3.1.4. Legal implications of online building permissions applications
Finally, there should be noted that one-stop government possesses as well as online building permissions
applications contain many legal implications as well as several other issues such as assignment of responsibilities for
checking the applications as well as serving multiple official documents.
3.2. Results of Case study: Greece
here was conducted an interview with a project manager and representative of the Information Society in Greece
and valuable conclusions were extracted. Initially, there was proclaimed a project in 2006, entitled
ElectronikiPoleodomia or e-Poleodomia. In Greece, Building Services (former Urban Planning Authorities) are
departments in local authorities throughout the country, which are responsible for urban planning and building
activity in their geographical region. All procedures that enable the streamlining and introduction of IT and
Communications Technologies in their day-to-day operations have been centralized under the auspices of the
163
Ministry of Interior. To this end, e-Poleodomia aimed to develop and support a centralized system for Urban
Planning Authorities throughout Greece allowing them to monitor all procedures and transactions with citizens.
There were several challenges, such as: (i) to standardize procedures and printed forms pertaining to the
Authorities, (ii) to develop and install a new IT system that allows internal process flow management, (iii) to enable
tracking of building requests or citizen folders by public officials and citizens alike and (iv) to enable the seamless
migration from the existing paper system without downtime for the Authorities and without disruptions to the
transactions with citizens. The overall benefits of the project that the Greek government tried to address were mainly:
(a) faster and better service for citizens and improved operations quality, (b) automation of internal processes and
tasks with less processing time, (c) limited required physical presence of citizens at the Authorities premises and (d)
ability to control and have access to extensive insight at a Pan-Hellenic level.
The project was split in three sub-projects and there was followed an open public tender procedure for each one of
the three sub-projects to award them to company to undertake their implementation:
The first sub-project included the electronic protocol, the management and control of the building permits as well
as the management of illegal constructions and buildings.
The second sub-project included a search and indexing system for all the laws and regulations that correspond to
building permission as well as to the procedures of the Building Servicesdepartments in local authorities
throughout the country. Those include decrees, laws and decisions prefectures (e.g. laws that change the
conditions and restrictions of building planning).
The third sub-project referred to the development of a GIS system. This would include digitized layout maps and
urban material. The citizens and engineers would be able to ask questions according to their region (in blocks
level) regarding the construction of buildings (e.g. building restrictions, legislation).
However, based on both the answers of the project manager in the Information Society in Greece and the
representatives of the Municipalities, responsible for the building permission at a local level authority, the project ePoleodomia was not successful in general. The first sub-project, after some delays and modifications was eventually
completed, but the second and third sub-projects were not fully delivered. There were recognized the following main
failure indicators:
The project was roughly designed from the beginning. There were not followed the right steps according to the
Project Management Body of Knowledge(PMBOK), leading to roughly user requirements elicitation, inadequate
state of the art analysis and best practices study. Also, as part of the rough design can be considered the lack of
interoperability among the various functionalities of the project (e.g. there was no provision for connectivity of
the second sub-project with the other two).
There was inadequate training of users. Also, the resistance to change of the users was high enough to obstruct the
correct and efficient function of the system.
There was a lack of motivation (either promotions or financial motivations) to users as well as a lack of penalties.
The employees were not obliged to use the system, while there was a fear that if an employee would use the
system then he/she will be shared more work without additional profit.
Finally, an extremely important failure factor was the interpersonal relationships among engineers and
employeesof the Municipalities that are responsible for the building permission. Such a system (e.g.theelectronic
protocol) would notprovide employees the capability toprocess easily or not at all requirements of the engineers
that could, also, be illegal.
4. Conclusions
Through the literature survey and the respective analysis that was performed, our two main research questions
have been answered. In order to set the context of the application for building permission e-service delivery, we
should mention that there are many potential advantages of the online handling of building permits. To this context
several ICT tools can be utilized, such as GIS services and 3D Databases of buildings and territories. However,
security and interoperability aspects need to be initially defined in order to establish an effective building permission
e-Service.
In conclusion, this research investigates the framework of the building permission e-services and its current
situation in Greece that leads to: (a) an effective public management administration by simplification of licensing
164
procedures, (b) a reduction of depraved behavior and (c) environmental benefits by reducing bureaucracy. The issue
of low take-up of e-Services is currently an important question. Online handling of building permits can potential
provide significant benefits both to users and to public authorities mainly reducing the cost and eliminating the time
for an application.
The main literature mainly contains scientific publications regarding e-Government services and an extensive
analysis of the respective domain, but do not focus on the online building permission application and services. This
obstructs the current work, since there are not enough scientific publications and the literature analysis extends to
European reports and surveys. For future work, a more extensive analysis of national reports can be conducted to
enhance the knowledge in the specific field of current practice.
In addition, important subjects for future research will be the fine-tuning of the assessment method by which
progress can be compared and a nearer analysis of the actual contents and practical effects of the online building
permit services. This could be attributed to the security issues that arise, which are crucial for online applications.
The implementation and utilization of Electronic Signatures services are a step towards the security enhancement but
do not eliminate the problem. In addition, as reported earlier, there are still numerous interoperability issues, not only
technical, but also administrative and procedural, since there are many public departments and services that need to
be connected towards an efficient online building permission application.
Based on the analysis results of the questionnaires, which were mentioned in Section 3.2, and most specifically on
the recognized failure indicators, there are several measures that should be taken under consideration in order to
result to a successful electronic building permission system. The most important are the following: (i) national
policies that would define the framework of system utilization by the employees of the Building Services
departments in local authorities throughout the country, (ii) efficient training of the employees and (iii) motivations
(financial or administrative) that should be provided to employees for the correct use of the system.
References
[1] Andersen, K. V., &Henriksen, H. Z. (2006). E-government maturity models: Extension of the Layne and Lee model. Government Information
Quarterly, 23(2), 236248.
[2] Khan, G. F., Moon, J., Park, H., Swar, B., & Rho, J. (2010). A socio-technical perspective on e-government issues in developing countries: A
scientometrics approach. Scientometrics, 87(2), 267286.
[3] Khan, G. F., Moon, J., & Park, H. W. (2011). Network of the core: Mapping and visualizing the core of scientific domains. Scientometrics,
89(3), 759779.
[4] Sbo, O., Rose, J., &Skiftenes Flak, L. (2008). The shape of eParticipation: Characterizing an emerging research area. Government
Information Quarterly, 25(3), 400428.
[5] Helbig, N., RamnGil-Garca, J., & Ferro, E. (2009). Understanding the complexity of electronic government: Implications from the digital
divide literature. Government Information Quarterly, 26(1), 8997.
[6] Niehaves, B. (2011). Iceberg ahead: On electronic government research and societal aging. Government Information Quarterly, 28(3), 310
319.
[7]Kitchenham, B., Pearl Brereton, O., Budgen, D., Turner, M., Bailey, J., & Linkman, S. (2009). Systematic literature reviews in software
engineering A systematic literature review. Information and Software Technology, 51(1), 715.
[8]Jaeger, P. T., Bertot, J. C., & Fleischmann, K. R. (2011). Evolving relationships between information technology and public libraries. (pp. 3
14). Westport, CT: Libraries Unlimited.
[9]Bertot, J. C. (2011). Public libraries and the Internet: A retrospective, challenges, and issues moving forward. (pp. 1535). Westport, CT:
Libraries Unlimited.
[10]Lee, J. (2010). 10 year retrospect on stage models of e-government: A qualitative meta- synthesis. Government Information Quarterly, 27(3),
22023.
165
Educational simulation in construction project risk management

Setting the stage
Constanta-Nicoleta Bodeaa), Augustin Purnusb) *
a) Bucharest University of Economic Studies, 6, Piata Romana, Bucharest, 010374. Romania
b) Technical University of Civil Engineering, 122-124, Lacul Tei Blvd., Bucharest, Romania
Abstract
The construction projects are considered having high risks due to the numerous stakeholders, long production duration and open
production systems. Due to the prolonged financial crisis and the contraction of the construction market, the construction
companies face with increasing constraints, such as: aggressive competition and a lack of investments in construction domain. In
this context, the application of structured approaches related to the planning, scheduling and monitoring of their projects is even
more important. Unfortunately, the construction industry has a poor reputation in risk management comparing with other
domains, even if the risk management provides a solid basis for decision-making in projects and brings important benefits.
The key project managers competences are mainly associated with the hard skills (the technical methods and tools application)
and soft skills (leading the people) and they assure the project success. The project management competences development cannot
be achieved in a classical educational setting, using the common methods for knowledge transfer. Instead, the project
management should be taught in an active and experiential way, stimulating students to think creatively and to act properly as
project managers.
The paper presents the research mainly based on the experience gained in the master program of Project Management in
Construction held in the Technical University of Civil Engineering Bucharest. The authors made a literature review in order to
identify the main international project management competence standards and relevant educational experiences. Starting with this
state of the art, the authors designed a simulation platform to be used in the delivery of project risk management courses.
The objective of the educational simulation in construction project risk management is to contribute to the development of
students competences in identification of risk events and uncertainties, prioritizing the risks, developing the risk response plan,
simulating the risks and controlling and monitoring the risks in the project execution phase. The paper presents the main
components of the simulation platform and some scenarios for educational simulation.
Keywords: knowledge management; educational simulation; project risk management.
1. Introduction
The construction projects are considered having high risks due to the numerous stakeholders, long production
duration and open production systems. The increasing constraints which construction companies face due to the
prolonged financial crisis and the contracting construction market impose even more the application of structured
approaches related to the planning, scheduling and monitoring of their projects. Unfortunately, the construction
industry has a poor reputation in risk management comparing with other domains, even if the risk management
provides a solid basis for decision-making in projects and brings important benefits.
* Corresponding author. Tel.: +4-021-22402000; fax: +4-021-22402000.
E-mail address: purnus@utcb.ro
166
As the key project managers competences are mainly associated with hard skills and soft skills, project
management cannot be taught in a classical educational setting, using the common methods for knowledge transfer.
Instead, the project management should be taught in an active and experiential way, stimulating students to think
creatively and to act properly as project managers.
The paper is structured as follows: after the introductory part (section 1), section 2 presents the main
characteristics of educating project managers for managing risks in construction projects. Section 3 describes the
main methods and tools applied in teaching project risks management. Section 4 presents a proposed simulation
platform for teaching risk management in construction projects, based on the experience gained in the master
program of Project Management in Construction held in the Technical University of Civil Engineering Bucharest.
Conclusions are drawn in section 5.
2. Educating project managers for managing risks in construction projects
Project managers education for managing risks means to develop their competences in identification of risk
events and uncertainties, prioritizing the risks, developing the risk response plan, simulating the risks and controlling
and monitoring the risks in the project execution phase. Based on an Internet survey on course syllabi on this subject,
we identify several addressed topics [1]. These topics are grouped into several training modules (Table 1), which aim
to develop the following knowledge and skills types:
Subject-specific skills (related to project risk management processes and methods)
Systemic skills (skills closing the gap between theory and practice)
Generic (subject-independent) skills: interpersonal and instrumental skills
According to this typology of skills, we can identify the following four categories of modules in the courses on
the subject: Project risk management:
Core modules (groups of topics which make up the backbone of the respective subject)
Specialized modules (list of topics of which participants want to understand to a larger extent). A special
specialized module is the transferable skills module (e.g. work experience / practice, projects, dissertation,
business games, etc.)
Modules on interpersonal skills, such as: module on communication skills.
Support (instrumental) modules, such as: mathematics, statistics, Information Technology (list of topics which
complement those included in the core modules);
Module type
Table 1. Examples of modules for the subject: Project risk management

Module label
Knowledge type
Skill type
Core module
Basic project risk concepts
Concepts and
relationship among
concepts
Subject-specific skills
Core module
Advanced project risk concepts
Concepts and
relationship among
concepts
Core module
Project risk processes
Concepts and
relationship among
concepts
Specialized module
Identifying project risks
Procedural knowledge
Specialized module
Assess the probability and impact of

risks (qualitative and quantitative)
Specialized module
Select strategies and implement

response plans to address risks
Specialized module
Evaluate and monitor risks.

Implement responses
Systemic/ transferable skills
Module on
interpersonal
competences
Communication and involvement in

project risk management
Generic skills (interpersonal)
Support module
Risk management software tools
Generic skills (instrumental)
Support module
Statistical analysis
Generic skills (instrumental)
167
The literature points out the difficulties that affect the ability of practitioners to carry out a project cost or schedule
risk quantitative analysis [2], [3]. This is why we can consider that the relevance of the generic (instrumental) skills is
higher for the subject Project risk management than in any other project management subject.
The learning outcomes are the statements of what the participants are expected to know, understand and be able to
perform at the end of the course/module. The learning outcomes are defined in terms of competences which will be
developed or enhanced by that course/module. Alignment to the international/national qualification frameworks and
professional standards is an important constraint in defining learning outcomes. Table 2 presents some examples of
learning outcomes for the support modules on Project risk management.
Table 2. Examples of learning outcomes for the support modules in Project risk management
Learning outcomes
At the end of the
module, the
participants will
be able:
* to explain how Monte Carlo analysis, decision trees and sensitivity analysis can be used
* to apply Monte Carlo analysis, decision trees and sensitivity analysis [using software package XX]
* to apply Monte Carlo analysis, based on uni- and multivariate distribution simulation [using software
package XX]
* to calculate the expected monetary value [using software package XX]
* to calculate quantifiable measures from probabilistic impact [using software package XX]
* to calculate numerical values measuring expected risk probability and impact [using software package XX]
* to apply and to interpret decision trees, with outcomes [using software package XX]
* to analyze given numerical values measuring expected risk probability and impact
* to analyze results obtained from Monte Carlo analysis
* to appraise the results of qualitative and quantitative risk and opportunity assessment, to reveal possible
errors, such as biased estimates, framing assumptions, simplistic approach or over-complexity added in the
risk and opportunity assessment
* to incorporate multiple criteria (related to cost, schedule, etc) into the risk quantitative assessment, applying
multivariate probabilities distributions [using software package XX]
* to design multi-criteria risk management
* to develop innovative risk management model (embedding new perspectives, processes and concepts) and
to practice meaningfulness communication in order to promote/sell it
3. Methods and tools for teaching project risk management

The Biggss constructive alignment principle [4] mentions that the learning outcomes determine what teaching
and assessing methods have to be applied. The different complexity of cognitive skills [5] to be developed requires
different teaching approaches. Table 3 shows recommended teaching and assessing methods for the teaching the
subject Project risk management.
Table 3. Recommended teaching and assessing methods for the subject Project risk management.
Cognitive skills complexity (based on Blooms
taxonomy)
Recommended teaching methods
Recommended assessment methods
Lower complexity
* Lecture
* Presentations
(Remembering and understanding levels of the

Blooms taxonomy)
* Visuals (audio, video) presentations
* Participation in learning activities
* Examples/illustrations
* Exam
* Guest Speakers
* Discussion groups
* Presentations writing
* Assessment reports
168
Medium complexity
* Practice demonstrations
* Presentations
(Applying and analyzing levels of the Blooms

taxonomy)
* Simulations
* Participation in learning activities
* Role play
* Assignments
* Discussion groups
* Exam
* Case studies
* Project reports
* Assessment reports
* Group work
* Problems
* Essays
* Case studies
* Critiques
* Simulations
High complexity
* Practice
* Essays
(Evaluating and creating levels of the Blooms

taxonomy)
* Problems
* Extended writing
* Case studies
* Creative exercises
* Brainstorming sessions
* Simulations
Simulation technologies are powerful educational tools that are becoming widely used due to their effectiveness
in providing valuable learning experiences. Simulations performed during the training sessions are referred as
educational simulations, in order to differentiate them from other simulation types, such as: experiments for decision
support, entertainment and imitation [6].
Recommendations, guidelines and procedures were defined for a good educational simulations implementation.
Heineke and Meile [7] consider that for simulations to be effective, they should provide an aha effect (the insight
gained should be unknown before simulation take place); they should require students to generate date instead to
receive date; they should be less stressful and use simple materials. The teacher must be very well prepared in
running the simulation sessions. The teachers have to adopt a less intrusive role in student learning process, acting
more as coaches, and not as instructors.
Students typically support the games and simulations usage, rating these methods quite highly in their list of
preferences. Students reported that the simulations developed their abilities to solve problems systematically,
perform forecasts in uncertain environments and to measure objectives. Klassen and Willoughby [8] applied two
assessment instruments: before and after questionnaires and playing the game twice, to see if student performance
improved the second time. The simulation games provide good learning experiences because students make
decisions, and after that, they make further decisions based on the first results. The students better remembered the
educational material learned from games than a classical lecture. This might be the most important reason for using
games in the classroom. Besides this, the students developed positive feelings toward the course, improving the
chance of paying attention and learning even during other class sessions ([9], [10]).
4. Developing a Simulation Platform for Teaching Risk Management in Construction Project
The objective of the educational simulation in construction project risk management is to contribute to the
development of students competences in identification of risk events and uncertainties, prioritizing the risks,
developing the risk response plan, simulating the risks and controlling and monitoring the risks in the project
execution phase. Graphical features of the tools used in the learning process allow the students to understand and to
apply the concepts, tools and methodologies used in project risk management.
The visual mechanism of project risk processes simulation is developed from the contractor perspective and
consists of several modules including the main tools and best practices used in project risk management (Fig. 1).
There are pre-defined several construction types (block of flats, office building, commercial building, roads,
railways, bridges, water supply network, sewer system and water treatment plant).
For each project, several type of information are provided: the project description, information regarding the
construction company capabilities, its position on the market, project stakeholders, assumptions and constraints, the
169
type of contract (based on measured quantities or lump sum). The database includes for each project the activities
description, their sequence in the activity network and the estimated cost.
Initiation
Project
selection
Planning
Stakeholder
Analysis
Risk Register
Risk
Breakdown
Structure
Qualitative Analysis
Risk
Identification
Define
Frequency,
Probability,
Impact
Risk
Prioritization
P-I Matrix
Risk Response Plan

Define Strategy,
Actions, Impact on
Time and Cost
Quantitative Analysis
Generate
Three
Scenario
Define
Target
Dates
Risk
Simulation
Execution
Define
Data Date
Project
Update
Monitoring and Controlling

Project
Scheduling
Additional
Risk
Identification
Risk
Prioritization
P-I Matrix
Define Strategy,
Actions, Impact on
Time and Cost
Risk
Simulation
Closing
Trend
Analysis
Lessons
Learned
Fig. 1 Processes and Tools applied in Project Risk Management Simulation Platform
In the initiation phase, the students grouped in teams analyze the preliminary data in order to establish their
strategy for project risk management.
For the planning phase they estimate stakeholders expected benefits and loss, analyze the project Work
Breakdown Structure, the activity sequence, their duration and cost in order to identify risk events. The risk register
is filled by the students with risk events selected from a risk events database, according with the type of construction
project. For each risk event, they will analyze and record the cause and effects. Based on their estimation of the
frequency, probability and the impact on project duration and cost, the students will be able to prioritize the risks
within the Probability-Impact matrix. The risk response plan is develop based on the strategies agreed by the students
according with the risk type and their nature, estimating the effect of actions and impact on the project duration and
cost. Using these estimations, the students develop three project scenarios. Defining the target dates for duration and
cost, the quantitative analysis will be performed using either Three Scenario Method, or Monte Carlo Method. If the
results are not acceptable, the students have to return to the risk identification phase and to refine their decisions.
In the execution phase, the students define the project data date for update. They can select what risks occur or
not, and based on their decision on the project progress they perform the project schedule for the three scenarios.
Monitoring and controlling phase involve the identification of additional risk events, risk prioritization, risk
response plan for the rest of the project and risk simulation. The trend of estimated probability and impact for each
risk event in the qualitative analysis and the trend of probability to achieve the target dates in the quantitative
analysis help the students to understand and to feel the consequence of their decisions on the project duration and
cost. The simulation process continues with project update and monitoring and controlling phase until the project is
considered finalized.
170
The closing phase collects all the decisions and data used in the simulation process presenting the results in a
graphical manner. In such way, the students can review the correlation between the risk identification process, their
decisions and the results of project progress. Based on this information, the students have to complete a lessons
learned file which will be used in the next simulation session.
5. Conclusions and future work
With a high risk due to their complexity, the construction projects require competent project managers with skills
and knowledge in project risk management. However, the classical education, using the common methods for
knowledge transfer demonstrates that this approach is not enough. The active and experiential way, stimulating the
students to think creatively and to act properly as project managers brings value in their education. The experience
gained in the master program of Project Management in Construction held in the Technical University of Civil
Engineering, Bucharest, shows that educational simulation in construction project risk management contribute to the
development of students competencies in this area. Using graphical features of the tools in the learning process
allow the students to understand and to apply the concepts, tools and methodologies used in project risk
management. As future work, we consider to enrich the architectural model, mainly by assuring a collaborative
environment for simulations.
References
[1] Bokor,O., Hajdu, M. (2014). Teaching Construction Management Core Subjects with the Help of eLearning, Proceedings of the Creative
Construction Conference, 21-24 June, 2014, Prague, ISBN: 978-963-269-434-4.
[2] CIOB (2008). Managing Risk of Delayed Completion in the 21st Century, Chartered Institute of Building, pp.52-53.
[3] Bodea, C., Mogo,R., Dasclu, M., Purnu A., Ciobotar, N. (2015). Simulation-Based E-Learning Framework for Entrepreneurship Education
and Training, Amfiteatru Economic, Volume 17, February 2015, No. 38, ISSN 1582-9146, pg. 10-24.
[4] Biggs. J. (2003) Teaching for Quality Learning at University What the Student Does 2nd Edition SRHE / Open University Press,
Buckingham.
[5] Anderson, Lorin W. & Krathwohl, David R. (2001). A Taxonomy for Learning, Teaching and Assessing: a Revision of Blooms Taxonomy.
New York. Longman Publishing.
[6] Orehn T. (2009). Modeling and simulation: a comprehensive and integrative view, in: Yilmaz L., Oren T. (eds): Agent-based Simulation and
Systems Engineering, Wiley-VCH, GmbH&Co, KgaA, Weinheim, ISBN 978-3-527-40781-1.
[7] Heineke, J., Meile L. (2000). Classroom service game. Presentation at the Decision Science Institute annual meeting, November, 18.
[8] Klassen, K., Wiloughby, K. A. (2003). In class simulation games: assessing student learning, Journal of Information Technology Education.
Vol. 3.
[9] Korman,T., Kasensky, M., Drnek, O., Rahn, K. (2014). Using Simulations to better train future and existing Construction Management
personnel, Proceedings of the Creative Construction Conference, 21-24 June, 2014, Prague, ISBN: 978-963-269-434-4.
[10] Zimmermann, J., Eber, W. (2014). Development of key performance indicators for organizational structures in construction and real estate
management, Proceedings of the Creative Construction Conference, 21-24 June, 2014, Prague, ISBN: 978-963-269-434-4.
171
Teaching Lean Construction: Pontifical Catholic University of Peru

Training Course in Lean Project & Construction Management
Xavier Briosoa *
a
Associate Professor, Researcher and Chair of Construction Management & Technology Research Group (GETEC), Pontifical Catholic
University of Peru, Av. Universitaria 1801, Lima 32, Peru
Abstract
In the paper the teaching strategies of Training Course in Lean Project & Construction Management, organized by School of
Sciences and Engineering in Civil Engineering Undergraduate of Pontifical Catholic University of Peru are described. The
objectives and content of the Training Course, principles, tools, techniques and practices of Lean Construction philosophy, including
the use of the Last Planner System, Process Optimization, Value Management, Lean Project Delivery System, Integrated Project
Delivery, are explained, among others, and the incorporation of tools and techniques management systems that complement it.
Lectures, workshops and simulation games made, the feedback achieved with participants routines collaborative work between the
production area and support areas, among others, are described. The success of the Training Course is reflected in the opportunities
for improvement identified between editing and publishing by the feedback to participants.
Keywords: Teaching, Lean Construction, Collaborative Planning, Simulation Game, Workshop
1. Introduction
In 2012, the School of Sciences and Engineering of Pontifical Catholic University of Peru designed and offered a
Training Course in Civil Engineering Undergraduate, in Lean Project & Construction Management. To that effect:
Our course has duration of 42 hours, divided into 14 sessions of 3 hours each, with a break, and 36 students.
Workshops and simulation games were included, to be developed during the sessions to better understand the
Lean principles. The resources applied represented a short-term investment so they could be easily repeated by the
attendees. For this reason, it was decided that for workshops and simulation games, paper, post-its and stickers
would be used, in addition to multimedia equipment. To date, 6 editions have been offered; 202 students have
received training, which demonstrates the success of the activity. According to the surveys, the effectiveness of all
activities was higher than 83%.
This course provides an understanding of Lean Construction Principles and methods through lectures, workshops,
simulation games and discussion periods. Topics covered include: Lean Construction Principles. Value
Management. Lean Project Delivery System (LPDS). Integrated Project Delivery (IPD). Last Planner System
(LPS). Master Scheduling. Line of Balance. Pull Planning. Make Work Ready Planning (Look Ahead Planning).
Weekly Work Planning. Production Control. Design and Optimization of Construction Operations. Learning
Loops. Project of Training Course.
* Xavier Brioso. Tel.: +0-051-626-2000, xbrioso@pucp.edu.pe
172
2. Workshops, Simulation Games and Lean Construction Principles

Besides Lectures (L) and discussions, we developed the following activities:
Table 1. Workshops (WS), Simulation Games (SG) and Project of Training Course (P)
We considered principles for flow process design and improvement developed by Koskela (1992) and relevant lean
construction principles developed by Sacks, Bhargav, Koskela and Owen (2009) according to following tables:
Table 2. Principles for flow process design and improvement in workshops (WS), simulation games (SG), Project of Training Course (P) and
Lectures (L)
Table 3. Relevant lean construction principles in workshops (WS), simulation games (SG), Project of Training Course (P) and Lectures (L)
3. Description of Workshops, Simulation Games and Project of Training Course

3.1. Workshop 1: Alignment of purposes: Owners Needs and Values vs. Users' Needs and Values
According to Orihuela (2011), a Lean Design, in addition to complying with the constraints, requires the choice of
the best alternative. This will be the design concept that best aligned with the needs and values of Project Owners and
Users of the product. Next table presents a tool made up of a matrix to evaluate the degree of alignment of the purposes
that each Design Concept achieves.
173
PURPOSE ALIGNMENT MATRIX
USERS
OWNER
NEED
Profiability
Image
VALUE
WEIGHTING
5
3
DEGREE OF ALIGNMENT
PERFORMANCE OF DESIGN CONCEPTS (1 to 5)

Alternative 1
Alternative 2
Alternative N
25
34
27
3
Price
Confort
Aesthetics
Security
Warranty
89
65
73
DEGREE OF ALIGNMENT
Table 4. Matrix of Alignment of Purposes (Orihuela, 2011)
Student groups analyze three design alternatives of a building using the tool proposal by Orihuela. Then, they
determine the best.
3.2. Simulation Game 1: Reducing batch sizes and one piece flow
This is an adaptation of Alarcon simulation game (2012). Paper and stickers would be used, in addition to
multimedia equipment. Six stations, six participants. Three rounds (phases) of six minutes each.
Figure 1. Resources, product, flow and processes
Station 1: Performs the design for the installation of each component.

Station 2: Is responsible for setting up two red rectangles (or another colour assigned) on each card.
Station 3: Is responsible for setting up two green rectangles (or another colour assigned) on each card.
Station 4: Is responsible for setting up the circle.
Station 5: Is responsible for writing the name LEAN.
Station 6: Is responsible for examining (QC) the batch to ensure product conformity.
PHASE 1: PRODUCTS WITH BATCHES OF 5 CARDS
Job positions are in the same sequence as work flows.

Materials are located in each work station.
Work stations have enough space for incoming queues.
The complete batches of 5 cards are placed in the standby space for the next station.
Batches are kept together until the final inspection.
Employees perform the assigned task only THINKING IS FORBIDDEN.
Quality control (QC) problems are only detected by the inspector in Station 6 NO FEEDBACK AND NO
TALKING WITH PERSONNEL.
All defective products are put aside by the inspector to produce them again THE CARD IS TURNED OVER.
Workers are paid a unit price per piece, without incentives.
174
Figure 2. Implementation of simulation game 1
PHASE 2: ONE PIECE FLOW
Only one assembly is allowed in the queue space between stations.

The assembly may only be placed in the queue when the space is empty (Pull mechanism).
Workers may talk about QC problems SOME THINKING AND TALKING IS ALLOWED.
All defective products are put aside by the inspector in order to produce them again THE CARD IS TURNED
OVER.
All receive hourly payments plus a bonus for team performance.
Workers carry out only the task assigned in the station.
Workers cant solve major QC problems.
PHASE 3: ONE PIECE FLOW
The workload may be sequenced again and/or balanced by the team.

Workers may have one assembly only in their job positions (size-1 batch)
The assembly may only be placed in the queue when the space is empty (Pull mechanism).
Workers may carry out any step during the production process.
QC problems may be solved by any worker SOLVE IT WHEN YOU FIND IT.
There are no talking restrictions.
All receive hourly payments plus a bonus for team performance.
Performance Indicators
Production: The number of good products produced in 6 minutes is counted.

Cycle time: The time it takes for the first correct product to get to the end of the system.
Redone work: It is the number of products with configuration or assembly defects.
Inventory of work in progress (WIP): It is the number of cards being processed at the end of the 6-minute phase.
Techniques used: Leave the work (materials or information) of a job position to the next using Pull vs. Push. Minimize
the size of the batches to reduce the duration of the cycle. Make everyone responsible for the quality of the product.
Balance the workload in connected job positions.
Table 5. Average Results of Simulation 1
175
3.3. Workshop 2: Chunking and designing the production system for flow
Student groups analyze alternatives of activities train and work chunking. The workload may be sequenced and/or
balanced by the teams. The work is divided into: phase collaborative planning involved specialists and support areas,
discussion of each proposed activity train and work chunking, identification and agreement of hand-offs, determination
of the most important constraints, verification of milestones and finally choosing the best alternative.
3.4. Simulation Game 2: Complexity of the design and construction
Paper and stickers would be used, in addition to multimedia equipment. Six stations, six participants. Two rounds
(phases) of five good products each. We use the same resources in phase 1 and phase 2.
PHASES 1 AND 2: ONE PIECE FLOW
Processes of the stations are similar to Phase 2 of Simulation Game 1.
Design is represented by station 1.
Construction is represented by the stations 2 to 5.
Figure 3. Products of Phase 1 and Phase 2
Performance Indicators
Production: The number of good products produced.

Cycle time: The time it takes for the first correct product to get to the end of the system.
Redone work: It is the number of products with configuration or assembly defects.
Inventory of work in progress (WIP): It is the number of cards being processed at the end of the phase.
Design Cost (DC): It is calculated considering a price of $ 100 / second
Construction Cost (CC): It is calculated considering a price of $ 10,000 / second (including the time of inspection
and waits).
Cost of inventory and Remade Work (IRWC): It is calculated considering a price of $ 6,000 / product
Project Cost (PC): PC = DC + CC + IRWC
Table 6. Average Results of Simulation 2
3.5. Workshop 3: Pull Planning Session

Pull Planning session in a housing project of highly repetitive processes is used. The session is divided into: panel
design, phase collaborative planning involved specialists and support areas, discussion of each proposed activity train
and work chunking, identification and agreement of hand-offs, determination of the most important constraints,
verification of milestones and finally choosing the best alternative and the signing of the agreement. Post it note stuck
to the panel during the discussions are used.
176
3.6. Workshop 4: Balance flow improvement with conversion improvement: Balance Chart
Design and Optimization of Construction Operations using Balance Chart is developed (Serpell, 1993). Vertical
iron, vertical formwork, vertical concrete. horizontal formwork, horizontal iron and horizontal concrete are analyzed
through collaborative planning.
3.7. Project of Training Course
According to Yoza Levano (2011), the project consists in routine use collaborative work in Last Planner System
between the production area and support areas. Students formed teams, allowing collaborative routine do effectively.
Figure 4. In-Process Planning Routine (Yoza Levano, 2011)
3.8. Opportunities for improvement identified between editing and publishing

We update the training course incorporating Lean community practices and doing feedback to participants. For
example, workshop 1 and simulation 1 were included in the second edition, workshops 3 and 4 in the third and
simulation 2 in the last. At present we have shown only BIM applications. For its impact, including the BIM topic and
its integration with Lean Contruction philosophy will be considered in a future edition.
4. Conclusions
The Training Course provided an understanding of Lean Construction Principles and methods through lectures,
workshops, simulation games and discussion periods. The resources applied represented a short-term investment so
they could be easily repeated by the attendees. For this reason, it was decided that for workshops and simulation games,
paper, post-its and stickers would be used, in addition to multimedia equipment. It is likely that they are adapting what
they learned in their workplaces, expanding Lean Construction philosophy. The success of the program is reflected in
the quality of the work and its dissertations, as well as the opportunities for improvement identified between editing
and publishing. The School of Sciences and Engineering of Pontifical Catholic University of Peru will continue to
update the training course incorporating Lean community practices.
References
Alarcon, L.F. 2012. Workshop of Lean Construction, Graduate Diploma Program in Project & Construction Management, Pontifical Catholic
University of Peru.
Koskela, L. 1992. Application of the New Production Philosophy to Construction, CIFE Technical Report #72, Department of Civil Engineering,
Stanford University, Stanford, USA.
Levano, A.Y. 2011, 'Impacts Of "The Last Planner" Method on Sanitation Works' In:, Rooke, J. & Dave, B., 19th Annual Conference of the
International Group for Lean Construction. Lima, Peru, 13-15 Jul 2011.
Orihuela, P., Oriheula, J. & Ulloa, K. 2011, Tools for Design Management in Building Projects In:, Rooke, J. & Dave, B., 19th Annual Conference
of the International Group for Lean Construction. Lima, Peru, 13-15 Jul 2011.
Sacks, R. , Dave, B.A. , Koskela, L. & Owen, R. 2009, Analysis Framework for the Interaction Between Lean Construction and Building
Information Modelling In:, Cuperus, Y. & Hirota, E.H., 17th Annual Conference of the International Group for Lean Construction. Taipei,
Taiwan, 15-17 Jul 2009. pp 221-234.
Serpell, A. 1993. Operations Management in Construction, Ediciones Pontificia Universidad Catlica de Chile.
177
Integrating ISO 21500 Guidance on Project Management, Lean

Construction and PMBOK
Xavier Briosoa *
a
Associate Professor, Researcher and Chair of Construction Management & Technology Research Group (GETEC), Pontifical Catholic
University of Peru, Av. Universitaria 1801, Lima 32, Peru
Abstract
This paper develops a proposal for the combination of the Standard ISO 21500 Guidance on Project Management and the Project
& Construction Management Systems, with emphasis in their integration with the PMBOK and the Lean Construction
philosophy. The Project & Construction Management is studied from a global point of view, connecting, matching,
supplementing, and/or combining the tools, techniques, and practices of the afore-mentioned management systems, applied to
construction projects. Within this framework, the stakeholder participation is analyzed during the application of Integrated Project
Delivery (IPD) and Target Value Design (TVD); as well as the sequences in which the processes, inputs, and outputs relate in
time, originating variants in the effort for the achievement of optimum compatibility.
Keywords: ISO 21500, Lean Construction, Integrated Project Delivery, Target Value Design, PMBOK
1. Introduction
Since the beginnings of the Lean Construction philosophy, much has been written about its compatibility with
traditional management systems. Some authors state that there are philosophical differences between them, while
others affirm that they are compatible. What all systems have in common is that they apply continuous improvement
or the quality circle and, therefore, they are all compatible with ISO standards, especially with the ISO 9000 quality
standard; this shows that no ISO standard brought them all together. ISO 21500 Guidance on Project Management
provides guidance for project management and can be used by any type of organization, including public, private or
community organizations, and for any type of project, irrespective of complexity, size or duration. [1]. It could be
said that the ISO 21500 was created as an answer to the growing globalization of the projects, and the need to
establish common principles and make them compatible with the most applied standards and management systems in
the world. Likewise, their application to any organization or project is sought.
2. ISO 21500 Guidance on Project Management, PMBOK and PRINCE2
2.1. ISO 21500
This International Standard provides high-level description of concepts and processes that are considered to
form good practice in project management. Projects are placed in the context of programmes and Project portfolios,
however, this International Standard does not provide detailed guidance on the management of programmes and
* Xavier Brioso. Tel.: +0-051-626-2000, xbrioso@pucp.edu.pe
178
project portfolios. Topics pertaining to general management are addressed only within the context of project
management. Figure 1 shows how project management concepts relate to each other. The organizational strategy
identifies opportunities. The opportunities are evaluated and should be documented. Selected opportunities are
further developed in a business case or other similar document, and can result in one or more projects that provide
deliverables. Those deliverables can be used to realize benefits. The benefits can be an input to realizing and further
developing the organizational strategy. [1].
Figure 1: Overview of project management concepts and their relationships [1]
Besides, strategic goals may guide the identification and development of opportunities. Selection includes
consideration of various factors, such as how benefits can be realized and risks can be managed, among others. The
project stakeholders should be described in sufficient detail for the project to be successful; and the roles and
responsibilities of the stakeholders should be defined and communicated based on the organization and project goals.
2.2. Compatibility of the ISO 21500, PMBOK and PRINCE2
The ISO 21500 points out that project management processes do not specify a chronological order to carry out the
activities [1]. Processes may be combined and arranged in sequences according to what the management system has
anticipated. This is very important when some of the processes involved interact and change their traditional order, as
well as their cost and design, for example.
On the other hand, the ISO 215000 wisely eliminates the processes tools and techniques, leaving the way open
for specialists to combine and apply the tools and techniques that best suit the project, selecting them among the
various management systems. This is especially useful in construction projects. When a specialist uses a system that
has a guidebook or manual which recommends or suggests specific tools and techniques for processes, a barrier may
be created to use one that is better than others; thus, the perspective of the great variety of innovating tools and
techniques that exist which are increasingly being generated worldwide may be lost. Moreover, the ISO 21500
does not describe the processes inputs and outputs, and does not mention the stages of a project; this increases the
capacity to self-adapt to any management system, including those used in construction projects. This flexibility in
input, output, stages, tools, and techniques would allow the incorporation of other additional elements to those
commonly used in the conversion of conventional processes.
It can be stated that PRINCE2 and PMBOK do not compete with each other; both methodologies are compatible if
used appropriately. PMBOK is a methodology that shows all the information required from the point of view of its
authors, such as the tools and techniques, and the sequence used for process execution [2]. PRINCE2, on the other
hand, provides guidelines about how to use such information [3]. The ISO 21500 perfectly harmonizes this
compatibility.
All projects require a business justification which, based on ISO 21500, PRINCE2 or PMBOK, will be
documented in the Business Case, explaining the reasons why the project should be started, the existing business
179
options, expected costs, risks (threats and opportunities), benefits, possible wastes, terms, and projected investment,
among others. The purpose of a Business Case is to justify the expenses of the project by identifying the benefits. In
order to do this, one must pinpoint the business problem and its alternative solutions, recommend the best solution,
and describe the implementation approach.
PRINCE2 recommends the creation of a preliminary Business Case, which collects all the data available to be
used as reference to start the analysis of a project. It will be later replaced by the final one, which will be updated
throughout the life cycle of the project.
According to PMBOK, the Business Case is an external document prepared beforehand; it forms part of the input
data required to set up the Project Charter. It is not necessary for the sponsor and the future manager of the project to
participate in its preparation.
Although the ISO 21500 is similar to the PMBOK, it is also intrinsically different due to the reasons discussed in
this article. The compatibility of the tools, techniques, and the management system practices used in construction,
such as the PMBOK and PRINCE2, among others, could be started through the ISO 21500.
3. Lean Construction, Target Value Design (TVD) and Integrated Project Delivery (IPD)
3.1. Evolution of Lean Construction philosophy
Since Laurie Koskela published his technical report TR72 in 1992, giving rise to the Lean Construction
philosophy, this trend has evolved. According to Koskela [4], due to these traditional managerial principles, flow
processes have not been controlled or improved in an orderly fashion; this has led to complex, uncertain, and
confused flow processes, expansion of non-value-adding activities, and reduction of output value.
In 2000, Ballard [5] stated that the Lean Project Delivery System emerged from theoretical and practical
investigations, and was in a process of on-going development through experimentation in many parts of the world.
In recent years, experiments have focused on the definition and design phase of projects, applying concepts and
methods drawn from the Toyota Product Development System, most especially target costing and set based design.
In the Lean Project Delivery System, it is assumed that the job of the project delivery team is not only to provide what
the customer wants, but to first help the customer decide what they want. Consequently, it is necessary to understand
customer purpose and constraints expose the customer to alternative means for accomplishing their purposes beyond
those they have previously considered, and to help customers understand the consequences of their desires. This
process inevitably changes all the variables: ends, means and constraints. [6].
Figure 2: Lean Project Delivery System ([6] and [7])
Orihuela, Orihuela and Ulloa [8] have found convenient to classify the design tasks in three types, using the theory
of TFV (Transformation, Flow and Value) proposed by Koskela [9]:
Internal Operational Tasks: These are in charge of the design team and their resources and times can easily be
estimated. For example, data collection regarding Site Conditions. These tasks can be regarded as flow activities.
Internal Creative Tasks: Tasks that are the design team's responsibility, but whose times are more difficult to
estimate due to their own creative nature. For example, the Design Concepts generation. These tasks can be
regarded as value-generating activities.
External Tasks: Tasks which are not part of the design team's responsibilities and whose times are variable since
they are made by external individuals or entities. For example, approval of the structures project by the municipal
entity. These tasks can be regarded as transformation activities.
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Such classification will help us to make a better estimation of time and more effective and fair control and follow
up. It will also reduce conflicts that may arise due to lack of precision to meet deadlines, both within the design team
cluster and between the design team and the owners. [8].
Waste reduction and value creation for the customer are the main goals of this philosophy.
3.2. Target Value Design (TVD) and Integrated Project Delivery (IPD)
Target Value Design (TVD) is a disciplined management practice to be used throughout project to assure that
the facility meets the operational needs and values of the users, is delivered within the allowable budget, and
promotes innovation throughout the process to increase value and eliminate waste. Target Cost is the cost goal
established by the delivery team as the target for its design and delivery efforts. The Target Cost should be set at
less than best-in-class past performance. The goal is to create a sense of necessity to drive innovation and waste
reduction into the design and construction process [10]. Figure 3 shows the fluidity of funds across subsystems.
According to AIA California Council [12], Integrated Project Delivery (IPD) is a project delivery 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 phases of design, fabrication, and
construction. Integrated Project Delivery principles can be applied to a variety of contractual arrangements, and
Integrated Project Delivery teams will usually include members well beyond the basic triad of owner, designer, and
contractor. At a minimum, an integrated project includes tight collaboration between the owner, architect/engineers,
and builders ultimately responsible for construction of the project, from early design through project handover.
Figures 4 and 5 show the differences between integrated and traditional project delivery.
The team is invited to participate within a flexible contractual management framework, aimed at building WinWin relationships of trust. Once the team accepts, it starts interacting through a collaborative routine in which BIM
tools are used, which will allow to analyze each alternative posed by the stakeholders, seeking not to exceed the
target cost of each stakeholder in the event adjustments are required. IPD, TVD and BIM are used simultaneously.
Figure 3: Fluidity of funds across subsystems [11]
Figure 4: Differences between integrated and traditional project delivery [12]
Figure 5: Shifts of when different aspects of the project are resolved ("Who, What, How, Realize") and shifts of when different project
participants become involved. [13]
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4. Integrating IPD, TVD, ISO 21500, PMBOK and PRINCE2

According to PMBOK, the Business Case is an external document prepared beforehand; it forms part of the input
data required to set up the Project Charter. It is not necessary for the sponsor and the future manager of the project to
participate in its preparation. This is different from the IPD-TVD, where the role of the interested parties is essential.
Figure 6: Main processes of ISO 21500 involved in Project Charter of IPD-TVD (Adapted from [1])
Figure 7: Flexible process group interactions showing representative inputs and outputs for IPD-TVD (Adapted from [1])
182
PRINCE2 recommends the creation of a preliminary Business Case, which collects all the data available to be
used as reference to start the analysis of a project [3]. It will be later replaced by the final one, which will be updated
throughout the life cycle of the project.
Through an analogy with the IPD-TVD construction projects, in addition to having the market costs of the project,
the estimators establish in advance the probable costs to be incurred by contractors and subcontractors. This would be
equivalent to the preliminary Business Case.
Each alternative may be built virtually with the use of the BIM; everyone will be able to see and understand the
processes generated. Once the satisfaction conditions of all the stakeholders are met, the project is validated by all the
parties involved, thus agreeing on the final project. This would be equivalent to the Business Case.
The Business Case of IPD-TVD, together with the updated contractual documentation, would be equivalent to the
Project Charter of the ISO 21500.
Figure 6 shows the main processes of ISO 21500 involved in Project Charter of IPD-TVD. Besides, Figure 7
shows flexible ISO 21500 process group interactions with representative inputs and outputs for IPD-TVD. ISO 21500
points out that the projects management processes do not specify a chronological order to carry out the activities.
Processes may be combined and arranged in sequences according to what the management system has anticipated.
ISO 21500 does not describe the inputs and outputs of processes, which increases their capacity to self-adapt to any
management system. This flexibility would allow the incorporation of other additional elements to those commonly
used in the conversion of conventional processes.
5. Conclusions
The various management systems may be made compatible through the ISO 21500, as it allows sequences and the
adaptation of processes to be carried out in a flexible way. The freedom to choose tools and techniques, and the
flexibility to specify the processes inputs and outputs help overcome the typical psychological barriers of specialists
with deep-rooted preferences for a certain management system. Although the ISO 21500 is similar to the PMBOK, it
is also intrinsically different due to the reasons discussed in this paper.
It can be stated that these management systems do not compete with each other; all methodologies are compatible
if used appropriately.
The compatibility of the Lean Construction philosophy tools, techniques, and practices, as well as of the
management systems used in construction, such as the PMI, PRINCE2, among others, could be started through the
ISO 21500; this opportunity is a very clear line of research that should be developed as soon as possible. A step
forward would be achieved in any scenario.
References
[1]
[2]
[3]
[4]
ISO 21500:2012 (2012). Guidance on Project Management International, Organization for Standardization
PMBOK Project Management Body of Knowledge (2013), Project Management Institute, Fifth Ed.
PRINCE2 (2009) Projects in Controlled Environments, 2009 Ed.
Koskela, L. (1992). Application of the New Production Philosophy to Construction, CIFE Technical Report #72, Department of Civil
Engineering, Stanford University, Stanford, USA.
[5] Ballard, G. (2000). "Lean Project Delivery System." White Paper #8, Lean Construction Institute.
[6] Ballard, G. (2008). The Lean Project Delivery System: An Update. Lean Construction Journal 2008: pp. 1-19
[7] Ballard, G. (2006). Rethinking Project Definition in terms of Target Costing. Proceedings of the 14th annual Congress, International Group
for Lean Construction, Santiago, Chile, July, 2006, pp 77-90.
[8] Orihuela, P., Orihuela, J., Ulloa, K (2011). Tools for design management in building projects, Proceedings of 19th Annual Conference of the
International Group for Lean Construction IGLC.
[9] Koskela, L. (2000). An Exploration towards a Production Theory and its Application to Construction. PhD Dissertation, VTT Building
Technology, Espoo, Finland. 296 pp., VTT Publications: 408, ISBN 951-38-5565-1; 951-38-5566-X.
[10] LCI Lean Project Delivery Glossary(2014), Lean Construction Institute, available at:
<http://www.leanconstruction.org/> (January 14, 2015).
[11] Rybkowski, Z. K. (2009). The application of Root Cause Analysis and Target Value Design to Evidence-Based Design in the Capital
Planning of Healthcare Facilities. PhD thesis. University of California, Berkeley, CA.
[12] American Institute of Architects (2007b). Integrated Project Delivery: A Guide, v.2, AIA National/AIA California Council.
[13] American Institute of Architects (2007a). Integrated Project Delivery: A Guide, v.1, AIA National/AIA California Council.
183
A lessons learned database structure for construction companies

Gorkem Eken, Gozde Bilgin*, Irem Dikmen, M. Talat Birgonul
Research Assistant (Gorkem Eken, Department of Civil Engineering, Middle East Technical University, Ankara, 06800, Turkey)
Research Assistant (Gozde Bilgin, Department of Civil Engineering, Middle East Technical University, Ankara, 06800, Turkey)
Professor (Irem Dikmen, Department of Civil Engineering, Middle East Technical University, Ankara, 06800, Turkey)
Professor (M. Talat Birgonul, Department of Civil Engineering, Middle East Technical University, Ankara, 06800, Turkey)
Abstract
Knowledge management in project based industries is critical as in the case of construction industry. Besides being a project based
industry, factors specific to construction projects also make it harder to capture knowledge. Construction projects are held in
dispersed locations, by different parties involved, with variable objectives; all of which make capturing the information more
difficult and knowledge management process more complex. This study presents a database structure and an information system
that can be used to capture dispersed information in the form of lessons learned as they accumulate during a construction project.
In this paper, both the database structure will be proposed as well as the process that lessons learned can be utilized in forthcoming
projects. A prototype database is created and retrieval capabilities provided within the structure are tested with entry of cases from
hypothetical projects. This process reinforced the suitability of the proposed structure for codification and retrieval of lessons
learned from a construction project. Possible use of the database is exemplified with lessons learned extracted from the
hypothetical projects. This structure is aimed to base an information system where capture and dissemination of lessons learned
from projects will be improved by its use, and planning and decision making processes for forthcoming projects will be facilitated.
Keywords: construction company; construction project; database; knowledge; lessons learned.
1. Introduction
Knowledge is critical for construction companies for success and maximization of value through enhancing
competencies, confidence, effectiveness, competitiveness, and sustainability [1-10]. Tools and techniques have been
underway for establishment of effective knowledge management, however efforts have not provided a best solution for
capture and dissemination of the knowledge yet [3-6,8-11]. Knowledge management can prevent re-invention of the
wheel, facilitate innovation; and lead increased agility, efficiency, flexibility, quality, learning, better decision making,
better teamwork and supply chain integration, improved project performance, higher client satisfaction, and
organizational growth [3,4,11]. Construction industry is knowledge intensive and also project-based with
characteristics of multi-disciplinary teams with different notions of value, unstable nature, heavy reliance on previous
experience/heuristics, conflicting objectives, unique projects, tight schedules, limited budgets, etc. that all make
knowledge difficult to handle [1,5,8-12]. Besides these; pressures of globalization of the market, increased competition
and demands, requirement of new technologies and highly skilled workforce make knowledge management critical
[3,12,13]. However knowledge is lost due to fragmented nature of the industry [1,14]. As Kamara et al. (2003) [4]
stated; even if projects differ in macro terms; namely in terms of site, context, client requirements, etc.; they are similar
in micro terms as in structure of teams, processes, tools, skills, etc. Thus, lessons learned in projects should be captured
E-mail address: gbilgin@metu.edu.tr
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and reused in the forthcoming ones through use of a manageable format to manipulate, and a mechanism to capture
and disseminate the verified knowledge [4,12]. Generally problems solved in one project stays in it and they re-occur
in the other ones since nothing is done for their elimination so this endeavor may remediate a common problem of
construction projects [1].
The easily expressed and codified part of knowledge constitutes the explicit knowledge; whereas, the other part,
which is extremely rooted in individuals minds and experiences, constitutes the tacit knowledge [2,3,5,7,8,11,13,14].
However most of the knowledge is tacit in construction industry, and successful codification of this knowledge has the
potential to make the difference [2,3,5,8,11]. Knowledge management literature consists of studies that focus on use
of information systems and the others which are more focused on development and retention of intellectual capital.
Information systems may be successful in codification of explicit knowledge, however people centered solutions are
required for codification of tacit knowledge [2]. Thus, capture of the tacit knowledge with help of information
technology and making it explicit during whole life cycle of a project through in-project and post-project evaluations
is needed [1,3,5,7,13,14]. Different parties in a project may encounter different problems due to same situation; thus,
holistic capture of the knowledge from all parties is essential [1]. Most of the time; lessons learned are lost in excessive
details due to lack of structures to collect, organize and disseminate this knowledge [10]. Organizational optimization
of knowledge is required to eliminate knowledge wastage and overload. It would be much better if live capture can
be achieved in a format that would facilitate its reuse since knowledge is valuable as long as it is usable and accessible
[3,4,8].
Information systems are generally based on information technologies (MsProject, Outlook, PDA, notepad,
FrontPage, PowerPoint, Excel, intranet, internet, etc.) in modern construction companies [1,8,11]. Information
technology may facilitate information understanding and sharing effectively, it may provide enhancement of
construction knowledge; however the work has done so far is not enough for an effective solution [3,5,6,9,10].
Practicality of methods and inexpensiveness of solutions may also be required to make the small companies be able to
adopt these solutions [3,9-12]. The failure of the industry lies in the lack of these mechanisms, processes, more
specifically databases that provide a formal structure/strategic framework for capture of knowledge, namely presenting
the huge data and information in a way to be used in construction processes [1,8,9,11,13,15]. Besides information
systems, support of organizational culture is also required to establish an effective knowledge management system
rather than reliance only information systems [3-5,11,12]. Throughout the supply chain, the notion of sharing learning
focused reviews and embedment of this knowledge in this culture should be imposed and organizational learning should
be at core [8,10,13,14]. Circulation of the lessons learned should be achieved through direct use of the system through
training, or interactive meetings, or notification of new lessons learned [12]. Achieving this, provides a positive change
and a culture where every individual knows what to do, when, and how. Thus the captured data should be accessed,
evaluated and used; hence specific project knowledge may be turned into generic construction knowledge with the help
of individuals taking part in projects/organization [1,6,8,15]. In light of these, this paper presents a formal database
structure that provides fields to capture lessons learned for a construction company and a possible information system
including the database for dissemination and reuse of the knowledge to be captured.
2. Knowledge management
Data are the objective facts, whereas information is the structured or interpreted form of the data within a context.
Knowledge implies the action held, cognitive ability; so includes understanding, reasoning, discrimination, judgment,
intuition and values within the interpretation of information [2,3,7,8,11]. Therefore, knowledge constitutes extraction
of know how especially the production process rather than the raw material namely the data [9]. Knowledge
management is defined by Jashapara (2004) [16] as the effective learning processes associated with exploration,
exploitation and sharing of human knowledge (tacit and explicit) that use appropriate technology and cultural
environments to enhance an organizations intellectual capital and performance [12]. Thus an information system
structured on lessons learned database can be an effective solution as a means of technology to facilitate organizational
learning and knowledge management with use of telecommunications for dissemination of knowledge [8].
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2.1. Knowledge management in construction industry

Management of knowledge in construction industry occurs at two levels, as project level and firm level. Most of
the studies are informal and people centered and lacking formal strategies. Standard operating procedures, best practice
guides, and codes of practice are used at the firm level; however project based industry requires more knowledge from
the projects being executed [4]. Post project evaluation is used at most for capture of project knowledge in construction
industry. This system enables capture of knowledge, however it is not very effective due to lost personnel, insufficient
time, loss of important insight due to time lapse, and also would be limited in dissemination of knowledge since it is
demonstrated by previous personnel [4,5,10] Besides this; framework agreements are used, however these may lead
vulnerability due to high staff turnover rates in the industry [4]. Directory of expertise and intranets provide speed,
reduce the cost and add value and quality; helpdesks and websites also bring benefit but raise some confidentiality and
copyright issues [8]. Use of information technology in forms of ISDN networking, CAD, workflow management tools,
other groupware applications for collaborative working, project management applications and office tools are wide in
use where large firms in the construction sector also prefer to invest in intranets, or (project) extranets [4,9]. In addition
to these, current practice is adoption of BIM in knowledge management processes. Abilities of BIM as capture of
information in a digital format, easy update and transfer, and visualization have the potential to foster possibility of
capture and dissemination of knowledge [17,18]. In accordance with the information provided, notable studies that are
held in construction industry can be introduced as follow.
Table 1. Examples of previous work.
Summary of the Study
COLA: a facility for recording, storing, making available, disseminating and tracking lessons that have been
learnt in previous projects by organizing and managing learning-focused, value-enhancing reviews of
construction projects thus improving the quality of feedback and increasing organizational knowledge as
well as resolving immediate concerns
KnowBiz: establishing the link between knowledge management and business performance in construction
firms [4]
KLICON: role of IT in capturing and managing knowledge for organizational learning on construction
projects
A study on a project memory capture system for design evolution capture, visualization and reuse in support
of multi-disciplinary collaborative teamwork [4]
A study on retrieval of explicit project knowledge from heterogeneous documents [4]
CsanD: provide mechanisms for ensuring knowledge pertaining to sustainability is captured and distributed
in a structured manner [4]
CLEVER: a framework assists construction firms in selecting an appropriate strategy for the transfer of
knowledge that is appropriate to their organizational and cultural contexts [4]
e-COGNOS: an open model-based infrastructure and a set of tools that promote consistent knowledge
management within collaborative construction environments
A study on investigation of the process of knowledge capture within an organization
A study on investigation of how construction project managers manage their knowledge
A framework to model the organizational memory formation process for construction companies
A taxonomy and a prototypical ontology for building construction is presented with a framework for agentbased system to capture and document knowledge of the organization as a corporate memory
A case study on lessons learned practices of a leading Irish company
A tool for learning from risks by post project risk assessment
A conceptual framework to formalize the knowledge-capturing process within construction companies and
a Web-based system, KPfC, that facilitates knowledge capture and reuse
A study that aims expansion of BIM to Building Knowledge Model (BKM) and presents a software
environment that links TEKLA-Structures, RECALL and TalkingPaper
A study of visual representation of tacit knowledge in a computer game and its effects on knowledge
acquisition and retention
A study on importance-performance analysis of knowledge management practices
BIMKSM: a BIM-based knowledge sharing management system that enables visualization of knowledge in
the BIM environment
A study that focuses on storage of lessons learned information in the objects provided in a BIM model and
extraction, classification and dissemination of this knowledge
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Source
(Cushman, 1999) [1]
(Carrillo and Anumba, 2000) [19]

(McCarthy et al., 2000; Patel et
al., 2000) [6,8]
(Reiner and Fruchter, 2000) [20]
(Scherer and Reul, 2000) [21]
(CSanD, 2001) [22]
(Kamara et al., 2002) [23]
(Wetherill et al., 2002) [10]
(Hari et al., 2004) [3]
(Ly et al., 2005) [11]
(Ozorhon et al., 2005) [14]
(El-Diraby and Zhang, 2006) [13]
(Graham and Thomas, 2007) [12]
(Dikmen et al., 2008) [15]
(Kivrak et al., 2008) [5]
(Fruchter et al., 2009) [24]
(Kang and Jain, 2011) [25]
(Kale and Karaman, 2012) [26]
(Ho et al., 2013) [18]
(Deshpande et al., 2014) [17]
3. Lessons learned database for construction companies

As it stated previously, it is difficult to capture knowledge, especially tacit knowledge, in construction industry due
to specific characteristics had in. This study aims establishment of a lessons learned database structure; which will
serve as a vehicle for transformation of tacit knowledge to explicit [7]; may guide construction professionals to capture
the project and so company specific knowledge in terms of good/bad experiences and practices, successes, innovations,
problems, situations, critical events, changes, misunderstandings, non-conformances, actions and effects; namely may
provide extraction of actions that have the potential to add value [1,5]. The database structure is materialized in
Microsoft Excel environment and tested for its search capabilities with the entry of hypothetical project cases. Details
of the database and the methodology can be followed from the following sections.
An information system that may be built on this database can be established as it is provided in the following figure
(Figure 1). The database should be managed by a team of administrative staff and a site engineer all heading to an
individual (knowledge manager) with invaluable industry experience to ensure the consistency, reliability, and
optimization of knowledge [5,12]. Disadvantages of post project appraisals may be overcome by addition of in project
evaluations. Dissemination is improved with the help of a web-based system. Additionally, ways to disseminate the
knowledge to individuals may also be arranged as means to support creation of learning focused environment and
overcome the barriers against capture of lessons learned [12]. Emailing system, video/tele conferencing, bulletin
boards, on site seminars before starting a work package, face-to-face interactions, coaching and mentoring,
brainstorming, portals, wireless devices, focus groups, meetings, forums, training, and communities of practice may
be adopted within this system as a means for communication [3,5,11,12].
Figure 1. Information system.
3.1. Data structure

A relational database is created with fourteen main tables and attributes specific to each table. The following figure
(Figure 2) depicts the logical model of the study in form of an entity relationship diagram. Project table has descriptive
project attributes to provide manipulation of the information, the other tables provide attributes for definition of lessons
learned to be captured from construction experiences (best practices/problems), participants (partners, clients, vendors,
etc.), financial changes (in cost/cash flow/budget), delays, claims, and cases turned into disputes.
Attributes of the tables identified within the database, excluding tables for relations, can be presented as in the
following table (Table 2).
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Figure 2. Entity-relationship diagram.

Table 2. Tables and their attributes.
Tables
Construction Experience
Best Practices
Problems
Participant Company
Financial Change
Cost
Cash Flow
Budget
Attributes
Project ID, Project Name, Country, Start Date, Completion Date, Scope of Project, Project Type, Contract Type,
Project Delivery System, Construction Technology, Currency
Experience ID, Importance Level
Experience ID, Description, Key Factors, How it is Achieved, Saved Time, Saved Money
Experience ID, What Happened, Applied Solution, Possible Preventive Action, Time Loss, Money Loss
Company ID, Company Name, Company Specialty, Email, Phone Number, Street Address, City, Country
Change ID, Change Reason, Importance Level
Change ID, Amount, Was it Inevitable, Possible Prevention Strategy
Change ID, Consequences, Recommendation
Change ID, Expected Amount, Changed Amount, Recommendation
Delay
Claim
Dispute
Delay ID, Reason, Activity Duration, Delay Time, Mitigative Action, Recommendation
Claim ID, Amount, Result, Recommendation
Dispute ID, Resolution, Result, Encountered Problems, Recommendation, Duration
Activity
Individual
Activity ID, Activity Name, Activity Description, Typical Project Types

Individual ID, Name, Title, Gender, Email, Phone Number
Project
3.2. Implementation
The presented database is aimed to be implemented in SQL environment and to be served in an internet based
system. Internet based knowledge systems are appreciated to be easily updated, however criticized for limited
searching and retrieving capabilities, quality of the information, and difficulties in classification [11]. A knowledge
manager is advised to be integrated into system to ensure the necessity of the lessons learned. Additionally; an attribute
based structure rather than essays is established to enforce classification of data, and search properties of the system
are improved by similarity based search that serves as an addition to the filter search [15]. Search capabilities of the
database are tested in a prototype database generated in Microsoft Excel environment where macros are used behind
the forms for data entry and retrieval processes.
3.3. Data entry and retrieval
The main menu of the prototype database consists of forms for Data Entry, Similarity Search and Filter
Search. Data entry menu allows classification of data at some level to provide extraction of lessons learned
accordingly; its sub-menu includes entry forms for each of the main tables separately, drop-down lists are provided as
far as possible for the attributes. User is allowed to select the default attributes, change the provided list or add new
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attributes if it is required. Information is asked to be entered with their priorities and dates in order to provide search
according to importance and currency. Information search is possible through two channels. One of them is similarity
search where the most similar projects are ranked for further investigation [15]. For similarity calculation, percent
matching of the attributes is used. Weights of the attributes are extracted from a survey that is replied by 105 company
professionals. The attributes used in similarity calculation and their corresponding weights are obtained as; Project
Type (22.01%), Country (20.77%), Client (19.52%), Contract Type (18.13%), and Construction Technology
(19.57%). Further similarity of different entries of Project Type, Country, and Client are asked to the user to
provide some level of classification between the entries. The other search option provides an attribute based search for
each of the tables provided. User is allowed to use the same attributes used in similarity calculation, this time by
selecting concurrently the individual attributes in question. Further filtering is provided to enable the user to reach
clear extraction of lessons learned through selection of date, priority, activity, experience type, role of participant,
responsible party, financial change type, delayed activity, reason of claim, and dispute resolution type. A typical search
of Construction Experience is provided in the following figure (Figure 3) whereas similarity search is exemplified
in the other figure (Figure 4).
Figure 3. Filter search.
3.4. Verification
18 projects with 54 lessons learned are entered in the prototype database and its search capabilities are tested for
various cases. For example, an attribute based search is performed with investigation of Problems, encountered in
Russia with importance level more than 1 and since 2004. The related lessons learned in activities (bored pile
and formwork) are obtained for further evaluation as in the figure (Figure 3). As an example to similarity based
search, a probable project in hand with the attributes Climbing Formwork, Lump-Sum, Turkey, School and
Client6 is searched for its similar projects. The Projects 15, 2 and 18 are found most similar three projects to the
project in hand where the other results are presented in descending order of the similarity as in the following figure
(Figure 4). Thus it is verified that the database would be capable of the intended user selected search options and its
attribute based structure would be compatible with this retrieval process.
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Figure 4. Similarity search.
3.5. Possible use of the database

The database can be used in planning and decision making processes by company professionals. Knowledge
extracted related with a new project may be taken into consideration in the planning process, and so possible problems
may become foreseen from the beginning and best practices may be retargeted. In addition to these, the database may
guide professionals in decision making processes. For example, different projects to be undertaken may be evaluated,
risk analysis may be guided, selection of participants of the project may be made in accordance with the previous
experience provided, use of resources may be directed accordingly, possible mitigative actions in case of a delay may
be evaluated, different resolution mechanisms in case of a dispute may be assessed, etc. The lessons learned database
may be supported with use of some explicit knowledge and may provide statistics that may give insight about the
possible project and country conditions, risky participants and activities, etc. Some of the lessons learned that may be
extracted which may guide all of these processes can be as follows. The lessons learned entered with hypothetical
projects on the basis of their subject areas are exemplified in the following table (Table 3).
Table 3. Lessons learned based on the subject areas.
Subject Area
Construction Experience |
Problem
Financial Change | Cost
Financial Change |
Budget
Delay
Claim
Dispute
Causes | Lessons Learned

Inadequate analysis of the fire code in Russia by Company Professional X / Rework in fire system installation |
Assignment of local subcontractor (Subcontractor X) for the fire system installation
Increase in exchange rates causes increase in imported spare part costs of Machine X | Storage of spare parts /
Contracting on dollar or euro basis
Scope change / Change in material | Adequate provisions should be established in contract for assessment of unit
price of a new material
Delay due to deficiency in mechanical design | Consultancy by a mechanical design company (Company X) should
be provided
Counter-claim by client (Client X) | Timely notice of claim is required / Addition of supportive ground condition
test results to the claim
Difficulty in assignment of the negotiator | Statement of the dispute resolution process and name of the negotiator
in contract documents
4. Discussion and conclusion

A database structure and a complementary information system are established and search capabilities of the database
structure are tested. Through provided search options; currency, required importance, and relevance of the extracted
knowledge is established. The database may direct user in codification of lessons learned through its structure and may
be used in successful extraction of most related cases through its similarity and filtering features. This valuable data
may be used in decision making and possible problems may be taken into consideration from the start of a project.
Within the proposed system, verification of the entered lessons learned by a knowledge manager may provide
prevention of the knowledge overload problem. Additionally, the system has the potential to provide some level of live
capture since it takes a step further the post project appraisals with in project evaluations. Web-based system also
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creates an advantage for small companies without an intranet system [3]. It comes with no significant cost and no
considerable additional workload when it is compared with its potential benefits [3,5]. Thus, it may also be used by
small companies and make them adopt knowledge management strategies. Search capability of the system is tested
whereas further validation is required in usability and knowledge dissemination capability of the system. Additionally,
change in performance of an organization that would adopt the proposed system may be investigated as a case study.
As limitations of the study, first of all security problems need to be handled due to existence of a web-based system
[3]. Even if the database provides time tagging for the lessons learned, elimination of irrelevant lessons and renewal
of the knowledge may be required since knowledge is perishable due to new technologies, products, and services [3].
Further classification of knowledge may be provided and it may be presented at individual, team, and organizational
levels [1,14]. A more detailed pull system may be adapted, where every individual would be able to reach the related
information [12]. More specifically, an automation in dissemination of the knowledge may be integrated into the
system to enhance circulation of knowledge [4]. BIM may be integrated to this system and used as a secondary
knowledge repository for the verified lessons learned to foster dissemination of knowledge through capabilities of BIM
as accessibility and visualization [27]. As a final note the culture that would be created with the system needs to be
preserved and participators are needed to keep in mind that knowledge is an investment for future so it deserves some
attention and effort [3].
Acknowledgements
This research is funded by a grant from the Scientific and Technological Research Council of Turkey (TUBITAK),
Grant No. 213M493. TUBITAKs support is gratefully acknowledged.
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University of Reading, 2004.
[3] S. Hari, C.O. Egbu, B. Kumar, et al. (2004), Knowledge capture in small and medium enterprises in the construction industry: Challenges and
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192
Preliminary cost estimate model for culverts

Nikolaos Fragkakis, Marina Marinelli, Sergios Lambropoulos*
School of Civil Engineering, Department of Construction Engineering and Management,National Technical University of Athens, 9 Iroon
Polytechniou str., Zografou, GR 15773, Greece
School of Planning, Architecture and Civil Engineering, Queens University Belfast, David Keir Building, BT9 5AG, Belfast, UK
School of Civil Engineering, Department of Construction Engineering and Management,National Technical University of Athens, 9 Iroon
Polytechniou str., Zografou, GR 15773, Athens, Greece
Abstract
The construction of modern high-speed motorways has increased over the last decade all over the world. However, the financial
crisis led many financial institutions worldwide to impose stricter credit limitations and seek to finance only high-profit
investments. As a result, the financing of transport projects was made even more difficult. At the same time, accurate cost
estimates at the preliminary stages of a project are essential to all the major project stakeholders since they are necessary for the
budget determination, allocation and monitoring, the comparison of alternative projects and technical solutions and finally, the
selection of the projects to be implemented. However, the required degree of accuracy is very difficult to be achieved at the
preliminary stages due to the limited extent of available information.
This paper presents a preliminary predesign cost estimate model for culvertsi.e. conduits for the passage of surface drainage water
under the motorway. Although culverts present low construction cost when compared individually to bridges, tunnels or large
retaining walls, their total number along a motorway renders their total construction cost significant. The model utilizes a properly
developed database derived from actual construction projects to produce accurate quantity estimates by means of the statistical
technique of linear regression. Following the estimation of quantities, proper material unit prices can be applied for quick and
reliable cost estimates to be provided. The proposed model onlyrequires limited input and thus, can be used in the early project
stages, offering valuablecontribution towards the accurateculvertscost prediction in motorway projects.
Keywords: Cost estimation; Cost model; Culverts; Regression analysis
1. Introduction
The European Union (EU) considers transport infrastructure as vital to the European economy, since freight and
passenger transport are expected to grow by 80% and 50% respectively by 2050 [1]. The new EU infrastructure
policy aims at putting in place a powerful transport network across 28 member states that will streamline the free
flow of goods and services and promote growth and competitiveness. At the same time, it triples EU financing for
transport for the period 20142020 to 26 billion. Investments in transport infrastructure also contribute to the goal of
the reduction of greenhouse gas emissions in transport by 60% by 2050.
China, one of the world's biggest economies, also presents accelerating development in transport infrastructure.
According to data available for 2012 [2], investment in fixed assets reached 1,713 billion yuan with an annual 6.60%
increase, while the length of highway in operation amounted to 4.2 million km with an annual 3.20% increase.
* Corresponding author. Tel.: +30-2109343520; fax: +30-210-9343504.
E-mail address:nfragak@hotmail.com
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According to the 12th five-year development plan for integrated transportation system, the total length of highway in
operation will reach 4.5 million Km by the end of 2015. Apart from the EU and China, considerable progress has
been made by many landlocked developing countries (LLDCs), such as Kazakhstan and Kyrgyzstan, in infrastructure
development [3]. The proportion of roads that are paved in LLDCs increased from 28% to 37% in 2011. In South
America [3], the Initiative for the Integration of Regional Infrastructure in South America had 474 transportation
projects in 2012, with highway projects accounting for the largest proportion (47.50%).
Transport infrastructure projects' successful construction is mainly determined by two factors: time and money.
These projects must be completed within the projected time and budget constraints. Cost estimates prepared during
the preliminary predesign stages are used to determine the available project budget and eventually form the basis for
which the actual construction cost will be compared against. As a result, it is essential to reach preliminary cost
estimates that present the highest possible accuracy, in spite of the fact that project design is conceptual and limited
project information is available.
Culverts are generally conduits for the passage of surface drainage water under a highway. They are usually used
to drain ditches or small streams. Most culverts built in Greece are made of reinforced cast-in-place concrete in box
shapes. Precast sections are rarely used. Culverts' design and capacity is mostly dependent upon the water surface
profile and the street drainage. Culverts present a minimum slope required to achieve the necessary water velocity.
Concerning their alignment, they are usually aligned with the natural channel, while passing beneath the motorway
normal to its centerline or at an angle. Wingwalls in the culverts' ending sections are designed to prevent the
motorway's embankments from collapsing. Culverts present low construction cost when compared to large-scale
structures such as tunnels and bridges. However, every motorway includes a large number of them and as a result,
their total construction cost becomes significant for the project.
This paper presents a preliminary cost estimate model for culverts that utilizes a database derived from actual
construction projects. The statistical analysis of the collected construction and design data with the linear regression
technique led to quantity prediction models for the culverts' concrete and reinforcing steel. Following the estimation
of quantities, proper material unit prices can be applied for quick and reliable cost estimates. The culverts' remaining
cost elements can be estimated with the proposed total cost breakdown. The cost estimate model only requires limited
input and thus, can be used in the early project stages.
2. Literature survey
A reliable preliminary engineering during the pre-construction stage is the core foundation for managing roadway
construction projects in terms of fulfilling the three basic components of scope, schedule, and cost [4].In this context,
a number of research publications devoted to the development of preliminary cost estimation systems for highway
projects as a whole can be found in the literature [5,6,7]. However, regarding culverts in particular, most available
publications originate from public clients, such as state transportation agencies / departments and are usually based
on bids from projects awarded. For example, Idaho' s Transportation Department [8] provides cost per square foot
indices for the preliminary estimate of total structure cost. These values apply to new cast-in-place box culverts, as
well as to the widening of existing projects. Colorado's Urban Drainage and Flood Control District [9] developed a
cost estimating tool for master planning projects. The user selects one of the available standard culvert box sizes and
the software produces material unit and cost estimates based on standard specifications, as well as cost estimates for
wingwalls. Furthermore, several public clients have published design manuals for culverts [10,11]. These manuals
provide useful insight to engineers on the design criteria, policies and limitations and in several cases, describe
procedures for the culverts' hydraulic design. On the other hand, they rarely include specific estimates for the volume
of concrete and the weight of reinforcing steel. Arizona Department of Transportation [12] is one example of
transportation agencies that publishes drawings with details on concrete dimensions and reinforcing layout.
In addition to publications originating from the state transportation agencies, Yassin [13] presented a procedure
for the economic sizing of box culverts and formulated a set of equations for the cost estimation of 13 different box
culvert sizes. The prediction models referred to culverts of one vent and did not cover the cost of wingwalls. Essam
[14] considered specific assumptions for the soil bearing capacity of soil, the live loads, the soil properties and the
reinforced concrete and steel strength and developed a program for culvert structural design that estimated the
194
quantities of reinforced concrete for 72 different single-vent layouts. He estimated the cost using market prices for
the material quantities and performed multiple regression analysis to relate the culvert cost to different design factors.
3. Proposed Model for Culverts Conceptual Cost Estimate
The cost estimate model presented herein does not produce direct cost values of cost per surface area. These
values depend on each country's related factors and consequently, require careful parameter adjustment before being
applied to other countries. The procedure of infrastructure projects' construction (procurement method, design and
construction management), the financial condition and capacity of the construction companies, as well as financial
factors (economic growth, inflation rate, financing conditions) are typical examples of these parameters.
The proposed conceptual cost estimate model for box-shaped cast-in-place concrete culverts involves firstly,
prediction of the most significant material quantities and secondly, estimation of the construction cost.The processing
with statistical techniques of data collected from recently constructed structures, leads to prediction models for the
quantities of concrete and reinforcing steel. The construction cost is then derived by multiplying the estimated
quantities with the unit prices specified by the user. The cost of the remaining construction activities is estimated
with the proposed total cost breakdown derived from actual structures.
4. Database development
Material quantities and design parameters were collected from recently constructed structures as part of the
Egnatia Motorway and the Motorway of Western Greece named "Ionia Odos". The data were collected from the final
bill-of-quantities tables formed after the structures' construction and not from the initial design studies, in order to
record as-built information that includes all design changes during the construction phase.
The collected data from 104 culverts were stored in a database. The material quantities for all construction
activities were recorded. These activities include the unreinforced concrete for smoothing the ground, the concrete
and steel reinforcement for the culvert, earthworks (excavations, backfilling and soil enhancement), concrete surfaces
finishing (anti-pollution coating, water-proofing membranes and asphaltic coatings), joints sealing and drainage
(pipes, geotextiles, filling material). The database also includes the fundamental design parameters for each structure
and in particular the culvert's net width and height, the seismic zone according to the Greek standard for earthquake
resistant structures and the overburden height of ground.
The structures included in the database were designed with the German DIN codes. The Greek standard for
earthquake resistant structures was used for earthquake loading. The culverts are made of reinforced cast-in-situ
concrete and have rectangular box shapes, with constant cross-section throughout their length. They include a bottom
slab, two side walls and a top slab, as well as wingwalls in the structures' ending sections. The culverts' net width
ranges from 2.00 to 8.00m, the net height ranges from 1.50 to 4.15m, while the overburden height of ground ranges
from 0.50 to 27.00m. The structures total length fluctuates between 8.00 and 126.90m.
5. Cost Breakdown
The activities involved in the construction of a culvert were subdivided in three categories: earthworks, structure
and miscellaneous. Earthworks include excavations, backfilling and the soil enhancement layer. The structure
category refers to the construction of the main structure (i.e. the box) with the wingwalls, while the miscellaneous
category includes all remaining cost items. The material quantities for all construction activities recorded in the
database were multiplied with the official unit prices determined by the Greek Ministry of Public Works in order to
determine the total cost for each activity.
Table 1 presents for all culverts the three cost subcategories as percentages of total construction cost. The structure
represents the most important cost item accounting in average for 70.93% of the total cost. Earthworks and
miscellaneous activities represent in average 18.23% and 10.84% respectively of the total cost. All cost categories
present low variance.
195
Table 1. Culverts' sub-costs as percentages of total cost
MIN
Earthworks
Structure
Miscellaneous
13.15%
69.56%
9.61%
MAX
20.38%
74.60%
12.86%
AVERAGE
18.23%
70.93%
10.84%
STD
3.20%
1.96%
1.31%
6. Material prediction model development

The prediction models for the quantities of concrete and reinforcing steel should take into account the parameters
with the most substantial impact on the design. Culverts' design is generally affected by numerous variables related to
the structure and the specific site. In order to select the most influential parameters, several interviews were
conducted with civil engineers with significant experience in bridge design, structural experts and academics. These
interviews highlighted the culverts' design process. First, the designer considers the hydraulic conditions of the
stream(e.g. water profiles, flood data) and the motorway alignment, in order to calculate the water discharge and
velocity and the critical depth and finally determine the necessary clear width and height of the culvert. The
dimensions and steel reinforcement of the culvert are then calculated based on the site's seismic conditions and the
overburden height of ground. Wingwalls are typically suspended from the side walls of the culvert.Theirdesign
depends on site-related factors, such as the ground morphology, as well as on the height of the culvert.
To sum up, the experts identified the net height (hnet), the net width (bnet), the height of the overburden (hover) and
the seismic conditions as the parameters with the most substantial impact on the design of the culverts' box.
Hydraulic conditions are included in the aforementioned parameters, as they are used for the calculation of the
culverts' net dimensions. The culverts database does not currently include satisfactory data samples for all seismic
zones of the Greek earthquake resistant structures standard. The largest part of the sample has been designed with
similar seismic parameters. Consequently, the earthquake conditions are excluded from the proposed material
prediction models. The net height and width and the overburden height are selected as independent variables in the
statistical analysis, while the volume of concrete (Vc) and the weight of reinforcement steel (Bs) are the two
dependent variables. Since the culverts' cross-section remains constant throughout the structures' length, the
quantities of concrete and reinforcing steel of the box are expressed in terms of one meter culvert length.
6.1. Statistical analysis
The examined regression model is linear, of the following form:
Y = a + bo bnet + b1 hnet + b2 hover
(1)
where Y stands for the dependent variables (Vc and Bs) and hnet , bnet and hover are expressed in meters.
The methodology followed for the regression analysis includes statistical hypothesis tests to check the
significance of the overall models and the independent variables, combined with a rationality check of the regression
coefficients. The adjusted coefficient of determination (R2) provides a measure of the total variability explained by
the model. The F-value checks the hypothesis that the regression model does not explain the dependent variables and
as a result, its coefficient of determination is zero. The F-significance denotes the probability that this hypothesis is
true. Statistical hypothesis test is additionally performed to check the significance of the independent variables. The
p-values express the probability that each independent variable has no effect on the dependent variable and its
regression coefficient is zero. Finally, the models' regression coefficients are checked for theoretical correctness.
Table 2 presents the regression statistics for the two models and in particular, the R2, the results of the F-test (Fsignificance, F-value) and the p-values for the independent variables. The following equations provide predesign
196
estimates for the volume of concrete and the weight of reinforcing steel for concrete cast-in-situ single box-shaped
culverts.
Vc = -4.083 + 2.459 x bnet + 0.673 x hnet + 0.216 x hover
(m3 per 1m. culvert length)
(2)
Bs = -562.023 + 284.674 x bnet + 98.080 x hnet + 20.913 x hover
(kg per 1m. culvert length)
(3)
Table 2. Regression statistics

Vc
Bs
R2
0.908
0.844
F-value
290.654
159.436
F-significance
1.455E-44
8.499E-35
p-value bnet
4.578E-34
1.580E-25
p-value hover
1.126E-19
1.020E-10
p-value hnet
0.007
0.011
The volume of concrete and the weight of steel reinforcement per one meter culvert length estimated with
equations 2 and 3 respectively include the box of the culvert, as well as the wingwalls.
6.2. Testing the linear regression assumptions
The R2 values for the two regression models exceed 84% and indicate that the proposed models explain the most
substantial part of the total variability. The F-significance and the p-values verify that the regression models and the
independent variables respectively are statistically significant at a 5% significance level. The regression coefficients
of equations 2 and 3 are positive and consequently, theoretically correct.
Multicollinearity is the situation where the independent variables of regression modeling are highly
intercorrelated. High levels of multicollinearity may lead to large variances and standard error of the ordinary least
squares estimators (regression coefficients), wider confidence intervals, wrong signs for regression coefficients,
deceptive results in terms of statistical significance and increasing difficulty in assessing the individual contribution
of each independent variable to the overall model fit [15]. The potential existence of multicollinearity was initially
investigated with the Pearson product-moment correlation coefficients. The variance inflation factor (VIF) was also
explored as additional indicator of multicollinearity. Auxiliary regressions in which each independent variable was
regressed on the other independent variables were performed, in order to determine the relevant coefficients of
determination and finally calculate the VIF. The Pearson product-moment correlation coefficients among the
dependent and independent variables, as well as the VIFs are presented in Table 3. The values of VIF are
significantly smaller than the suggested by Chatterjee and Price [16] value of 10, while the pairwise correlations
among explanatory variables are relatively low, indicating that multicollinearity did not cause problem for the
models.
The assumptions of the correct application of the regression methodology require the error term of the model to
be normally distributed, have a mean value of zero and a constant variance [15]. The pattern of several types of
residual plots was investigated and indicated the normality of the error terms. The assumption of normality was also
tested with the use of the Jarque-Bera test [17].The skewness and kurtosis of the two residual samples were initially
determined. The test statistic for both samples was calculated. It did not exceed the critical chi-square value of 5.99
for two degrees of freedom and 5% significance level and verified the normality assumption of the error terms.
Furthermore, the mean value of the residuals approached the value of zero. The constant variance of the error terms
(i.e. homoscedasticity) was tested with White's general heteroscedasticity test [18]. The test's auxiliary regression
was performed and the test statistic that equals the product of the sample size with the R2 of the auxiliary regression
197
was calculated. The probability of obtaining the chi-square value of the test statistic exceeded the selected level of
statistical significance (5%) in both cases and ledus to accept the null hypothesis of no heteroscedasticity.
Table 3: Pearson product-moment correlation coefficients and VIF for the data sample
Vc
Bs
hover
bnet
Vc
1.000
Bs
0.928
1.000
hover
0.306
0.376
1.000
bnet
0.818
0.820
-0.123
1.000
hnet
0.667
0.681
0.336
0.512
hnet
VIF
1.301
1.565
1.000
1.738
7. Conclusions
The proposed preliminary cost estimate model for culverts includes first estimation of the quantities of concrete
and reinforcing steel of the structure and then prediction of the relevant costs by applying the proper unit prices.
Actual construction data gathered from recent projects were statistically analyzed with linear regression in order to
derive the material quantity prediction models. These models require as inputs the culverts' net width and height, as
well as the overburden height, data available during the early design project phases. The unit prices for concrete and
reinforcing steel are specified by the user and enable the proposed cost model to produce different estimates
according to the user. The proposed culverts' total cost breakdown is used to derive the remaining cost elements
(earthworks and miscellaneous). The cost estimate model is based on actual as-built data and produces reliable
results. It can be used in the early project stages and constitutes a valuable tool for the projects' stakeholders.
References
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198
Construction delays in clients opinion Multivariate statistical

analysis
Micha Guszak; Agnieszka Leniak *
Cracow University of Economics, ul. Rakowicka 27, Krakw, 31-510 Poland
Cracow University of Technology, ul. Warszawska 24, Krakw, 31-155 Poland
Abstract
Timely implementation of construction works (at the scheduled time) is vital for both the investor and the contractor. Yet
construction projects, even those perfectly planned and organized, run the risk of delays. Despite many tools supporting
construction management, delays keep occurring in construction projects. The present paper presents the findings of a survey
aimed at identifying the most important causes of delays in construction works from the clients perspective. A factor analysis that
was performed allow to interpret the dependencies between them. The knowledge can be helpful for minimizing the risk of
delays.
Keywords: delays in works; statistical analysis; questionnaire survey
1. Introduction
The course of the construction process within a given time is shaped by numerous factors which are frequently
predicted already at the planning stage. However, there exists a group of factors that are rather hard to foresee, such
as weather conditions, breakdowns or suppliers incompetence. The risk that unexpected events and problems will
occur, which will potentially lead to delayed works completion or even discontinuation of the investment, concerns
also these projects that are carefully prepared and organized. Identification of construction risk factors, based on both
subjective and objective measures, can be used to optimize agreements between investor and contractors [20]. At a
micro-level construction industry in most countries in the world is based on relations between investors, project
managers, contractors and other parties, and many factors that affect its dynamics are common [e.g. 17].
Some of the first studies into the causes of delays in construction works were performed in the 1970s in the United
States [4]. Seventeen factors causing delays were specified. They included: weather conditions, availability of labour,
participation of subcontractors, design changes, quality of design documentation, foundation conditions, availability
of materials, equipment failures, execution errors, construction inspections, financial issues, obtaining relevant
permits and others. Further research locations included Turkey [3], the UK [15], Nigeria [1] Thailand [19]. As a
result of more frequent and more extensive studies, new delay factors were identified. Ultimately, more than a
hundred of them were listed and classified. The simplest breakdown into three groups of factors was proposed in
[18]. A much broader breakdown was proposed in study [7], in which eight groups were identified. The most detailed
breakdown suggested so far was presented in study [19].
* Corresponding author. Tel.: +48-12-628-23-09; fax: +48 12 628-30-93

E-mail address: alesniak@izwbit.pk.edu.pl
199
The present article describes the results of research performed among Polish public investors. One of its aims was
identification and prioritizing factors that investors believed to cause delays in works implementation. A factor
analysis allowed to present an output set of observed variables in terms of a smaller number of latent variables, and
enabled an interpretation of the dependencies between them.
2. Delays in construction works
In the construction industry, a delay can be defined as exceeding the date of works execution which was defined in
the contract. For the investor, a delay may mean an inability to obtain the benefits of the investments at the
scheduled time. In special situations, it may even turn a profitable venture into an unviable project. For the
contractor, on the other hand, delays may cause the costs of works to become higher than planned. In extreme cases
this can lead to a situation in which, instead of a planned profit, the contractor incurs losses. In addition, untimely
completion of the project exerts an impact on the contractors image on the construction market, namely the
perception of their credibility and reliability. In terms of the cause, delays can be divided into two groups: justified or
unjustified; moreover, partly responsible (suffering the consequences) can be either the investor or the contractor.
Justified delays are usually through the fault of the investor and may be subject to compensation. During the
execution of works, interference with and modification of the design documentation often occurs. This is a result of
changes made during the execution of works or errors made at the design stage [9]. Extending the time needed to
prepare the author's supervision may cause delays in the execution of works. The investor's interference in the
competences of the contractor, modifications of earlier findings and a long decision-making process are further
reasons leading to possible delays.
There can also be delays which are justified but are not subject to compensation, since none of the parties are
responsible for their occurrence. Such delays include weather conditions, changes in legislation and other random
events. Random cases include theft, failures and technical problems in the construction equipment used, occurrence
of archaeological excavations, explosives found etc. Some of them are related to the need to perform time-consuming
procedures and processes.
An entirely different group includes unjustified delays, the responsibility for which usually rests with the
contractor. In this case, however, the contractor is not authorized either to extend the deadline for the project or to
receive a salary. Contractor-dependent factors are associated primarily with the availability of resources, proper
organization, supervision and experience. What is essential for the smooth operation of the construction process is the
efficiency of the administration of the management team, including the proper control and supervision over the
execution of works and experience of the contractors in the implementation of the particular types of projects. This
group also includes subcontractor actions. Yet responsibility for any delays caused by subcontractors always belongs
to the general contractor. It is worth mentioning that for a smooth construction process, the relations between the
various participants in the project are vital [13]. Limited or inadequate flow of information between the investor,
contractor and designer, frequently occurring conflicts or difficult and lengthy negotiations can also cause delays.
3. Causes of construction delays in Poland a survey
The research received the form of an online survey. An online questionnaire, as the research tool, was used and
the respondents from all offices in all communities received a link to it by email. As many as 967 completed
questionnaires (40% of returns) were received, among which some had to be rejected due to their incompleteness.
Eventually, the survey included 927 relevant questionnaires.
The survey consisted of two parts. The first one contained seven closed-ended questions for the initial diagnosis of
the problem. One of the first questions concerned the most common causes of delays in construction works. The
second part of the survey offered a list of 18 factors that caused delays in construction works. The respondents
evaluated, among others, the different levels of priority of the factors proposed. Their opinions were expressed
numerically using a five-point scale where: 1 meant invalid, 2 less important, 3 of average importance, 4
important, 5 very important. Then, for each of the factors, average results were calculated thus giving the response
a particular rank, which allowed to create a ranking of the proposed factors.
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Figure 1 illustrates the results of studies by presenting the sequence based on importance and rank. For the sake of
clarity, only the first ten of the eighteen factors proposed were included.
Fig.1 The main causes of delays order of the importance
Figure 1 reveals that, according to the clients, the most significant factors causing delays in construction works
are mistakes in design documentation (average evaluation: 4,05). Non-uniform studies, lack of annotation or details
in the drawings were mentioned as the most frequent problems that contractors have to face. They are, therefore,
constantly forced to consult the designer thus prolonging the construction execution time. Another factor concerned
the quality of workforce (average evaluation: 3,73) and poor weather conditions (3,70). Factors that were considered
less vital included contractors lack of access to modern technologies (2,63) and investors delays in payments to the
contractor (2,66).
4. Factor analysis of the expert opinions obtained
The literature provides various classification of delays in construction works [2], [7], [18], [19] some of which is
not based on empirical studies. This article employs factor analysis which belongs to basic methods of multidimensional data analysis. Its aim is to depict an output set of observed variables in terms of a smaller set of latent
variables which cannot be directly observed. In this approach the observed variables Ki can be represented by linear
functions of latent common factors Fk and a set of unique factors Ui, which characterise each particular variable [16].
The algorithm of factor analysis consists of a number of stages:
1)
Determining whether the variables satisfy the assumptions of factor analysis. To do so Bartlett's test of
sphericity [5] is used, as it allows to check the hypothesis of independent variables. Another method involves the
computation of the Kaiser-Mayer-Olkin measure specifying the closeness of the relationships between observable
variables (on a scale from 0 to 1). In practice it is assumed that the factor model can be used when the KMO value is
greater than 0,5 [16].
2)
Selecting a factor model (method) and evaluating factor loadings. The factor analysis was performed by
means of a method of the greatest reliability [8] in which factor loadings are specified in such a way that the
probability of the models interpretation of the correlation coefficients of observed variables was the greatest.
3)
Determining the number of factors. Establishing the number of factors seems rather subjective, although
many studies provide a few criteria and techniques facilitating the researchers decision. One of them is the criterion
of the minimum eigenvalue proposed by Kaiser [11] which assumes that the analysis should include only these
factors whose eigenvalue is greater than 1. Another common criterion is Cattells scree test [6]. This method is based
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on the interpretation of a scree plot with eigenvalues as the Y-axis and the corresponding components as the X axis
joined with a line. The task is to find a break point marking the boundary between the hypothetical steep slope and a
levelling off.
4)
Rotation of factors. The subsequent step in the research is usually factor rotation which aims at facilitating
the interpretation of the results obtained. There exists a considerable number of rotation [12]. Regardless of the
rotation method chosen, the share of the factors in the explanation of the common variance of the variables in the
model is unchanged [16]. The study used Varimax rotation, which minimizes the number of variables having high
factor loadings. This facilitates the interpretation of particular latent factors [10].
4.1. Factor analysis for the importance of reasons for construction works delays
The Bartlett's test of sphericity disproved the zero hypothesis stating that the correlation matrix was an identity
matrix. Thus it was assumed that the statistical correlations between the variables could undergo the next analysis.
An additional proof was provided by the Kaiser-Mayer-Olkin criterion whose value equal to 0,934 suggested that the
empirical data are well suited to the factor analysis. Another step involved the determination of the number of factors
by means of the scree test (Fig. 2) and Kaisers criterion. With these criteria under consideration, a solution with
three factors (F1, F2 and F3), each with the value greater than 1, was adopted.
Fig.2 The scree plot
Such solution allows to explain about 52,9% of the variance of the variables in the factor model. The contribution
of the other factors is rather insignificant. To facilitate the interpretation of the results, the factors underwent
orthogonal rotation in terms of the Varimax method with Kaiser normalisation. Table 1 presents the correlations of
individual factors with the original variables representing expert evaluations of the importance of particular criteria
for the potential delays in construction works.
Table 1. A matrix for the rotated factors (importance of the reasons of delays)*. Source: research-based own study
Factors influencing delays
F1
F2
F3
K1 Mistakes and inconsistencies in the design documentation
,273
,349
,006
K2 Changes in the project under implementation requested by the investor
,056
,453
,087
K3 Investors delay in payments to the contractor
,141
,482
,312
K4 Investors difficulties in obtaining funds to finance the investment
,064
,486
,303
K5 Workforce quality hiring untrained workers
,544
,170
,313
K6 Adverse weather conditions
,204
,297
,167
K7 Delays in the supply of materials
,313
,352
,484
K8 Poor quality of the management and supervision of the construction
,631
,202
,330
202
K9 Ineffective planning (including the development of schedules)
,501
,267
,400
K10 Unforeseen changes in the existing law
,234
,439
,451
K11 Contractors lack of access to modern technologies
,253
,250
,675
K12 Insufficient necessary equipment at the construction site
,497
,197
,559
K13 Poor relations between the investor and the contractor
,438
,504
,296
K14 Investors slow decision-making
,346
,604
,316
K15 Personnel changes of contractors key staff
,518
,331
,340
K16 Difficulties in obtaining the necessary permits to implement the works
,260
,522
,239
K17 Unrealistic (too short) period of project implementation
,407
,556
,145
K18 The contractor companys internal problems
,680
,172
,098
*Method of establishing factors the greatest reliability. Rotation method Varimax with Kaiser normalisation (rotation
reached convergence in 10 iterations). The correlation coefficients greater than 0,4 are in bold.
The F1 factor is positively correlated with expert evaluations of the importance of such reasons for delays as: low
quality of the workforce, low quality of management and supervision on the construction site, ineffective planning,
internal problems of the contractor company, changes of the key personnel, poor relations between the investor and
the contractor or the insufficient amount of the necessary equipment on the construction site. It can be said that these
reasons of delays are wholly (or at least partially) related to the contractors activities or neglect.
The F2 factor is positively correlated with expert evaluations of the importance of such reasons for delays as:
investors slow decision-making, unrealistic time of the project implementation, difficulties in obtaining the
necessary permits, poor relations between the investor and the contractor, changes to the project under
implementation that the investor introduced, delays in payments to the contractor or investors financial problems.
Here it is evident that the reasons for delays are related to the activities, or their lack, on the part of the investor. In
the case of one variable, the poor relations between the contractor and the investor, significant correlations with both
factor F1 and F2 were observed, though the latter was higher (0,44 and 0,5 respectively). This seems logical, as the
relations between the contractor and the investor naturally require the commitment of both parties.
The F3 factor is positively correlated with expert evaluations of the importance of such reasons for delays as:
delays in the supply of building materials, unforeseen changes in the existing law, the contractors lack of access to
modern technologies and insufficient amount of necessary equipment and tools on the construction site. This group
includes the reasons which wholly, or at least partially, remain beyond the contractors or investors influence. The
existence of these external reasons for delays may be random, not caused by errors or neglect of the parties engaged
in the construction project.
The summary of the factor analysis results based on the experts evaluation of the importance of the individual
reasons reveals three basic categories of delay in construction works: (1) caused by the contractor, (2) caused by the
investor and (3) external.
5. Summary
Twelve factors out of eighteen presented in this article were evaluated as important the average evaluation
ranged from 3,5 to 4,5 points. The study included only one group of participants in the investment process, namely
the investors. Therefor it was expected that the evaluation of the proposed reasons for delays of construction works
would be subjective at times. Such a situation could occur in the case of the assessment of the investors delay in
payment to the contractor. This factor was indeed considered as one of the least important and the least frequent,
while the studies involving contractors [14] it took the third place. The investors believed that the most significant
factor influencing delays in construction works was the one concerning errors in design documentation (average
evaluation: 4,05). The research among contractors [14] indicated exactly the same factor as the most vital. It may be
concluded that the investor, being the one responsible for providing the project design, should pay extra attention to
its accuracy and quality of development before the construction begins.
The statistical methods of analysis and evaluation of data proved a sufficient compliance of experts opinions,
despite a large research group (927 investors). Factor analysis helped to distinguish three main latent factors of
delays in construction works: (1) a factor involving activities and neglect, (2) a factor associated with investor
problems and (3) a factor connected with external circumstances on which the parties of the contract have a limited
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or no influence. The factors specified by the exploratory analysis of empirical data partially overlaps with a priori
classifications which can be found in literature.
References
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Management,132 (7) (2006) 667-677.
[2] A. Al-Kharashi, M. Skitmore, Causes of delays in Saudi Arabian public sector construction projects, In Construction Management and
Economics, 27(1) (2009) 323.
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[6] R. B. Cattell, The scree test for the number of factors, Multivariate Behavioral Research, 1 (1966) 245-276.
[7] A.S. Faridi, S. M. El-Sayegh, Significant factors causing delay in the UAE construction industry, In Construction Management and
Economics, 24 (2006) 1167-1176.
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[9] M. Juszczyk, R. Kozik, A. Lemiak, K. Zima, E. Plebankiewicz, Errors in the preparation of design documentation in public procurement in
Poland, Procedia Engineering 85 (2014) 283-292.
[10] H.F.Kaiser, The Varimax Criterion for Analytic Rotation in Factor Analysis, Psychometrica, 23 (1958) 187-200.
[11] H.F. Kaiser, An Index of Factorial Simplicity, Psychometrica, 39 (1974) 31-36.
[12] J.O. Kim, W. Mueller, (1978) Factor Analysis, Statistical Methods and Practical Issues, Sage University Paper, Beverly Hills
[13] A. Leniak, Wsppraca partnerska generalnych wykonawcw z podwykonawcami/Main contractors-subcontractors partnership, Prace
Naukowe Instytutu Budownictwa Politechniki Wroclawskiej, 91 (2008) 105-112.
[14] A. Leniak, Przyczyny opnie budowy w opiniach wykonawcw/Causes of construction delays from the viewpoint of contractors,
Czasopismo Techniczne, 2 (2012) 57-68.
[15] C.S. Lim, M.Z. Mohamed, An exploratory study into recurring construction problems, In International Journal of Project Management, 18 (3)
(2000) 26773.
[16] T. Panek, J. Zwierzchowski, Statystyczne metody wielowymiarowej analizy porwnawczej, Teoria i zastosowania, Oficyna Wydawnicza
SGH, 2013
[17] M. Paziak, A.I. Szymaska, Construction Sector in the Czech Republic and Poland: Focus on the Housing Segment in Selected Regions.
Entrepreneurial Business and Economics Review, 2(2) (2014) 47-63.
[18] G. Sweis, R. Sweis, A. Abu Hammad, A. Shboul, Delays in construction projects: The case of Jordan, In International Journal of Project
Management, 26 (6) (2008) 665-674.
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26 (4) (2008) 395-408.
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Optimization of building operational cost in the preparation process

of public investment project
Dr. Istvn Hajnal
BUTE, Budapest, Hungary, drhajnali@gmail.hu
Abstract
Currently, governments are deeply involved in public investment projects to promote economic growth from the recession. Public
building projects (such as museums, universities, theatres and so on) compared with private investments, have a row of
specialities. Among other requirements, the project should serve political, cultural, social and urban interests. In the preparation
phase, those interests are dominant and overall cost-efficiency is only a secondary level decision factor. However, this factor must
be taken into account and - together with all other requirements - must be the significant part of the project preparation phase.
A number of methods are well known for operational cost optimisation as LCC analysis, Value Engineering, benchmarking and
others. After close investigation of the scientific literature, the author will describe potential organisational models, which are
applicable to incorporate evaluation and optimisation of building operational costs. This process must be a part of a wellestablished feedback mechanism, which incorporates public requirements, building cost calculation, and other decision making
factors related to the public investment project. The article will be illustrated with current experience and will suggest further
research direction.
Keywords: LCC, operational cost, optimization public building, public investments, project preparation.
1. Introduction
Present article is about the preparation works of public investment projects and in particular, the organisational
integration works of preparations for further operation and facility management. Nowadays, the public investments
are in increasing focus. Governments frequently choose to increase the volume of community investments as a tool
of recovery from recession, let it be either the development of infrastructure or construction of welfare facilities.
Such public investments like hospitals, museums, stadiums have numerous special attributes in which they differ
from the business development of the private sector. Because of these specialties, the preparation works of
investments cannot be managed according to the usual business standards. There is no doubt that in case of business
aimed investments even if it would be more required -, the demand system of future facility management is not in
focus. The still slightly known FM standard, EN 15221-5 2009 (Processes in FM) places the financial budget in the
middle of the planning of facility management. Basically, such approach corresponds with the method of the
business planning. The business case is searching the optimum of the overall all-time investment and facility
management costs and the net present value (NPV) of the future income. In the interest of the reach of this optimum,
the construction works are planned iteratively, decisions are made on the concept of the utilisation and plans are
made of the overhead cash-flow. Firstly, I make an overview of the literature on preparation works of facility
management of private investments in my article. I will introduce the observations of certain studies that are already
made during elaboration of facility management of infrastructural public investments. At the end of my article, I will
put down the steps of the further research.
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2. Specialties of public sector investments

The method of the preparations of public investments does not (or does not necessarily) match with the
procedures applied at investment works of the private sector. Jalocha [1] in his article analyses for example, that a
project manager working in the public sector supposed to have additional competencies than a project manager
among market conditions. No doubt that the public investment actors, sponsors, partners make their decisions by
complex criteria, meaning their actions are not only determined by the net present value criteria (saying, the degree
of the profit). There has always been a debate on measurement of value within the public sector, namely whether the
Market Value can be an unequivocal decision-making criteria, or, the investment decisions are to be made along
other forms of value such as utility, social compliance, aesthetical value etc. This question arose in the actors of the
private sector only after the real estate market crisis, as discussed in the article of Oliomogbe et al in 2012 [2].
In community sphere, decisions are made by more people within a longer period of time while the willingness of
taking risks is lower. As projects are financed from common funds, the control mechanisms and compliance with
such principles are much more important. Specifically, certain public investments are commenced by political
motivations and aims, later, following the handing over, the project sponsors consider the aims completed and the
maintenance and facility management become a nuisance. Rosts [3], while describing the public investment system
plan, finds that the specialties of common investments are, that they are realized not for financial, but for social
profit.
Naturally, public investments can be segmented, described by location, by extent, by function and by much more
factors than certain investments of the private sector.
3. Getting ready for facility management during preparations of investments why needed?
It is a professional clich that in case of an average building, the initial investment costs make 20% of the total
life-cycle costs, while 80% make the total costs of maintenance during the existence of the building in question. This
fact was called to experts attention after the happenings of the real estate market, the recession and the following
Seven Lean Years, and put the focus on the so-called total facilities management. Zhen in his fresh article [4]
notes the following of total FM: In the past several decades, the revolution of integrated lifecycle management of
built assets has made the facilities management (FM) one of the most fast-growing profession in the global
construction industry with regard to clients diverse needs and demands, ...
There is another new throw out of the classical project management axioms that the effectiveness of the
investment project, namely the triumvirate of the time scope budget is not the same as the measurement of the
success of the project. Serrador and colleagues [5] in 2014, examined 1386 projects after their completions and found
that only the 60% of the projects were effective in the meaning of project management. Mainly because of the fact
that the good quality of realization is not a guarantee for the effective and good functioning; it might not fully match
with the demands of the end-users.
As it is mentioned in the introduction, the pre-planned assurance of the effective operations has never been a
primary consideration in private sector investments; facility management, in general, has never been in focus during
the course of planning. The scientific researches in this field have liven up as the question of sustainability came into
view, since more and more decisions had to be made during the planning works on further utilization.
In many of his articles, Both (vide f.e.[6]) discusses the questions of effects of the engineers programme planning
on the total life-cycle of the building. According to the author, the project can only meet with the highly complex
sustainability requirements if all expectations of all stakeholders are structurally and in details collected. Both
suggests to use a spatial data collection software for the survey of requirements. Vainer [7] certified the well-known
fact of the necessity of regular maintenance works by statistics, in the interest of the keeping of the planned
utilization period of time.
Lu and his associates [8] in their article call to the attention that in the interest of providing sustainability, the
functional, environmental and economic requirements of the full life-cycle are supposed to be integrated among the
206
targets from the beginning of the planning process. Not only physical but life-cycle parameters are needed to be
optimised. For this purpose, they worked out a model for the flow-based evaluation system, suggesting that in case of
certain planning assignments, this approach is to be introduced in the early phases according to users demands. The
flowchart in Lus article explains the process of the designers feedbacks. (Figure 1)
Figure 1: Flowchart of designers feedbacks (based on [8])
4. Provisions for facility management at the phase of preparation works of investments how to?
Every (private) investment is preceded with a business plan containing incomes and expenditures and their risks.
The numbers of the business plan are suitable to determine the total costs, namely, the whole-life cost of the total of
the establishment, considering the forecasts in respect of the whole-life period of the building. The ISO standard [BS
ISO 15686-5:2008] discusses the life-cycle of the buildings; Part 5 covers the life-cycle planning. According to
BREEAM assessment method, the above standard is to be applied in the process of the green life-planning.
The first part of the mentioned standard introduces the so-called Factor Method. Within this method, the average
expected lifetime is modified with factors like the quality of the components, the level of the planning or the method
of the maintenance. Hoyde [9] in his article discusses the practical utilisation of the theoretical environment of the
standard, more specifically, he writes about the difficulties and states that the wider introduction can only be happen
in parallel with the wide spreading of the integrated life-cycle planning. Many models are suitable for the
calculations of the life-cycle costs (LCC); Plebankiewicz and his partners [10] examined the study cases in the
scientific literature according to their chosen methods. They stated that the differing results of the different methods
a (also) caused by the fact that the examined criteria are different at the certain methods even if their aim is to
calculate the LCC.
Kohler and his co-author [11] suggests the early introduction of the integrated life-cycle model during the
planning and preparation works in the interest of the higher success of green investmens. During their examinations,
they illustrate the objective as a complex, n dimension matrix of sources as input and planned emissions. For this
purpose, they developed a program called LEGOE. From the early runs they realized that integration needs more
time and claims, therefore they believed that the spread of their approach would have taken approximately 10 years.
Unfortunately, today we have to believe that the concept will be widely known only within another decade.
207
Lizzarde and his counterparts still emphasize in 2011 that within the acquisition processes of investments, the
complexities of points of view and the organisation of the clients are regularly disregarded [12]. They suggest
constructing different organisational models that can be changed according to the inner power relations of the
organisation of the client, according to the combination of the internal pressure group.
5. Experiences in public investments
The scientific literature discusses less on public investments as as it is written by Rosts, article [3] their
preparation works of investments, their business plans are prepared along a complex target system. The
researchers completed the examinations of less complicated, infrastructural investments, where the target system, the
social utility is easily interpretable and can be matched with a one-dimension financial criterion. Mery and his
colleagues, for example, developed a software environment for LCA-based optimisation of planning of water
treatment plants in 2013 [13]. Bridges as public investments, for instance, can be easily estimated in the point of
view of the amount of maintenance costs. Safi in his PhD thesis [14] presents that which optimisation potentials
stand for which preparation phases within the life-cost planning. His table on bridge structures might be a good start
in case of working out public investment project with more complicated targets. (Figure 2).
Figure 2: Optimisation potentials in several preparation phases (based on [14])
The study of Perera et al [15] emphasizes the necessity of LCC analysis in case of public investments as well.
Among more complex targeted projects, Lee and his colleagues [16] prepared the renovation alternatives of a
museum. It was an one-dimension, cost based examination by analyzing life-cycle costs. The study case examining
only economical points of view highlights that in case of public investments, along with the cost dimension, the other
dimensions of target implementations should be integrated into the procedure such as visitors experience, public
values or increasing knowledge capital.
6. Suggestions
A certain mutual learning process can be observed between private and public sectors. Within the public sector,
the measurement of value had always been a discussion topic, namely, whether the Market Value can be an
unequivocal decision-making criterion. This question arose only after the real estate recession among the private
sector actors, referred by the article quoted [2] of Oliomogbe and others. Parallel to that, theoreticians of the public
208
sector turn more and more towards economy-based decision making, within this, the complete life-cycle planning of
investments, vide the quoted writings of Perera, Plebankiewicz, Mery, Safi and Lee.
This learning project in present topic is to be continued. The already explored connexions of private investments
are to be transferred to the field of public investments as well. At the same time, we cannot disregard that the target
criteria of the public investments have multiple dimensions and even though the cost analysis is very important
among these dimensions, not the net present value is the sole decision-making criterion. As it is important at private
investments, it is also important in case of public investments that, the preparation process be integrated phase by
phase and the feedback is ensured in every phase.
I suggest that the research be extended in the interest to explore the connections (switches) between variables of
the maintenance and the values of the multi-dimensional target criteria. Planning, calculating and feedback of the
life-cycle costs in every step of the process of investment preparation works, just like a switch, help to optimise the
present value of the cash-flow. Further switches explaining contexts of aims and maintenance during the preparations
of public investments can optimise contexts between multi-dimensional target criteria and maintenance costs within
an appropriately sectioned process supplied with feedback mechanism.
References
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Manchester, UK, April 2005
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Canadian Design Engineering Network Conference, McGill University, Montreal, QC. July 29-30, 2004
[9] Hovde, P. J. (2002): The Factor Method For Service Prediction From Theoretical Evaluation To Practical Implementation; 9th International
Conference of Durability of Building Materials and Components, Brisbane, paper 232
[10] Plebankiewicz, E., Zima, K., Wieczorek, D. (2015): Review of Methods of Determining the Lyfe Cycle Cost of Buildings; manuscript under
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design of water treatment processes. International Journal of Life Cycle Assessment, 18 (5), 1062 - 1070. DOI : 10.1007/s11367-012-0541-5
[14] Safi, M. (2013): Lyfe-Cycle Costing, Application and Implementations in Bridge Investment and Management, Doctoral Thesis, KTH
Architecture and the Built Envoronment, http://www.diva-portal.org/smash/get/diva2:660312/FULLTEXT03.pdf, accessed 25.03.2015
[15] Perera, O., Morton, B., Perfrement, T. (2009): Lyfe Cycle Costing in Sustainable Public Procurement: A Question of Value. A white paper
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Conference on Sustainable Building Asia, Seoul.
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The determination of the market value of works in progress

Dr. Istvn Hajnal
BUTE, Budapest, Hungary, drhajnali@gmail.hu
Abstract
One of the most apparent signs of the international real estate crisis is the many unfinished construction investments. The various
states and professional organizations are attempting to mitigate investment risks with regulations and methodology instructions,
and, thus inspiring new confidence, to kick-start financing, which is the engine driving the real estate market. New methods and
approaches are necessary in the area of real estate valuation also, to ensure that the market value of works in progress could be
accurately determined at all times, thereby facilitating the management of risks and reinforcing the confidence of the investors.
The author of the article reviews and evaluates the methods with which the value of works in progress can be estimated well, and
which can replace the static, simplistic approach currently used by appraisers. While comparative methodology is not suitable to
tackle the problem, as the first practical step, in the net replacement cost based valuation approach the Market Value of the land,
as value-forming factor, must continuously be examined. The income-based calculation approach can easily be made suitable for
the determination of the Market Value of works in progress.
Keywords: Real Estate; Risk Mitigation; Work in Progress; Valuation
1. Introduction - The Problem

This article discusses a real estate valuation issue in an area which has not been explored by the relevant
valuation and project management professional literature, even though the importance of this problem has been
accentuated by recent events in the real estate market and the countless unfinished investments ensuing from these
market processes. In this article, the author also examines these real estate market processes, in order to ensure that
the methodology suggestion offered by him is adequately supported. The methodology problem to be solved is the
valuation of works in progress, because at present the investors and financers cannot receive an adequate view of the
current Market Value of the development while the implementation of the investment is in progress.
Unfinished and incomplete investments resulting from the crisis can be found throughout the world; overgrown
yards, empty concrete frames and abandoned cranes evidence the burst of the real estate bubble from India through
Turkey to Central Europe. The real estate industry has always been known for its cyclical nature; at times the
dynamic of investments is halted, and at times it proceeds to grow. Before the crisis, one of the basic tenets of the
real estate market was that, despite the markets cyclical nature, real estate values continuously rise at a rate
exceeding the general inflation rate. At the same time, the real estate crisis, which started about five years ago, has
challenged all of the prior set-in-stone real estate paradigms. In the course of the crisis all of the earlier market topoi
have toppled, and we are facing a new, as of yet unknown real estate market. It has also turned out that the demand
for real estate use, which continuously grew for decades, after the crisis has not only refused to continue to grow as
a result of the change in the composition of the demographic and, particularly, the spread of Internet technology
but in fact has been dramatically decreasing. When exploring the reasons for the falling demand, suffice it to refer to
the rise of ever more common telework, or the effects of e-commerce, or the decline of the population. As a result,
210
after the crisis a high number of unused properties can be found office buildings, apartments, small business units.
Additionally, oversupply has halted the investors and frozen investments for the long term.
Although it appears that in numerous areas of life the economic crisis is of the past, the real estate indicators
apart from a few exceptions have not been restored; this statement is particularly true about economies where the
real estate market is vulnerable, underdeveloped or overheated. For this reason, the attitude and risk management of
the financers has fundamentally changed since the crisis. The goal of the various regulations and legal provisions set
in place after the crisis is that financing would be confined into the constrains of fairly well estimable risks. Such
examples are the regulation system [1] referred to as BASEL III.; the UCITS IV * directive related to collective
investments in transferable securities, or the continuously tightening IFRS regulations, which set forth the norms of
international accounting.
Construction loans are still difficult to obtain on the real estate market, due, in addition to the new regulations, to
the financers previous bad experiences and their resulting lack of confidence. One of the bad experiences related to
investments is linked to the reliability of real estate valuations. For earlier financer practice, presenting the prevailing
invested costs was sufficient; real estate appraisers gave an estimate of the prevailing value of construction works in
progress with the increasing amounts of the verified expenditures added. For measuring the expenditures, most
frequently the EVA (Earned Value Analysis) model, already familiar from Project Management, or a similar
approach was used.
The EVA methodology is a well-known project management tool, which allows the simultaneous measurement of
the progress of the project and the performance of the contractor. Numerous professional articles deal with the
application and promotion of this method, or provides a comprehensive analysis of it, such as Anbari [2]. However,
the EVA approach examines the performance during the construction solely from the aspect of financial/technical
progress, with the planned budget and the planned implementation period being the basis for the calculations. In this
examination, the market evaluation of the project, the changes in the market data, and the corresponding prevailing
Market Value changes are not included; with the EVA method only a static compliance with a technical condition
system can be checked. From the aspect of real estate valuation, the problem with the EVA model is that it does not
reflect the changing market conditions, it only takes into account the current expenses.
The everyday practice of real estate valuation treats the EVA methodology loosely: It estimates the financial and,
based on that, the technical performance on the valuation date, usually on the basis of the data provided by the
investor. The appraiser rarely conducts his or her own invoice review or actual quantity surveys. The appraiser
adjusts the earlier valuation results in light of the newly acquired data; in other words, he or she does not evaluate
and qualify market suitability during each revaluation. Since the basis for the estimated Market Value is set with the
market environment considered in the original business plan, this is only adjusted with the data related to
technical/financial performance due to the construction potentially being protracted to several years. In this way, the
Market Value repeatedly re-determined merely increased by the execution costs in the course of the
implementation of the investment may be misleading during periods of change in the market. In the period before the
crisis, this methodology approach posed no problems, since the market and its descriptive indicators continuously
grew, therefore the only relevant factor was measuring the progress of the construction.
As a result of the above described appraisal approach, if for any reason the investment is discontinued, its
financial records related to the financing value will be erroneous and will result in wrong decisions when used as a
basis. During a crisis in confidence, changing the practice and introducing new valuation methods may help restoring
confidence.
2. Discussion
2.1. The value of works in progress
In our article, as the first step of examining the problem we wish to clarify what the concept of value means. In
everyday life, what this term refers to may vary depending on the situation, the context, and the role players. We may
talk about value in terms of esthetics, sociology, or in terms of finance. However, even if we remain within the
professional area of Project Management, diverse and numerous ways of interpretation present themselves. In their
*
DIRECTIVE 2009/65/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 13 July 2009 on the coordination of laws,
regulations and administrative provisions relating to undertakings for collective investment in transferable securities (UCITS)
IFRS: International Financial Reporting Standards, continually published by the IFRS Foundation
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research project of many years, Thomas and Mullaly were attempting to find the general answer to the question of
what the value conveyed by Project Management is [3]. Oliomogbe and her fellow author defined value as the
aggregate outcome of all of the profit generated for the project participants [4]. Welzl also points out that for
companies value-generating factors in the changing world are intellectual factors (intangible assets) rather than
merely monetary results [5]. The science of value analysis (value engineering) used in Project Management, and in
engineering practice in general, defines value as the ratio of function versus appropriation, thereby materially
generalizing the conventional concept of value [6].
2.2. Regulating the determination of the Market Value
A complete and accurate understanding of the concept of Market Value is essential. This concept is widely used in
the financial world, but its precise definition is the responsibility of real estate appraisers. Many similar definitions of
the concept are known, as described in [7], [8], [9]. It is clearly evident that the modification of the directives of real
estate valuation, which have been unaltered for decades, has commenced after, and as a result of, the crisis.
However, this change has not yet reached everyday methodology and practice; at present, only the clarification and
unification of the basic concepts is taking place. No method or algorithm exists for the direct determination of
Market Value; three valuation approaches are used in international practice, with the targeted use of which, and by
evaluating the combined results, the appraiser formulates the final market value.
The first method is the comparative market valuation. Using a general formula, the value is generated based on
the location and the attributes of the real estate:
V=f(Loc, Att), where
(1)
V: is the market value of the real estate derived from the comparisons,
Loc: is the location value factor and
Att: is the factor of the attributes of the real estate.
Income-based valuation is widely used for the valuation of yield-producing property. Its essence is that the
economic indicator (the NPV, Net Present Value) is derived for the property, as a form of investment, from the
expectable net revenues from the most economical and best utilization of the real estate, and the cash flow from such
revenues. It can be defined by the following formula:
1
= =0 (1+) , where
(2)
n: is the number of examined periods

i: is the market rate taken into account
Ft : is the net revenue realized in the t period.
The third applicable method approximates the value through the net replacement cost. This method is based on
the data related to the construction costs and their changes. The following formula can describe this methodology:
= + + + , where
(3)
GRC: is the gross replacement cost of the building,

Avm: is technical obsolescence,
Avf: is functional obsolescence,
Avp: is market obsolescence, and
Vland lot :is the value of the land lot determined based on the market.
We would like to emphasize that of the three types of obsolescence the EVA methodology mentioned in the
introduction only takes into account technical obsolescence (Avm), since functional obsolescence is irrelevant while
the construction of the project is still in progress. At the same time, the third obsolescence type (market
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obsolescence, Avp) is specifically meant to create an indicator that fulfills the definition of Market Value, from the
technical value type determined on the basis of the technical parameters of the facility.
In addition to the above three methods, the professional literature and, since the 2000s, partly international
practice also, use a fourth type of approach as well; this valuation methodology group is usually mentioned under the
non-traditional methods group title. In their work published in 2003, Pagourtzi and his associates [10] summarize the
methods of real estate valuation. They distinguish the traditional methods discussed in the previous chapters from
those they refer to as the developed methods. Among these developed methods they count the simulation of
artificial neural networks, the hedonic price model, the method of spatial analysis, the fuzzy logic valuation, and
ARIMA modelling.
2.3. The market valuation of works in progress
In the previous chapter, we reviewed the main methods of determining Market Value. In this chapter we examine
the applicability of each method and their variations with respect to works in progress. The peculiarities for property
construction works in progress, as opposed to the basic principles of Market Value determination, are as follow:
Each real estate is materially different: Construction works in progress are more different from each other than
real estates in general. Although, according to the professional axiom, no two properties are the same since each one
is situated at a different location, the varying extent of the completeness of real estates in this comparison adds
another dimension. Therefore the comparison of these items is even more difficult; practically no two facilities can
be found that are comparable from a market aspect.
They are not circulating in the market: Unfinished constructions are not typically sold, since the developers know
that completed real estates having all of the licenses of the authorities are the sellable (end) products. Although in the
wake of the crisis many offers appeared on the market of buildings with only a finished or a just commenced basic
structure, such transactions are rare and therefore it is difficult to price their market.
They have very detailed technical specifications: In the majority of cases with the exception of longdiscontinued or insolvent projects the construction plans and design drawings of works in progress are still readily
available, as are their cost estimates and quotes, and all of the additional documents of their realization. This
information is only partially available in case of the usual real estate market products; the older the completion of the
construction is, the less likely it is that its technically relevant information is still accessible for the appraiser. In case
of larger projects, the technical content and completeness are continuously monitored, and the technical content is
well documented with the use of the EVA methodology, or similar project management tools, throughout all of the
stages of the construction. At the same time, in lack of monitoring reports from reliable sources,
their content (completeness, status) can only be determined through considerable technical surveys and analyses:
While a completed real estate product can be described briefly and accurately since it has attributes defined in
standards and construction plans , in case of an unfinished, abandoned construction it is very difficult to know
where the implementation is standing on the way toward the finished end product.
They do not generate revenue: Another valuation problem in case of yield-producing property works in progress
is that while a finished product (shopping mall, office building) has known revenue-producing capabilities, which are
supported by related previous statements, balance sheets, and contracts, these data are only forthcoming in case of
planned investments. It is evidently an advantage that the future incomes of an unfinished investment are partially or
completely ensured by an agreement system (e. g. in the form of a pre-lease agreement), these agreements must be
renewed when resuming an unfinished, discontinued construction, therefore future revenues can only be defined in
estimates.
As seen above, in case of works in progress, the comparison of real estates faces many challenges: the properties
are not identical, and no market transactions exist in their relevance. Therefore traditional comparative market
valuation can essentially be excluded from the potential methods. (Naturally, this statement does not hold true for
development lots where construction works have not started yet or only an insignificant amount of work has been
completed.)
The method of net replacement cost could basically replace or supplement project analyses conducted with the
EVA methodology. For this, the changes in the prevailing land prices should be monitored for works in progress and
carried out according to the original schedule, and evaluated with the EVA methodology, and of the above-described
three obsolescence items an estimate should be given for market obsolescence. No methodological obstacles exist for
Autoregressive Integrated Moving Average
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the first task, that is, for determination through building lot comparison or through income approach ; with regard
to this matter, only the everyday valuation practice must simply be changed. Considering the fact that, according to
experience gained during the crisis, the prevailing value of development lots is very sensitive to changing market
conditions, this practical adjustment could result in a material improvement in the reliability of valuations. At the
same time, the second task the determination of market obsolescence poses a serious methodological problem,
since substantial related pre-studies and research would be needed. Essentially, market obsolescence could be found
as the difference between the known Market Value of the real estate and the net replacement value calculated
without the market obsolescence, based on the following formula:
= ( + + )
(4)
= , where in addition to the above
(5)
Supposing that the investment has not become functionally obsolete, formula (4) can be defined, also using the
EVA methodology, as follows:
EV: the Earned Value determined with the EVA methodology.

If, in case of a type of real estate, good experience data (transaction data) can be obtained with respect to the
Market Value of the work in progress, the Avp market obsolescence factor can be created depending on the
location, segment and completeness status that will enable the value determination based on the net replacement
cost in the subsequent valuation cases. If, however, the investment has been discontinued or abandoned, the second
obsolescence factor, potentially occurring as a result of the lapse of time that is, the functional obsolescence factor
(Avf) must also be taken into account. In these cases, the technical status (the technical obsolescence) can only be
determined through a detailed survey also. The costs of the repair of potential damages, the examination of the
authenticity of the technical documents (in extreme cases, their replacement), and the estimate of the effects of the
contractors miscalculations can only be carried out reliably through material expenditures on expert participation.
Of the traditional methods, the income-based calculation approach promises to be the most suitable for the
determination of the Market Value of works in progress. The cash flow built from the combined time series of the
costs of completing the project and of the future revenues can be restated or recalculated at any moment during the
construction. The valuation practice of commercial real estate places the greatest emphasis on the valuation approach
based on income-based calculation. In case of unfinished investments, it is crucial for the appraiser to repeatedly
examine and analyze certain input data of the DCF model during the recurring valuations. Everyday practice
considers the variables (rental fees, operating costs, market absorption, yield, etc.) of the Feasibility Study that has
approved the investment as constants during the execution phase, and reruns the DCF calculations using only the
data of the remaining cost of the construction. However, in case of prolonged constructions, through extremely
changeable market conditions, the variables cannot be considered as constants; in fact, the Market Value will
significantly fluctuate due to their change through time.
Among the cash flow variables of the income-based calculation, there are such that change in connection with the
technical factors of the construction: e. g., the remaining time until completion, or the total cost of the supplementary
works; and there are specifically market-related variables, such as the level of the attainable rental fees. These input
data can be considered as random variables. In order to be able to create a view of the risks involved with the Market
Value, the distribution of these random variables must, or should be, known. With respect to the market variables,
the statistical examinations are regularly conducted by the international real estate consultant companies. The
network technique uses various assumptions with respect to the distribution of the data related to the construction
(see, e. g., in [11]). However, knowledge of the distribution of the input data, unfortunately, is not sufficient in itself.
If the random variables are continuous, and their joint distribution function is continuous also, and if the variables are
independent, the joint distribution function is the distribution functions of the individual variables multiplied. In such
case the appraiser would have an easy job, because they would receive the NVP indicator (calculated from the cash
flow) together with its distribution function, from the distribution of the cash flow items. The thus received
distribution function would be suitable to describe the current risks of the work in progress. Unfortunately, the
variables of the cash flow cannot be considered independent even for the sake of the calculations. And we do not
have an appropriate mathematical apparatus available for the analysis of dependent variables [12].
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For an approximation, using the above-described view of the random variables, the appraiser practice conducts a
so-called Sensitivity Analysis, in which it calculates the Market Value considering the various potential values of
the determining variables, thereby defining Market Values expected range. If the variables are modelled with
discrete values, the application of various simulation methods is possible, such as the Monte Carlo method or
probability graphs. With the use of fuzzy logic, the unique approach of human reasoning and judgment can be
integrated into the DCF calculation, for which Hajnal described an application option in his [13] study.
Generally speaking, during the valuation of works in progress, the integration of the elements of non-traditional
methodology into the income-based calculation formulas offers the best that is, the least dubitable solution. It is a
great advantage that the DCF is programmable and can produce data at any selected time; in other words, essentially
an automated valuation model (AVM) can be created, in which, in case of the predetermined deviation of the input
variables, the DCF provides a new Market Value estimate.
3. Conclusion
In our opinion, possible solutions are available for the real estate valuation problem proposed in the introduction
of this article: the combination of the income-based calculation and the non-traditional methodologies can provide a
reassuring result for the Market Value of an unfinished investment thereby contributing to the restoration of the
confidence necessary for resuming the bank financing. For the direction of further exploration we suggest continuing
the related research and creating case studies.
At the same time, the introduction of the examination of the prevailing Market Value of the land lot into everyday
appraiser practice, among the tasks of value reviews as a supplement to the EVA analyses, is highly recommended.
References
[1] "Group of Governors and Heads of Supervision announces higher global minimum capital standards". Basel Committee on Banking
Supervision. 12 September 2010. (Accessed 28.08.2014)
[2] Anbari, F., 2003, Earned Value Project Management Methods and Extensions, Project Management Journal; Vol 34, No 4. pp 12-23
[3] Thomas, J., Mullaly, M., 2007, Understanding the Value of Project Management: First Steps on an International Investigation is Search of
Value, Project Management Journal, Vol. 38. No. 3. pp 74-89, DOI: 10.1002/pmj
[4] Gloria O. Oliomogbe, Nigel J. Smith, 2012, Value in Megaprojects; Organization, Technology and Management in Construction; Vol 4 (3)
2012, pp 617-624, DOI: 10.5592/otmcj2012.3.5
[5] Welzl, G. A., 2011, Values with Meaning Towards reporting of the 21st century, 18th International XBRL Conference
[6] Value Methodology Standard and Body of Knowledge, 2007, SAVE International Value Standard, 2007 edition
[7] IFRS Global Office; 2011; IASB issues new standard on fair value measurement and disclosure. IFRS in Focus,
http://www.iasplus.com/en/publications/global/ifrs-in-focus/2011/ifrs-13, (Accessed 30.09.2014)
[8] TEGOVA European Valuation Standards, Standard, TEGOVA, 2013
[9] DIRECTIVE 2014/17/EU OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 4 February 2014 on credit agreements for
consumers relating to residential immovable property and amending Directives 2008/48/EC and 2013/36/EU and Regulation (EU) No
1093/2010
[10] Pagourtzi, E., Assimakopoulos, V., Hatzichristos, T., French, N., 2003, Real estate appraisal: A review of Valuation Methods Journal of
Property Investment & Finance, Vol 21, No 4. pp 383-401
[11] Hajdu, M. 1997., Network Scheduling Techniques for Construction Project Management. Kluwer Academic Publishers, ISBN:0-7923-43093
[12] Hajnal, I. 1995., Real Estate Appraisal in Hungary, Budapest, BME Mrnktovbbkpz Intzet, ISBN:9634317928
[13] Hajnal, I. 2014., Continuous Valuation Model for Work-in-progress Investments with Fuzzy Logic Method In: Miklos Hajdu, Miroslaw J
Skibniewski (ed.) PROCEEDINGS of the Creative Construction Conference, Prague, pp. 206-211
(ISBN:978-963-269-434-4)
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Mapping of real estate prices using advanced methods of data

collection
Eduard Hromada*
Czech Technical University in Prague, Faculty of Civil Engineering, Thakurova 7, 166 29 Prague, Czech Republic
Abstract
This paper is about an innovative software that can be used for mapping and analyzing of real estate advertisements published on
the internet in the Czech Republic. The author has created the specialized software application called EVAL. This software will
systematically collect, analyze and assess data about the changes in the real estate market. For each half year, the software
assembles over 650,000 price quotations concerning sale or rental of apartments, houses, business properties and building lots. All
real estate advertisements are continuously stored in a software database and are thoroughly analyzed for their credibility.
There have been numerous articles concerning real estate market analysis in both mass media and scholarly publications.
Unfortunately, not all presented information is objective and unbiased. Many cases by independent specialists have stated
information with no verified research. We have witnessed manipulation of information by lobbies (such as banks offering
mortgage agents, real estate companies and agents, building companies, developers, majority owners, etc.). The author of this
paper offers objective and unbiased evaluation of price development in real estate market. The author brings forward information
based on extensive research and large amounts of statistical data which has been collected continuously from year 2007 until
today.
Keywords: real estate market; software tool; statistical methods; value of the property.
1. Introduction
Real estate properties are attractive option for safe investment especially for a common person. The direction of
changes of the future economy is hard to predict because of international economic direction. Also real estate is
investment which does not decline in value rapidly. However, the latest recession shows that real estate prices cannot
keep rising all the time. Many risks are connected to real estate management and facility management. These risks
need to be constantly monitored and managed. The potential buyer, has to evaluate real estate property very critically,
and consider it in long-term. They should decide whether real estate is an investment for them or which is too risky.
The potential buyer cannot rely only on the information published in the media because the media does not often
publish negative information about real estate market development. Such information, though true, is not often
communicated.
* Corresponding author. Tel.: +420 22435 3720; fax: +420 224 355 439.
E-mail address: eduard.hromada@fsv.cvut.cz
216
2. Literature review
At this moment, there are only two institutions in the Czech Republic, and the author's work [14], which focuses
on real estate changes in long-term and does so in a systematic manner. These are Institute for Regional Information,
Ltd. and the Association of Realtors in the Czech Republic (ARK CR). The first institution collects advertisements of
real estate property for sale and perform comparative analysis of real estate price development. However, it collects
advertisements manually, which only allows for a limited scope of data retrieval. Statistical processing of such data
volume is only sufficient for basic and aggregated analyses, and also causes distortion of results that can be obtained.
The second institution prepared, in cooperation with Gekon company and web server www.reality.cz, the price map
of real estate market. This price map is in the terms of graphic design nicely design. The weakness of this project is
that it has a very limited scope of presented information. The both institutions researches only specific areas, a very
limited scope of real estate categories, and a small number of factors that determine real estate's market prices.
Many studies analyze real estate prices, especially at the international level. The study presented in reference [1],
analyzes the long-run integration relationship between equity and real estate prices in 30 developed and emerging
economies divided into four subpanels according to income levels and financial market structure. Reference paper [2]
describes method of creation of real property database to determine capitalization rate of real estate. The article in
reference [3] discusses approaches and options for identification of disequilibrium asset prices movements and
referenced paper [4] presents a method of applying the ensembles of genetic fuzzy systems to build reliable
predictive models from a data stream of real estate transactions. Also studies is the reference number [5] which
presents a model that includes a database storing hedonic characteristics and coefficients affecting the real estate
price level, and uses information from recently sold projects. The results show that fuzzy neural network prediction
model has strong function approximation ability and is suitable for real estate price prediction.
The issue of real estate database creation is also solved by the team of researchers from Universidad de los Andes,
Colombia [6]. The research team created unique database of residential real estate prices in Caracas containing
17,526 transactions. The statistical results of the database are used for testing the changes in housing prices in the
case of occurrence of risks such as land invasions and expropriations. The research team examines the
microeconomic determinants of residential real estate prices (the number of parking spaces, the age of the property,
the incidence of crime, the average income in the neighborhood, etc.) that significantly affect the prices.
Additional papers are summarized in the next few paragraphs. They all had some influence on the overall design
of the software EVAL being present in this paper.
The paper Analyzing Massive Data Sets: An Adaptive Fuzzy Neural Approach for Prediction, with a Real Estate
Illustration [7] describes the data mining methods of real sales data from the assessment office in a large US city.
The results are used for predicting the value of residential real estate based on past comparable sales transactions.
The paper introduces an approach for improving predictions using an adaptive, neuro-fuzzy inference model.
Sensitivity analysis in building performance simulation for summer comfort assessment of apartments from the
real estate market [8] presents the utilization of the database that contains 21,902 units of flats in real estate market of
Santiago de Chile that is used for introducing improvements in terms of summer thermal conditions according to the
specific requirements of the apartment typologies. Based on the database results, it was found that the best
performance in terms of summer comfort can be obtained from the combination of diverse parameters that would be
significant in respect to the reduction of overheating, such as solar protection and night ventilation.
In another paper [9] titled Implicit prices in urban real estate valuation, it describes the results of case study that
uses representative database of sales in urban real estate for a medium size city in the South of Spain. There are used
Artificial Neural Networks that provide better dwelling prices estimation, avoidance of bias at different market
segments, direct use of categorical data and full use of the information available.
Method of real estate information services based on Hadoop [10] presents prototype system for real estate
information collection and visualization. There are used some techniques like data indexing, data compression,
distributed file system and highly efficient structured query language mechanism. There are used visualization
techniques such as Treemap, StreamGraph and Line Chart to display statistical data of real estate market.
Lastly, design and development of real estate after-sale service system based on networking [11] focuses on
presentation of the real estate appraisal system based on GIS and BP neural network. The system includes appraisal
model, trade case, GIS database and query analysis module. The system allows to construct the hedonic price
estimate model. The system can improve the efficiency of the real estate after-sale service and improve the service
level.
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3. Basic characteristics of the software EVAL

EVAL is a software application which systematically gathers, analyses, and evaluates real estate price offers
advertised via real estate servers. At this point, the scope of the software application covers and records the majority
of real estate advertisements on the internet in the Czech Republic. The software application can also be used to
obtain information from foreign web sites dealing with real estate market.
Information has been automatically gathered from servers each month since 2007. In the second half of year 2014,
the software database gathered more than 650,000 new entries with price offers for purchase or rental of flats, houses,
commercial objects, and allotments. The software tool enables detailed analysis of market price development in
monthly periods, in all municipal areas in the Czech Republic, and in all real estate categories as sorted by servers
which offer real property for sale or rent.
It should be noted that there is a difference between list prices and the final prices paid. The author analyzed
in three selected cadastral areas of the Czech Republic all contracts recorded in years 2012 and 2013. A copy of the
sales contracts were obtained directly from the Czech Land Office for a small fee (purpose research activities).
According to the author's own research and research made by other colleagues from the department of civil
engineering, CTU in Prague [12] and [13], the difference is between 10-15 percent. Some offers on real estate
websites are only wishes of property owners. Though not precise in every detail, average values of real estate market
show current trends of property prices quite accurately.
EVAL software is being further developed and adjusted by its author. Currently, a module has been added to
gather information from land registry. The tool is built using Borland Delphi for Microsoft Windows programming.
For optimal functioning it requires stable and fast internet connection, Microsoft Windows 7 operation system, or a
higher version, large storage space on hard disc (numbers of several TB of data), and an efficient processor providing
for processing of large data files.
Software is structured as several partial modules which co-operate towards a common end:
Module for gathering

and download of links
on the internet
Data filter
module
Data export
module
Data evaluation
module
3.1. Module for gathering and download of links on the internet

This module systematically searches real estate servers and webpages of real estate companies, and records
current links to real estate purchase or rental into a software database. For full functioning of the module, it was
necessary to discover the methods of storing data on each server where EVAL gathers information. This module of
the EVAL gathers over 110,000 individual entries each month full texts of individual advertisements including
records of property images.
Data acquisition is performed in following real estate categories:
Flats for sale.
Flats for rent.
Allotments for sale.
Houses for sale.
Commercial objects for sale.
Commercial objects for rent.
This module requires author's adjustments and interventions on a non-scheduled basis because the providers of
real estate servers change the structure of data storage from time to time. Should such risk arise, it is necessary to
adjust EVAL's source code as soon as possible. Otherwise data from that given server may not be downloaded in that
particular month. Author uses automated control mechanisms to manage the risks of such situation; after each
monthly download, the volume and structure of data is compared with previous month's log. If there is an
218
impermissible divergence (lacking data continuity) or if no data is downloaded, the server is analyzed closely,
adjustments are made, and data is downloaded correctly.
Data download is repeated monthly. In each month, the volume of gathered data is about 25 GB. EVAL database
is enriched by these new entries each month. That is the reason why EVAL has extensive requirements concerning
data storage and internet connection. However, these requirements are easily met due to massive spread of memory
media and internet speed development over the past few years. Despite the size of database acquired since 2007, the
author still keeps full textual versions and visual attachments of all noted advertisements. It is therefore possible to
trace data, and subject them to further analyses.
3.2. Data export module
This module is the most complex part of the software tool. Its task is to automatically export specific data from the
downloaded advertisements. Then the quantified data can be further used for statistic evaluation of real estate market
development. Data structure is defined for each real estate category obtained from advertisement texts. As an
example, the structure crafted for category Flats for purchase:
Type of ownership (private ownership, cooperative

ownership, other ownership).
Total floor space.
Loggia space.
Balcony space.
Terrace space.
Cellar space.
Material of building (brick, panel, wooden
building).
Condition of building (maintenance status, age of
the property).
Path and file number of file with advertisement
text (record for EVAL database).
Region of the Czech Republic.

Municipality of the Czech Republic.
Street.
Postcode of the municipality.
Total real estate price.
Price per 1 m2 of floor space.
Advertisement number.
Date of last modification of advertisement.
Date of advertisement entry.
Space arrangement.
Floors.
Number of object's underground floors.
Number of object's above-ground floors.
There are similar structures for the other categories of real estate. Each follow the common specifications for each
category. For advertisements that do not state certain parameters of the given real estate (e.g. terrace space, cellar
space), the database records a blank space for that parameter. However, it is in the interest of the advertising party to
state as much information as possible. The output of the Data export module is database files which contain
structured data about advertised real estate. The software database does not process the images to the advertised
property in this step. Images, however, are also recorded and can be assigned to the examined property manually.
The Data export module also requires the author to monitor any potential changes in data structure and formatting
across individual real estate servers (e.g. names of smaller municipal units in the vicinity of Prague have recently
been replaced by more generalized locations Prague-east or Prague-west). In such a case, when data structure
changes, EVAL's source code needs to be readjusted accordingly. These changes do not need to be reflected
immediately, as data in these cases are already stored in an offline database in storage media.
3.3. Data filter module
Database files created by Data export module are further analyzed and verified. Every newly acquired price offer
is evaluated for accuracy and completeness of the presented information. This data is compared with older entries,
repeatedly advertised real estate, and checked for completeness of information. There are roughly 250 potential areas
to evaluate in each advertisement. If crude discrepancies or potential manipulation of information are discovered (e.g.
advertising large numbers of similar offers of fictitious real estate for higher prices than usual in given street or
location which may influence potential client's decision making process), such all entries are discarded from further
evaluation.
219
3.4. Data evaluation module

This part of the software tool creates statistics schemes to describe the development of real estate market
according to user's demands. It examines development on a timeline, and scrutinizes the relations among the many
monitored variables of real estate. These schemes may be used for the needs of real estate development analysis,
evaluation of regional disparities concerning financial accessibility of housing, and creation of prognoses concerning
market development. Following graphs show examples of statistics schemes which can be created by the software
EVAL.
Graph 1. The average market price of monthly rents in the regions of the Czech Republic (price per m2 of flat floor area).
PRAGUE
227
SOUTH MORAVIAN REGION
167
CENTRAL BOHEMIA REGION
144
ZLIN REGION
141
KARLOVY VARY REGION
130
PLZEN REGION
129
PARDUBICE REGION
129
HRADEC KRALOVE REGION
127
SOUTH-BOHEMIAN REGION
126
OLOMOUC REGION
125
LIBEREC REGION
124
VYSOCINA REGION
124
MORAVIAN-SILESIAN REGION
116
USTI REGION
115
0
50
100
150
200
250
CZK/m2 floor area/month
Graph 2. The average market price of monthly rents depending on floor area (price per m2 of floor area).
220
4. Conclusion
The statistics comparisons which can be created by the EVAL software enable professionals and researches in the
field of real estate to gain insight on actual changes in the market prices of real estate in the Czech Republic. This
output may be used as grounds for appropriate investments or housing decisions for both common persons and
companies. We have witnessed a steady long-term decrease of real estate market prices since the second quarter of
2008. This negative trend does not seem to be significantly changing. Although real estate media strive to present
positive information, there is no sign that prices should start rising in all regions of the Czech Republic (the exception
is only the region Prague and region Middle Bohemia).
Acknowledgements
This work was supported by the Grant Agency of the Czech Technical University in Prague, grant No.
SGS15/015/OHK1/1T/11.
References
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countries. In: Finance a Uver - Czech Journal of Economics and Finance. Prague. Volume 64, Issue 2, 2014, p. 100-119. ISSN: 0015-1920.
[2] ARDIELLI, J.; JANASOVA, E. Creation of real property database for determination of capitalization rate of real estate. In: 12th International
Multidisciplinary Scientific GeoConference and EXPO, SGEM 2012; Varna; Bulgaria. Volume 4, 2012, p. 877-882.
[3] KOMREK, L.; KUBICOV, I. Methods of identification asset price bubbles in the Czech economy. In: Politicka Ekonomie. Prague.
Volume 59, Issue 2, 2011, p. 164-183. ISSN: 0032-3233.
[4] TRAWISKI, B.; SMTEK, M.; LASOTA, T.; TRAWISKI, G. Evaluation of fuzzy system ensemble approach to predict from a data
stream. In: 6th Asian Conference on Intelligent Information and Database Systems, ACIIDS 2014; Bangkok; Thailand. Volume 8398 LNAI,
Issue PART 2, 2014, p. 137-146. ISSN: 1611-3349.
[5] LIU, J. G.; ZHANG, X. L; WU, W. P. Application of fuzzy neural network for real estate prediction. In: 3rd International Symposium on
Neural Networks, ISNN 2006 - Advances in Neural Networks. Chengdu. China. Volume 3973 LNCS, 2006, p. 1187-1191. ISSN: 0302-9743.
[6] CONTRERAS, V.; GARAY, U.; SANTOS, M.A.; BETANCOURT, C. Expropriation risk and housing prices: Evidence from an emerging
market. In: Journal of Business Research. Volume 67, Issue 5, May 2014, p. 935-942. ISSN: 0148-2963.
[7] GUAN, J.; SHI, D.; ZURADA, J. M.; LEVITAN, A. S. Analyzing Massive Data Sets: An Adaptive Fuzzy Neural Approach for Prediction,
with a Real Estate Illustration. In: Journal of Organizational Computing and Electronic Commerce. Volume 24, Issue 1, January 2014, p. 94112. ISSN: 1091-9392.
[8] ENCINAS, F.; DE HERDE, A. Sensitivity analysis in building performance simulation for summer comfort assessment of apartments from
the real estate market. In: Journal Energy and Buildings. Volume 65, 2013, p. 55-65. ISSN: 0378-7788.
[9] NEZ TABALES, J.; REY CARMONA, F.; CARIDAD Y OCERIN, J. M. Implicit prices in urban real estate valuation. In: Journal Revista
de la Construction. Volume 12, Issue 2, 2013, p. 116-126. ISSN: 0717-7925.
[10] YU, D.; YU, M.; YE, L.; LIANG, R. Method of real estate information services based on Hadoop. In: Journal of Huazhong University of
Science and Technology (Natural Science Edition). Volume 40, Issue SUPPL.1, December 2012, p. 66-69. ISSN: 1671-4512.
[11] ZHANG, S.; YU, Y.; SUN, J. Design and development of real estate after-sale service system based on networking. In: Journal of Shenyang
Jianzhu University (Natural Science). Volume 27, Issue 2, March 2011, p. 403-408. ISSN: 1671-2021.
[12] SCHNEIDEROVA, R. The Building's Value Assessment using the Utility and the LCC. In: Central Europe towards Sustainable Building 07
Prague. Prague: CTU, Faculty of Civil Engineering, vol. 1, 2007, p. 126-131.
[13] SCHNEIDEROVA, R. Life Cycle Cost optimization within decision making on alternative designs of public buildings. In: Procedia
Engineering. 2014, vol. 2014, no. 85, p. 454-463. ISSN 1877-7058.
[14] HROMADA, E. Decision-support tools and assessment methods. In: Central Europe towards Sustainable Building 2013. Praha: Grada, 2013,
p. 669-672. ISBN 978-80-247-5018-7.
221
Benefits of adopting the integrated practice approach in the building

process
Galina Kaloyanova, Malgorzata Sobczyk*, Maria Georgieva
Galina Kaloyanova, gpk@bimangels.co.uk, London, SE19 3BZ , UK
Malgorzata Sobczyk, mks@bimangels.co.uk, London, SE19 3BZ , UK
Maria Georgieva, mag@bimangels.co.uk, London, SE19 3BZ , UK
Abstract
Objectives of study
Investigate the benefits of the integrated practice in the production and building process. Currently we witness major changes in
the market requirements and tools available to deliver capital projects, making collaborative workflow a fairly simple endeavour;
however the level of interest within the industry is lower than anticipated. Could it be due to the lack of vested interest or
economic motivation? Typically the biggest savings are scooped by the developers and owners, while the biggest investments in
new technology and training are carried by the project designers, consultants and contractors.
Methods
Through descriptive analysis and evaluation of the shortcomings in current practices of delivery and project management
followed by comparison with some of the available case studies of integrated project delivery worldwide. Examining the novel
approaches to the role of the manager as process facilitator rather than directing authority.
Main neuralgic points and their potential alleviation through lean methods of delivery:
information timeline
responsibilities matrix
real stakeholders collaboration
cost efficiency and value leveraging
early introduction of sustainable goals
avoidance of abortive work and overlapping documentation
Results
The implementation of Building Information Modelling is not naturally supported by a classical hierarchical top-down structure
of project delivery. Even though the existing examples are not abundant, they consistently highlight the advantages of IPD, at
least for small and medium size projects. Moreover, apart from the economic profits, the participants in IPD report substantially
higher levels of individual satisfaction with their work.
Conclusions
Spreading the risks and profits seems like the logical way forward, particularly in the light of the new peer-to-peer investment
platforms - where inventors and researchers receive immediate response from the crowd and achieve or not their intended
funding. The integrated process promoted by the green building organisations is only possible through methods like IPD and Lean
Construction.
Keywords: BIM, Collaboration, Integrated Project Delivery, Lean Construction
* Corresponding author. Tel.:+447793210650

E-mail address: mks@bimangels.co.uk
222
1. Introduction
The BIM (Building Information Modelling) adoption campaign of the recent years has been supported by a
number of governmental initiatives, regulative efforts; private investor campaigns, leading companies examples,
academic research and media publicity, yet the achieved levels to date are far from the desirable.
Could it be, because?
1) BIM is 10% technology and 90% sociology [1]
2) Those who make the bigger investments are not those who reap the awards?
According to statistics by Kew Associates for the past 10 years, the investment in IT and new technology in the
AEC sector is almost double compared to the rest of the economy sectors, however the designers and constructors
often have to contend with fees lower than those a few years ago, disregarding the inflation and overall growth of the
real estate market.
Supposedly the lack of interest is due to insufficient economic incentive what could be done to restore the
balance and bring back all parties on board for the benefit of the building process and society as a whole?
The three domains, present in every project [1] are:
Commercial terms
Organisation
Operating system
If BIM is partially covering the Organisation and Operation system, when adequately put in place, the commercial
terms are still mostly historic and transactional [1]. A number of research papers and completed project case studies
worldwide prove that using relational commercial terms, integrated and high performance teams, in combination with
lean construction methods and long-term partnering helps achieve serious savings in money and time, greener
buildings, happier clients, users and participants.
2. Lean
The principle of lean manufacture was pioneered in the Japanese companies, starting in the post-war years and
continuously evolving to achieve highest quality at lowest price. It was thoroughly documented and explained in a
series of publications, most famously about Toyotas Production System. The culture of conducting business on the
basis of good interpersonal relations has naturally supported the emergence of relational contractual agreements and
trust-based collaboration.
Despite the incredible amounts of technology innovation involved in the process, the pillars of the Japanese
system are human-centric: 1) Respect for people and 2) Continuous improvement [1].
In the construction sector, lean methodology has been researched and applied most extensively in the USA and
predominantly in the healthcare sector [4], where the benefits of improved team collaboration have been evaluated
early enough, helping to outweigh the inherent complexity of functions and requirements. Perhaps the humbling
notion that any of the project participants could easily become a patient of the completed hospital at some point in
time, has played a certain role as well, making the common goal for excellence a natural consequence.
Quick adopters of every efficient approach the Scandinavian countries and most notably Finland and Sweden,
have already completed several pilot projects, some of them with incredibly big savings in cost and time [5].
As early as 1998 in the report Rethinking Construction by Sir John Egan et al. (commissioned by the UK
government) the observers indicate alarmingly low profit margins in construction and subsequent lack of adequate
training, investment in innovation or research. One of the prescriptions to the clients as a result, is to share some of
223
the profit pool and in so doing restore the motivation of the companies to perfect the process and achieve the
resultant savings, estimated at 20-30% in total. The report suggests adopting the lean practices used in manufacture.
As a result in 2000 the Project Partnering Contract [6] (PPC 2000) is created a type of contract, enabling the
spirit of trust and openness in business relations among the team members, similarly to its American multi-party
correspondent. In 2010 a report with 28 case studies is published where the contract is used and all interviewed
participants unanimously praise the approach.
The Australian government has embarked on a scientific and regulatory crusade to adopt IPD within the next 3
years, starting with the infrastructure and gradually applying it in every sector of the industry. They have sourced
some practical guidance from the Swedish implementers [7].
What is IPD and why everyone seems so keen to employ it? Here is the standard definition as per the American
Institute of Architects (AIA):
[8]: Integrated Project Delivery Defined: AIA/AIACC, 2010
IPD is a method of project delivery distinguished by a contractual arrangement among a minimum of owner,
constructor and design professional that aligns business interests of all parties. IPD motivates collaboration
throughout the design and construction process, tying stakeholder success to project success, and embodies the
following contractual and behavioural principles:
Contractual Principles
Key Participants Bound Together as Equals
Shared Financial Risk and Reward Based on Project Outcome
Liability Waivers between Key Participants
Fiscal Transparency between Key Participants
Early Involvement of Key Participants
Jointly Developed Project Target Criteria
Collaborative Decision Making
Behavioural Principles
Mutual Respect and Trust
Willingness to Collaborate
Open Communication end of quote
3. Lean Project Delivery
The concepts of lean construction and integrated practice of delivery (IPD) are not new some initial ideas for
augmented efficiency of the building processes have been introduced as early as the 1960-ties [1], however the large
majority of companies in the AEC industry is still unfamiliar with them - according to a recent survey by McGraw
Hill and Dassault Systmes [2]. While being unaware about the existence of a superior method to perform a task is
not necessarily a problem in itself, when put into perspective it could account for a substantial amount of waste and
loss in the industry, as some of the reports suggest savings of up to 19% below expected cost [1], when the methods
are correctly implemented.
As a consequence when asked to evaluate the efficiency of current construction practices those unaware of the
Lean methods report overall satisfaction with the existing levels of performance 55% (fig.1)[2], while those
familiar with the concepts, largely disprove of the levels achieved by the industry at present 62%.
224
Fig.: 1. Those unaware that lifts exist are happy to climb the stairs and trust it is the fastest way to get to the top floor.
What are the major downfalls of the current practices? Broadly speaking there is insufficient collaboration in real
terms as the structure of organizations is still mostly rigidly hierarchical, focused on top-down streaming of
information, silos of knowledge and carefully safeguarded contractual limits of appointment - each and every project
participant pulls in their direction and the opportunities for synergistic resource pooling are missed.
In more detail:
information timeline
- currently: is usually based on previous practices, full of contingencies and is rarely met as initially planned
- should be: agreed between the participants from the onset, based on mutual trust
responsibilities matrix
- managers recruit a team on the go and normally dont have time to assess their skills before the bulk of work has been
done
- the members of the team are focused on the common goal and support those with superior skills in a certain domain to
take the lead, so that the entire team wins, the managers are facilitating the process and play as equals for the success of
the enterprise
real stakeholders collaboration

- does not exist (as risk is transferred, not shared)
- is the essence of every successful project, sharing pain and gain is vital
cost efficiency and value leveraging

- cost estimation is being based on generic, insufficient information and traditionally leads to first-cost-based value
engineering later on
- the available budget and expected life-long value is transparently disclosed from the beginning and everyone is
striving to achieve savings which are afterwards proportionally shared among the crew
early introduction of sustainable goals

- is rarely attempted
- integrated project delivery is specifically recommended by the US Green Building Council as a method to achieve
improved performance
225
avoidance of abortive work and overlapping documentation

- which currently plagues the industry
- is possible only if decisions are taken based on real data, shared openly and timely and integrated with the workflow
4. Conclusion
The low levels of efficiency in the construction are haunting the industry from a long time. Being one of the
pillars of economy many strategies and initiatives have been deployed by the majority of governments worldwide to
minimize the accumulated losses and reduce its carbon footprint. It has been acknowledged that this time the change
needed will be predominantly cultural and will take serious leap forward. Unfortunately with the tightened budgets
and post-crisis economies the notion of sharing the pot has been consistently omitted from the latest reports thus
leaving the companies with the feeling that their investment in novel technology is only rising and the profit is only
diminishing which inevitably provokes unease and resistance.
So as a manager in construction, next time you meet a demanding client you can tell them: Ill give you BIM if
you give me IPD and get to the win-win situation, promised by the researchers.
5. Synopsis
References
[1] A. Mossman, G. Ballard, C. Pasquire, Lean Project Delivery innovation in integrated design & delivery, (2010) 26 pp.
[2] McGraw Hill Construction, Dassault Systemes, Smart Market Report, Lean Construction, Leveraging Collaboration and Advanced Practices to
Increase Project Efficiency, white paper, 2013.
[3] Kew Associates,
[4] Sir John Egan. Rethinking Construction. The Report of the Construction Task Force. (1998)
[5] AIA California Council, McGraw Hill Construction. (2010). Integrated Project Delivery: Case Studies
[6] Sir John Egan, Project Partnering Contract, PPC2000. (2000).
[7] Keith D Hampson, Judy A Kraatz, Adriana X Sanchez.. Integrated Project Environment. Leveraging Innovation for Productivity Gain
through Industry Transformation. (2014).
226
Fresh ready-mixed concrete waste in construction projects: a

planning approach
Aynur Kazaza, *, Serdar Ulubeylib, Bayram Era, Volkan Arslanb, Ahmet Arslana, Murat
Aticia
a
Department of Civil Engineering, Faculty of Engineering, Akdeniz University, 07058, Antalya, Turkey
Department of Civil Engineering, Faculty of Engineering, Bulent Ecevit University, 67100, Zonguldak, Turkey
Abstract
In the current study, how planning and truck-mixer based waste amounts per 1 m3 fresh ready-mixed concrete (RMC) can be
determined was presented. Toward this aim, the formation process of the fresh RMC waste in construction projects was first
introduced in a detailed manner, together with an in-depth literature review in this specific domain of the construction engineering
and management. Then, the measurement procedure of the waste amount or coefficient of the fresh RMC was revealed and
discussed as a practical and creative planning knowledge. Hence, a useful and realistic waste management perspective about the
cost and potential environmental savings of the RMC waste was drawn.
Keywords: Concrete waste; construction projects; fresh concrete; project planning; ready-mixed concrete
1. Introduction
Today, construction industry tries to deal with enormous amounts of wastes as they are very damaging to the
environment. However, it is very hard to assert that the construction industry has generally constituted and improved
its waste-based business culture so far. In order to reveal the current position of the construction industry as a whole
in terms of types and amounts of construction wastes, it is inevitable that various types of estimates and plans on subsectors of the construction industry should be carried out.
In this context, how planning and truck-mixer based waste amounts per 1 m3 fresh ready-mixed concrete (RMC)
can be determined was presented in the current paper as a part of an on-going research project. This is because, in a
reinforced-concrete building project, concrete can have a big share of about 10% of the total project budget [1]. Of
course, these amounts can be single numbers or interval-based values. Thus, while preparing their proposals,
construction contractors can better estimate both amount and cost of RMC by means of these numerical values, and
can take some preventive measures to decrease these wastes. Project owners can make realistic estimates on the total
project cost by employing these unit waste amounts in the calculation of the planned budget. With an accurate
estimation of the amount of the RMC waste, RMC firms can save both RMC and its raw materials (i.e., aggregate,
cement, and water) by related preventive and recycling efforts. In addition, by revealing the causes of the formation
of the fresh RMC waste, responsibilities of contractors and RMC producers can be determined to prevent and
minimize this kind of wastes. From another perspective, according to TRMCA [2], RMC of 102 million cubic meters
E-mail address: akazaz@akdeniz.edu.tr
227
was produced in Turkey in 2013. Considering this huge consumption volume of RMC, it is evident that, both in
Turkey and in other countries that consume high amounts of RMC, the determination of accurate amount of the
RMC waste has a vital aspect for customers, producers, and society in terms of cost-effective business, sustainable
natural resources, energy-saving processes, and environmental pollution. Moreover, this amount can be used in the
solution of conflicts about the amount of RMC delivered or about the loss of RMC between RMC producers and
consumers.
2. Fresh RMC waste
In construction projects, amounts of materials used both in the cost estimating process by owners or their
consultants and in the cost planning process by main contractors are determined through detailed quantity surveying
studies on project drawings. However, given the current on-site practices, it is nearly inevitable that there are almost
always some natural differences between planned values calculated in quantity surveying studies and real material
amounts used in construction job-sites because of some reasons such as poor workmanship and losses during
transportation and placing. In order to take into account these differences, planning engineers and technical personnel
in construction projects assign some practical specific coefficients or percentages without making any measurement,
but by being based totally on their own experience. Basically, they multiply these specific values by amounts of
related materials and finally find out the last quantities that will be used in construction projects [3,4,5]. However,
these last material quantities become different from those in practice owing to the fact that these coefficients cannot
be successfully estimated and that some unexpected wastes are thus automatically created. In fact, this is because
material wastes cannot be completely avoided and prevented due to different production methods and products in
sites and unqualified quantity surveyors and estimators [6].
Concrete waste is among the most important types of material wastes in construction projects. They accounts of
approximately 50-55% of the total construction waste generation by weight [7,8,9]. Numerous academic researchers
in theory and many concrete manufacturers in practice attach significant importance to recycling and reusing issues
of the concrete waste. This kind of studies in the related literature have usually been directed to the use of the
crushed concrete waste either as a road-base fill material or in place of the virgin aggregate for the new concrete and
asphalt pavement [10,11,12]. However, in order to sustain these recycling and reusing efforts in terms of commercial
and environmental purposes, the potential amount of the crushed concrete waste (i.e., artificial aggregate) that can be
produced in a plant and in a region should be clearly known. In this regard, only a few scientific research studies on
the determination of the concrete-focused version of the above-mentioned coefficients or percentages exist in the
literature to minimize such wastes at inception. Details of these researches are given in Table 1 below.
Table 1. Studies investigating the amount of the concrete waste.
Author(s)
Country
Number of construction
materials observed
Type and number of projects

observed
Observation
period
Average amount of
concrete waste by weight
Soibelman [13]
Brazil
4 housing and 1 commercial

building projects
4-5 months
13.2%
Isatto et al. [14]
Brazil
16
35 construction projects
4-6 months
9.5%
Bossink and
Brouwers [15]
Holland
5 housing projects
14 months
3%
Poon et al. [16]
Hong
Kong
10
20 public housing projects and

2 office blocks
Not available 3-5%
Poon et al. [17]
Hong
Kong
11
5 housing projects
20 months
Tam et al. [18]
Hong
Kong
Not available 4-6.8%
Baytan [19]
Turkey
1-5 months
6.1%
Li et al. [20]
China
1 building project
1 month
1%
228
2.5%
As can be seen from the above-mentioned all percentage values based on researches, the amount of the concrete
waste varies in a wide interval changing between 1% and 13.2%. From the methodological perspective, no research
presented in Table 1 has carried out a direct quantitative measurement in places the concrete waste can be born.
Numerical values in these studies have been compiled by subtracting the amount of concrete in the bill of quantities
from that in project drawings. In other words, these values have been calculated using the following Equation 1
where Vpercentage is the percentage of the concrete waste, Vpurchased is the amount (i.e., volume) of concrete purchased,
and Vdesign is the amount of concrete measured from project drawings,
percentage
(V
purchased
V design
)V
(1)
design
However, in case of a difference between Vpurchased and Vdesign, it cannot be asserted that the concrete waste is
formed. Even a practical difference of 1 cm between the real position of formwork and its must-be position can lead
to a significant deviation especially when the amount of concrete to be poured is very high. In addition, as can be
seen from all these previous studies, there is no research investigating the amount of the concrete waste only. This is
because in these researches site- or project-focused calculations rather than RMC plant-focused measurements as in
the present study have been made due to the high number of different construction materials followed. Therefore, a
direct quantitative measurement has been performed neither in RMC plants, where concrete is produced, nor during
the discharge of the leftover concrete. In practice, this excessive concrete can be poured in site, in RMC plant, or
during transportation. In this context, the amount of concrete is not controlled in these three stages, and the concrete
waste poured in RMC plants or during transportation is overlooked. Thus, measurements calculated become prone to
serious errors. Moreover, by this methodology, reasons behind the formation of the concrete waste cannot be
determined clearly. Therefore, some of the above-mentioned studies [15,17] try to reveal these reasons and their
importance levels by means of questionnaire surveys applied to site/project managers instead of employing a direct
measurement technique.
Within various categories of the concrete waste, over-order of concrete is the major contributor among others,
according to Tam and Tam [9]. A 400 million of RMC is dumped in the UK each year because construction sites
inaccurately order quantities [21]. Similarly, about 8-10 tons of the fresh concrete waste can be produced every day
from a batching plant with a daily output of 1000 m3 of concrete [11]. From a global perspective, it is estimated that
over 125 million tons of the returned concrete or 0.5% of the total concrete production are generated as waste every
year, confirming that it is a relevant part of the construction waste and represents a heavy burden for RMC plants
[22]. Reasons behind the formation of the fresh concrete waste can be listed as follows,
wide-margin orders of contractors planning engineers for RMC the amount allowed by quantity surveyors is
generally about 10% more than that in project drawings [23,9] because (i) the additional concrete may not be
immediately produced especially in busy periods of a batching plant and thus some undesired joints may be
formed if the ordered concrete is insufficient and cannot be delivered in time and (ii) estimators find it easier to
over specify rather than calculate quantities accurately [24]
the incorrect calculation of quantity, which is usually based on orders given by workers instead of civil engineers
[1]
the poor workmanship during the concrete-pouring activity
the residual or adhesive concrete in truck-mixers [15,25,17].
3. Measurement of the fresh RMC waste
The volume of RMC filled into a truck-mixer (Vtotal) by a computerized automatic system in an RMC plant is first
calculated by dividing the weight of the total fresh RMC (Wtotal ) into the weight of the unit volume of the fresh RMC
(concrete) as in Equation 2,
total
= W total
(2)
concrete
229
Second, the residual RMC in the truck-mixer, which cannot be poured and thereby returns to the plant after
delivery, is taken in the plant by adding some water into the truck-mixer and weighed. The original weight of it
(Wwaste) and those of its ingredients (i.e., aggregate, cement, and water) are determined by material experiments in
laboratories of the related project-partner university and batching plant. It is of course hard to test whole RMC
wastes in truck-mixers because of their huge total amounts. Therefore, before the measurement process in the
research, samples were taken from each truck-mixer for each class of concrete and were analyzed in detail. As a
result, average coefficients were determined to directly calculate original weights of ingredients through the total
weight of the fresh residual RMC of which additional water was filtered. This application is periodically performed
once three months to observe if these coefficients vary. The sum of original weights of ingredients gives the original
weight of the residual RMC in the truck-mixer (Wwaste). The volume of this sum (Vwaste) is calculated by Equation 3,
waste
= W waste
(3)
concrete
Thus, the volume of RMC poured in the site or delivered to the client (Vpoured) can be clearly expressed as in
Equation 4,
poured
= V total V waste
(4)
In this context, the possible relationship between Vwaste and the volume of drum of the truck-mixer is also
investigated statistically by following truck-mixers of 9, 11, and 12 m3, which are commonly used in the industry.
Another possible relationships investigated are between Vwaste and the class of concrete and between Vwaste and
ingredients (i.e., sand, gravel, cement, and water) proportions.
As most RMC orders in the construction market are higher than 10 m3, it can be accepted that RMC is usually
delivered by more than one truck-mixer. Through Equation (5), the percentage or the unit volume of the
residual/adhesive RMC waste in the truck-mixer (Vmixer) is found out. This is the plant-based cause of the waste
generation problem. In theory, the drum should be watered after each order and before idle times. However, in
practice, it is performed once per truck-mixer only at the end of the working day because of busy working conditions
of truck-mixers.
n
=
V mixer
V wastei
i =1
V
i =1
total i
100
(5)
Client- or contractor-based waste generation factors mentioned above as wide-margin orders, the incorrect
calculation of quantity, and the poor workmanship, are also examined in terms of their shares in the unit volume of
the RMC waste. As can be given in Equation (6), the potential volume of the RMC waste (Vclient) depends both on the
volume of RMC ordered by client (Vordered) and on the total volume of RMC poured by multiple truck-mixers in site.
However, Vclient is an imaginary waste unless a truck-mixer returns to the batching plant from site together with the
unwanted or unused fresh RMC more than the probable residual/adhesive RMC. This becomes clear when a truckmixer that has already come back to the plant is weighed. This is because RMC plants produce and deliver RMC step
by step as much as the drum of a truck-mixer can include. The production and loading procedure of the whole RMC
in a drum takes five minutes only. It means that orders are met in a retail system rather than a wholesale system
where all the items of a product are manufactured and wait for delivery. From another perspective, even if a truckmixer returns with a considerable amount of RMC, it is sent to another project that demands for a same or smaller
class of concrete although it is difficult to match highly specific mix types with suitable customers at short notice.
However, if there is no such a project, the returned concrete is called as the fresh waste and a limited number of the
dosing centrals have resources to handle this waste in their yard indeed. Such wastes are also recorded in this
research.
230
V client = V ordered V poured i
(6)
i =1
Thus, the unit waste volume or percentage that can be used by client (Vestimating) in estimating the real volume of
RMC to be placed is determined through Equation (7),
estimating
= (V client
ordered
) 100
(7)
Here, as the first option, Vclient can be a negative value. This denotes that the concrete quantity has been calculated
incorrectly by client and/or that Vmixer has been ignored by client and RMC plant. In contrast, Vclient can be a positive
value. In this case, either Vestimating is allocated by client for order or there can be client-based three causes such as
wide-margin orders, the incorrect calculation of quantity, and the poor workmanship. In the present research, these
are investigated by means of the direct observation and communication in sites and measurement in RMC plants.
While calculating Vestimating, possible relationships between this value and the type of project and between it and the
type of formwork are also examined statistically together with the causes behind these relationships.
4. Conclusions
In this study, a detailed step-by-step procedure to measure planning and truck-mixer based waste amounts per 1
m3 fresh RMC was presented. This was performed in the light of the formation process of the fresh RMC waste in
construction projects.
As practical/industrial and social implications, waste coefficients that can be obtained by following the procedure
explained throughout the present paper can be used by construction contractors and project owners in estimating and
accounting and by RMC firms in saving natural resources and energy and in preventing the environmental pollution
and potential conflicts between parties. As a research implication, the following values can be computed through unit
waste amounts in a future study,
Annual fresh RMC waste production amounts of RMC plants in a country: The total RMC production amount in a
country in a year can be multiplied by Vmixer. Also, the share of the each class of concrete in this waste amount can
be multiplied by the corresponding unit RMC cost. Thus, the estimated cost of the total RMC waste can be
determined.
Approximate amounts of ingredients (i.e., aggregate, water, and cement) that can be saved by RMC plants in a
country in a year: As proportions of ingredients used for different classes of concrete are recorded in this
research, these proportions can be multiplied by the computed waste amount of the each class of concrete. Also,
these approximate amounts can be multiplied by the corresponding unit costs of these ingredients. Thus, the total
cost of savings can be revealed.
Acknowledgements
The authors gratefully acknowledge the managers and employees of the batching plants for their generous
collaboration and contributions. The authors also thank financial supports provided by Committees on Research
Grants of Akdeniz University and Bulent Ecevit University. This study is based on a research project which is
financially supported by the Scientific and Technological Research Council of Turkey (TUBITAK) under the grant
number MAG-113M428.
References
[1] Kazaz, A., Ulubeyli, S., Turker, F. (2004). The quality perspective of the ready-mixed concrete industry in Turkey. Building and Environment,
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231
[2] TRMCA (Turkish Ready-Mixed Concrete Association), Statistics of the Ready-Mixed Concrete Industry in 2013-2014, TRMCA, Istanbul,
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[3] G.J. Ritz, Total Construction Project Management, McGraw-Hill, New York, 1994.
[4] J.P. Lewis, Project Planning, Scheduling, and Control: a Hands-On Guide to Bringing Projects in on Time and on Budget, 3rd Edn., McGrawHill, New York, 2001.
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[6] G. Winkler, Recycling Construction and Demolition Waste, McGraw-Hill, New York, 2010.
[7] Mulheron, M. (1988). The recycling of demolition debris, current practice, products and standards in the United Kingdom, Proceedings of the
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[8] C.F. Hendriks, H.S. Pietersen, Sustainable Raw Materials: Construction and Demolition Waste, Report 22, RILEM Publications, France, 2000.
[9] Tam, V.W.Y., Tam, C.M. (2007). Economic comparison of recycling over-ordered fresh concrete: a case study approach. Resources,
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[10] Herrador, R., Perez, P., Garach, L., Ordonez, J. (2012). Use of recycled construction and demolition waste aggregate for road course
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and Building Materials, 28, 549-556.
[12] Silva, R.V., de Brito, J., Saikia, N. (2013). Influence of curing conditions on the durability-related performance of concrete made with
selected plastic waste aggregates. Cement and Concrete Composites, 35 (1), 23-31.
[13] L. Soibelman, Material Waste in Building Construction: Occurrence and Control, MSc. Dissertation, Federal University of Rio Grande do
Sul, Porto Alegre, Brazil, 1993.
[14] E.L. Isatto, C.T. Formoso, C.M. De Cesare, E.H. Hirota, T.C.L. Alves, Lean Construction: Guidelines and Tools for Controlling Waste in
Building, SEBRAE/RS, Porto Alegre, Brazil, 2000.
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and Management, 122 (1), 55-60.
[16] Poon, C.S., Yu, A.T.W., Jaillon, L. (2004). Reducing building waste at construction sites in Hong Kong. Construction Management and
Economics, 22 (5), 461-470.
[17] Poon, C.S., Yu, A.T.W., Wong, S.W., Cheung, E. (2004). Management of construction waste in public housing projects in Hong Kong.
Construction Management and Economics, 22, 675-689.
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types with their correlations. Building and Environment, 42, 1471-1477.
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Resources, Conservation and Recycling, 74, 20-26.
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[23] B. Cooke, P. Williams, Construction Planning, Programming and Control, Blackwell, Oxford, 2004.
[24] Sealey, B.J., Phillips, P.S., Hill, G.J. (2001). Waste management issues for the UK ready-mixed concrete industry. Resources, Conservation
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Journal of Project Management, 20, 7, 535-543.
232
Exploring the contractors qualification process in public works

contracts
Jana Korytrov1, Tom Hank1, Renata Kozik *2, Elbieta Radziszewska Zielina2
2
1
Brno University of Technology, Veve 95, Brno, 602 00, Czech Republic
Tadeusz Kociuszko Cracow University of Technology, ul. Warszawska 24, Krakw, 31-155, Poland
Abstract
Public contracting authority may award contracts only to contractors who meet certain qualification criteria for participation in
tenders. Such requirements can vary between countries; this paper therefore introduces basic legislation governing this process
both in the Czech Republic and Poland. The verification of compliance of these requirements should be made individually for
each public procurement procedure which is associated with the need to submit corresponding documents.
The aim of the article is to analyse and compare current practice in using qualification criteria for public works contracts in both
countries.
Information about qualification criteria have been studied on the sample of 345 tenders for public works contracts, in particular
for road structures, schools and water and sewage facilities and equipment. Analytical part focuses on the extent of qualification
criteria use and discusses their application in the context of ensuring fairness of the competition with regard to non-discriminatory
nature of the qualification. Research findings reveal significant disparity between the Czech Republic and Poland in the area of 1)
professional and 2) economic and financial qualifications.
It has been concluded that the reintroduction of economic and financial qualification criteria in the Czech Republic is justified if
used appropriately and according to methodological guidelines. In Poland, the risk of inappropriate use of criteria lies especially
in excessive requirements in relation to the volume and nature of contract. Contracting entity is not obliged to describe and
demand all the requirements, it is crucial to require just the fulfilment of those criteria which are necessary to assess the ability of
contractors to perform the contract.
Keywords: construction; contractor; qualification; public contracts; public procurement
1. Introduction
Investment projects are complex and require an appropriate management in all their stages. Some researchers even
consider the procurement a separate stage of the project [16]. The importance of procurement comes from the main
criteria which affect success of the project: cost, quality, time, safety and how the project meets is envisaged purpose
(American Institute of Architects, cited [8]). For this reason it is crucial to allow bidding for the contract to only such
contractors who are sufficiently qualified for the proper performance of specific contract. From this perspective,
authors in [4] and [17] consider selection of an appropriate contractor as one the most critical factors of project
success. In response to this request, this paper pays attention to the process of application of qualification criteria
* Corresponding author. Tel.: 0048-12-628-23-30; fax: 0048-12-628-20-29.

E-mail address:rkozik@izwbit.pk.edu.pl
233
(QC). More specifically, current practice in using qualification criteria for public works contracts in the Czech
Republic and Poland have been analysed and compared.
Research community pays considerable attention to the procurement area and deals with its various aspects and
implications (innovation aspect of procurement [21], sustainability [22], finding best practices [19], discriminatory
procurement in the context of international trade [23], electronic support of procurement [7], [24], problems which
can occur while preparing the tender [11], [18] or qualification issues [4], [17], [14]). However, the area of
qualification of contractors for public works contracts has not been widely examined yet, therefore this article
contributes to the development of knowledge by performed comparative analysis of the Czech Republic and Poland.
Based on the above-mentioned facts, research aim of this paper is to perform a comparative analysis of the QC used
in the Czech Republic and Poland within public works contracts, in particular with regard to detecting significant
differences between examined countries. In order to achieve the stated goal, state of the art based on the respective
legislation is introduced as first. Then, research methodology is explained and consequently the results obtained are
presented and discussed. Finally, suggestions and recommendations regarding the adjustments of qualifications for
public works contracts are formulated.
2. Law regulation related to contractors qualification
Requirements of the Polish authorities in order to qualify contractors are related to credibility, knowledge and
experience, qualifications of the persons proposed to perform the contract, technical capabilities and financial and
economic condition of the contractor. Verification of fulfilment of these requirements is carried out every time for
each public procurement procedure and is connected to the need for submitting adequate documents. In the Czech
Republic, requirements are generally similar. However, national legislation sets requirements for qualification with
certain differences.
2.1. Law regulation in the Czech Republic
Qualification represents a set of requirements defined by law [1] and contracting entity by which the applicant
proves its capability to perform the contract. QC should be met by contractors in the Czech Republic that have
proven their compliance with: basic QC ( 53); professional QC ( 54) and technical QC ( 56).
Basic qualification prerequisites demonstrate probity of contractors to the state. The contracting authority has to
always require their fulfilment. The Czech act defines 13 basic QC. By the fulfilment of basic QC, the tenderer
proves e.g. that it has not been finally convicted of a criminal offence committed for the benefit of an organized
crime group, is not or has not been subject to insolvency proceedings involving its assets, has not outstanding tax
arrears registered in tax records etc.
Professional qualifications prerequisites demonstrate professional competence of contractors to pursue activities
that are the subject of a public contract. By the fulfilment of professional QC, the tenderer provides e.g. an extract
from the Company Register, evidence of possession of a licence to pursue business activities under separate legal
regulations to the extent corresponding with the subject-matter of the public contract, particularly, evidence proving
relevant trade authorization or licence etc.
Technical qualifications prerequisites demonstrate the technical ability of the contractor to perform the contract
being awarded. For technical qualifications prerequisites, the contracting authority selects those that are suitable for a
specific contract, e.g. construction, changes in construction or removal of buildings.
Public contracts are divided into three types public service contracts, public supplies contracts and public works
contracts. Each type of technical qualifications prerequisites are defined separately and the contracting authority may
not require prerequisites of one type of procurement for a different kind of public contracts. If the public contract
corresponds to several types of the public contracts, the contracting authority is entitled to require compliance with
technical qualification prerequisites specified in the law in a reasonable range for each type separately. Defining
technical qualifications prerequisites does not depend on the financial volume of orders, but on the subject of public
works contracts, i.e. on what kind of buildings with regard to their functions should be carried out. For each public
works contract only prerequisites effectively projected into business conditions or contract of work have to be
defined. They are unable to require prerequisites that should only have "eliminating" character, but the reason for
their requirement is missing.
234
2.2. Law regulation in Poland

According to Art. 22 PPL [2], economic operators which meet the conditions related to the following criteria are
eligible to compete for a contract:
authorisations to perform specific activities or actions, if such authorisations are required by the law - this
condition applies to e.g. concessions, licenses required to perform some activities;
knowledge and experience - this general provision should be clarified by the contracting entity. Description of the
condition of knowledge and experience as well as a description of how to assess compliance with this condition
knowledge and experience depends on the type and character of public procurement, including the degree of
complexity as well as the scope of the required knowledge or skills to carry it out;
appropriate technical potential and personnel capable of performing the contract these requirements should
apply to key personnel and equipment e.g. persons who will participate in the contract performance, in particular
responsible for management of works, along with some information required according to [20];
economic and financial condition.
The above mentioned conditions are specified by the contracting authority that awards the public contract, and
they vary depending on the subject matter of the contract. In order to meet all requirements, contractors may compete
for a contract jointly (Art. 23 PPL) or in relation to the knowledge and experience, technical potential, personnel
capable of performing the contract or financial abilities of other entities (no matter what is their citizenship or where
their principal place of business is located), regardless of the legal nature of their relations with such entities (Art. 26
PPL). In the case of using other entities resources, the contractor is required to prove to the contracting authority that
it will have at its disposal the resources necessary to perform the contract, in particular by presenting a written
commitment of those entities whereby they consent to put the necessary resources at the contractors disposal for the
time of their use in performance of the contract. Additionally a contractor cannot be excluded from contract award
procedures according to Art. 24 PPL e.g. those economic operators who are in arrears with payment of taxes, charges
or social insurance or health insurance premiums. Where the value of the contract is equal to or exceeds the EU
thresholds (5,186,000 EUROS for works) the contracting authority is obliged to request documents proving that the
economic operators satisfy the conditions for participation in the procedure. The list of such documents is specified
in the implementing legislation [20].
3. Research methodology
The investigation of procurement area in its both essential sections (qualification and bid evaluation [15]) requires
sufficiently large data set [3]. This paper focuses exclusively on QC applied within public works contracts both in the
Czech Republic and Poland. For this purpose, data on 345 (160 in Poland and 185 in the Czech Republic) procedures
settled between 2013 and 2014 was collected from official databases, such as: Information System on Public
Procurement (CZ) [10] and Bulletin of contracts [5] operated by Czech Ministry for Regional Development and
Bulletin of Public Procurement Portal Public Office for Public Orders [6].
Because for different types of structures, diverse QC could be used, purposely the data set consists of three types
of works: 1) road structures, 2) schools, 3) water and sewage facilities and equipment. After data collection, QC were
categorized among a) professional, b) technical and c) economic and financial (basic qualifications are obligatory;
therefore this section is not analysed further). As a next step, occurrence of individual criteria in relation to the type
of structure was detected in terms of their relative frequency. Based on the data obtained, particular criteria are then
discussed in relation to their use in analysed countries and for different types of structures.
4. Results and discussion
The research sample contains information on public tenders in three particular areas: road structures, educational
facilities (schools) and water and sewage facilities and equipment. The distribution of individual types of structures
is clearly displayed in Table 1. In total, 345 registers were examined, which satisfies the condition of sufficiently
large sample, as stressed by [3]. In addition, the extent of the categories (examined countries and types of structures)
was purposely designed to be comparable.
235
Table 1 Basic characteristics of research sample

Type of structure
Czech Republic
Poland
Roads
68
50
Schools
59
50
Water/Sewage
58
60
Total
185
160
The evidence of QC relative frequency of occurrence is presented in Table 2. Representation of the data clearly
shows that there are significant differences within the use of the QC in the Czech Republic and Poland. Firstly, data
on Czech tenders shows that in comparison to Poland, contracting authorities are more demanding in the area of
professional QC. The high frequency of occurrence is reported primarily for the requirements on the evidence of
possession of a licence and authorisation to perform specific activities or actions (if they are necessary for
performance of the specific contract). Occasionally, evidence issued by a professional self-governing chamber or any
other professional organisation proving membership (if such membership is crucial for the performance of the
contract under separate legal regulations) and evidence proving the economic operators capability to safeguard the
confidentiality of classified information (applicable for contracts in the fields of defence and security) are stated in
the tender documentation in the Czech Republic. In Poland, for defence and security contracts, separate provisions
are provided in PPL [2], [20] (similar to the Czech Republic). However, these types of contracts did not appear in the
research sample. In addition to this, an extract from the Company Register is also standardly required in both
countries. In Poland, the absence of information about particular activity in the Company Register (CR) or in the
National Court Register (NCR) does not mean that the economic operator is not able to provide specific services,
supplies or works. The lack of such entry in the CR does not exclude the contractor from the tender procedure.
In the category of technical QC, it should be noted that practice in both Poland and the Czech Republic is the
most similar. Predominantly, list of works serves as the essential aspect of the qualification. In Poland list of
personnel and declaration that persons participating in contract have required qualification/licence are more often
required then in the Czech Republic. List of tools plays an important role in connection to the type of the structure,
since it is primarily required for road structures and just occasionally for water/sewage facilities. Minimum volume
of works per contract is applicable for both countries and all the structure types. However, it is mostly used for
schools and water sewage facilities.
Moreover another significant difference was observed regarding economic and financial QC. Based on the
amendment to the Czech Act on Public Contract from 2012, these requirements (such as insurance policy, average
annual income etc.) cannot be used, instead of this just the statement that the contractor is able to meet all the
requirements to perform contract is allowed to be required. This statement can be followed by requirements related to
the tender security or bank guarantee. In Poland, in order to prove the financial condition, contractors can be asked to
provide financial report or its part, information from a bank or cooperative savings and credit union where the
economic operator runs an account or pays insurance policy, and in case of lack of other document confirming that
the economic operator is insured against personal liability within the scope of economic operator's activity with
reference to subject matter of contract.
QC can be identified as an important risk of corruption. For instance, methodology for local governments [12]
notes, that determination of unnecessarily strict QC for suppliers to the subject of the contract results in the
elimination of effective competition and contracts can be even tailored to pre-selected contractor. Unjustified
technical requirements for contractors (in case of insulation of five buildings in the hospital complex) or an
unreasonable requirement for turnover of the contractor (delivery of IT services) are noted in this document [12] as
illustrative examples. The potential risk in the Czech Republic currently lies primarily in the area of technical QC
since economic and financial QC were cancelled. The absence of economic and financial QC, however, brings the
risk that the incompetent applicants could participate in the tender procedure, because it is sufficient to prove the
competency by a simple statement. In this context, replacing the fulfilment of economic and financial QC simply by
affidavit of financial and economic capacity to fulfil a contract seems to be an unnecessarily radical measure against
the abuse of this institute [25]. Since the veracity of affidavit is not reviewable by the authority, risks arising from
financial and economic instability of the contractor will actually be transmitted to the implementation phase of the
public contract [9].
236
Table 2 Evidence of QC relative frequency of occurrence [%] (in-house processing using data from [5], [6], [10])
Qualification criteria
Roads
Professional
CZ
Evidence of possession of a licence
94.1
Evidence issued by a professional self-governing chamber
1.5
Authorisations to perform specific activities or actions
98.5
Evidence proving the economic operators capability to

safeguard the confidentiality
0.0
Technical
CZ
PL
CZ
PL
CZ
PL
Declaration that persons participating in contract have

required qualification/licence
32.4
66.0
28.3
68.0
47.5
93.0
List of personnel
11.8
60.0
28.3
90.0
22.0
90.0
List of tools, equipment and technical devices
52.9
20.0
0.0
0.0
8.5
2.0
List of works with documents confirming if previous works

were performed properly
100.0
90.0
100.0
100.0
100.0
95.0
Average no. of personnel annually
7.4
0.0
6.8
0.0
0.0
0.0
Minimal volume of works on contract
2.9
24.0
86.4
72.0
91.5
52.0
Economic and financial
CZ
PL
CZ
PL
CZ
PL
Water/Sewage
PL
76.3
100.0
Average annual income (netto)
48.0
100.0
43.0
88.1
10.0
0.0
79.4
100.0
0.0
2.0
0.0
17.0
0.0
42.0
86.4
0.0
Annual turnover
78.0
36.0
22.0
97.1
PL
10.2
0.0
3.4
12.0
CZ
98.3
6.8
0.0
Paid insurance policy
Tender security / bank guarantee
CZ
93.2
Information from a bank
Statement that the contractor is able to meet all the

requirements / perform contract
Schools
PL
0.0
78.0
As regards the disparities in the application of the QC from the perspective of the type of construction, only 2
more apparent deviations were revealed. Specifically, this refers to 1) technical QC for roads in both countries (more
frequent use of list of tools, equipment and technical devices to the detriment of minimal volume of works on
contract) and 2) economic and financial QC in the Czech Republic (non-application of tender security or bank
guarantee for educational facilities).
The authors of this study consider applying the economic and financial QC to be justified, but it is desirable to
create methodological guidelines for their practical application in order to minimize the risk of misuse. As an
example, methodical recommendations for unification of qualification and evaluation criteria for public works
contracts [13] could serve as the guidelines for setting limits for the adequacy of requirements. In Poland, QC have to
be determined in accordance with the rules of fair competition and equal treatment of economic operators and
according to the legitimate needs of the contracting authority. Contractors should be selected in a non-discriminatory
way; one of them cannot have an advantage over another. Contracting authority is not obliged to describe and require
all the requirements stated in Art. 22 of PPL [2] but only those which are necessary to ensure correct implementation
of public contracts. The risk of failure of the principles of fair competition may be associated with requesting
unreasonable demands e.g. the performance of works of a value much greater than the estimated value or the demand
for contractors to dispose of experience in the performance of contracts not related to a contract award.
5. Summary
This study has explored the use of QC in the Czech Republic and Poland within public works contracts. In has
been found, that disparities in 1) professional and 2) economic and financial QC exist between examined countries.
In addition, the use of certain QC is different from the perspective of the type of contract (road structures, schools,
water and sewage facilities and equipment). It can be concluded, that in the Czech Republic, the return of use of
economic and financial QC is desirable since e.g. limitations in relation to the volume of annual turnover would
237
satisfactorily exclude ineligible applicants. In Poland conditions for participation in the procedure (Art. 22) are
separated from those determining contractor exclusion (Art. 24). The lack of entry for the specific activity to CR
authorizes almost any company to apply for a contract.
However, it should be emphasized, that each QC has to be used appropriately in order to preserve the competition
in the tender, thus methodological guidelines should be implemented as a precaution against corrupt practices.
This research has two main limitations. Firstly, the detailed documentation of particular tenders has not been
explored; therefore findings presented in this study are based on the frequency of QC use. Secondly, the subject of
the study were just QC that show a variability of use, therefore basic QC (such as if contractor has not accomplished
elements of unfair competition practices in the form of bribery) were not examined. Future research should provide
more in-depth information about contracts, in particular in relation to technical QC.
Acknowledgements
This paper has been written with the support of the project no. 7AMB14 entitled Whole life costs modelling for
building and specific research of Brno University of Technology, grant project no. FAST-S-15-2944 entitled
Effective Management of Processes in Civil Engineering II.
References
[1] Act No. 137/2006 Coll., on Public Contract
[2] Act of Public Procurement Law (PPL) adopted on 29th January 2004, with further amendments. http://www.uzp.gov.pl/cmsws/page/?F;370
(20.02.2015).
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Relationship between leadership styles and project success in the

South African construction industry
Liphadzi, M*, Aigbavboa, CO & WD Thwala
Department of Construction Management & Quantity Surveying, University of Johannesburg, Johannesburg, 2028, South Africa
Abstract
Adequate leadership is a vital key to the successful performance of any firm or business, and it is much more important to the
construction industry. The main objective of this paper is to explore the relationship between different leadership style practices
and project success in the South African construction industry. The data used in this research were derived from both primary and
secondary sources. The secondary data was collected via a detailed review of related literature. The primary data was collected
through a structured questionnaire aimed at 150 project and construction managers in the South African construction industry.
However, 110 questionnaires were received representing a 73% response rate. Data from the questionnaire were analyzed using
SPSS 21.0 software. Correlation analysis was used to determine the relationship between leadership styles and project success.
Likewise, the relationship between the different leadership styles and project successes in the South African construction industry
was investigated using Pearson Product-moment Correlation Coefficient. Findings from the study revealed that there is a positive
relationship between transactional leadership and project success. The results further revealed that there is no relationship between
Laissez faire leadership style and construction project success. However, the study explores the relationship between leadership
styles and project success in the South African construction industry. The study contributes to the body of knowledge of construction
leadership by providing a robust background on construction leadership style practices of project and construction managers.
Keywords: Construction, leadership styles, project success, relationship
1. Introduction
South Africa is a country that has been affected by the presence of many leadership challenges which has demanded
the current crop of leaders in all sphere of life and the construction industry in particular to reinvent themselves or
make way for new leaders. Besides, good leadership helps any national state through times of challenges and further
makes business organization to be successful. It also enables companies to fulfil their missions. Leadership is even
more vital in the construction industry were success is measured by the projects being on time and within budget. On
the contrary, the absence of leadership is equally dramatic in its effects. Without leadership, organizations move too
slowly, stagnate, and lose their way. Thus, it is important to understand how leaders influence behaviour, change the
course of events and overcome resistance. Moreover, it is also necessary to understand their leadership practices for
project success. Hence, Ogunlana [1] states that, the success of a construction project depends on several factors, one
of which is the competencies of the project leaders, their personalities, characteristics, skills and leadership styles,
amongst others. All these impacts significantly on construction project outcomes. According to Mller and Turner [2],
there is increasingly recognition that different types of projects require different methods for their management and
leadership, as well as requiring management procedures tailored to meet the needs of the specific project.
E-mail address:caigbavboa@uj.ac.za; rendy017@gmail.com
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It is important to note that the leader in the construction industry is responsible for the performance of the team and
the achievement of their goals. Therefore, the construction leader who has good skills and management styles can
expect good results from the team entrusted to them. Hence, this paper investigates the relationship between different
leadership style practices and project success in the South African construction industry as it is very important to
understand the leadership styles in the construction industry and their resultant effects on project successes.
2. Leadership in the construction industry

It is also evident that the construction industry has a greater need for leadership than arguably any other industry.
Many reasons support this notion and it is evident in the nature of the construction projects, and constructed products
[3]. If one word could describe the essence of construction management it is responsibility since project leaders are
responsible for all that happens in a construction project. This does not mean that the project leader should or could do
everything associated with the project; but it does mean that they have ultimate responsibility for the project. In other
words, the buck stops with the project leader. Since construction projects are large and technically complex and they
involve a combination of specialized skills. Likewise, construction teams are not only large but are also multidisciplinary and the members are from several different construction disciplines and this makes good leadership style
vital in this industry.
Leadership can be summed up as joint outcome of the leaders self-related cognitive information, personality traits,
the underlying motives, and his understanding of operating situational variables [4]. Moreover, researchers on
leadership have proposed a number of leadership styles such as democratic, autocratic, consultative, and joint decision
making types, such as: transactional, transformational, and laissez faire [5]. Besides, in the construction industry,
project and construction management were developed in construction and engineering fields in order to improve
planning and cost controls [6].
Since, construction and project managers in the construction industry are responsible for the productivity of the
project members; they should maintain cohesion in the project. Hence, they should be leaders who can motivate and
inspire construction workers within the given projects. This is because leadership is considered to be good if it is
designed to accomplish the goal or mission of an organization which is done through project team leading and project
time managing, within budget, to a high quality, and with a satisfied customer [7]. Moreover, Price [8] stated that the
simplest model of leadership works with three dimensions: vision, values and execution. If a business or a country does
not have a clear vision of what is to be achieved, chances are it will be stuck in operational problems. Therefore, it can
be said that the South African government recent announcement of the 2030 National Developmental Plan is the map
towards fulfilling our infrastructure vision. But in the midst of this vision lies other leadership dimensions such as
execution, deeds, tangible results, operational efficiency, project management within budget and on time, expertise to
actually do the job, and whatever other words one can use to say: Make it happen! In the South African construction
industry, planning and money concerns are not the problem, but leadership is the actual problem. Thus, leadership
values such as morality and honesty are required from the project leaders, in addition linking different leadership styles
for project success is also vital.
2.1. Leadership Styles
Leadership is a key factor for success in any activity that involves collaboration in a group (or groups) of people. In
construction, leadership is even more essential [9]. Munns and Bjeimi [10] emphasize that the success or failure of
project management is highly dependent on the project leaders. In an international study of leadership in the
construction industry, Price [8] cited that all transformational factors such as: charisma, inspirational motivation,
intellectual stimulation, and individualized consideration are important; but Price further informed that transactional
factors, which are contingent reward, management- by-exception, active and passiveness were of great importance for
the effectiveness of any leadership. Literature also reveals that well-perceived leadership style elements of construction
professionals include inspirational motivation, idealized attributes, intellectual stimulation, idealized behaviour,
contingent reward, and individualized consideration. According to Price [8], building professionals should adopt and
promote the use of transformational leadership in their interactions with employees in order to realize greater employee
performance and satisfaction.
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Transactional Leadership
Transactional leadership underlies most leadership models, which focus on exchanges between leaders and
followers [11]. It is an extrinsic-based motivation process by which leaders achieve their goals, while followers receive
external rewards for job performance. An example of this type of leadership is the manager who offers rewards, such
as promotions, extra pay, or time off, for employees who surpass their goals. Transactional leadership behaviours
include interactive goal setting, contingent material reward, contingent personal reward and personal recognition [8].
Charismatic Leadership
Charismatic leadership can be described as a fire that ignites followers energy and commitment, while producing
results above and beyond the call of duty [8]. These effects are seen to have a higher probability of occurrence in
stressful environments and situations where followers look to leaders to deliver them from their difficulties [11].
Generally, charismatic leadership works because it creates congruence between followers and their values and the
organizations values and culture.
Transformational Leadership
Transformational leadership is basically a motivational process whereby leaders engage followers to create a
connection that raises the effort and moral aspiration. Transformational leaders are attentive to the needs and motives
of followers and help inspire them to develop into leaders [8]. This leadership style produces trust and satisfaction and
working for a transformational leader can be a wonderful and uplifting experience.
Democratic leadership
Leaders using this style provide direction, but allow the group to make its own decisions. Specifically, the leader
encourages members to determine goals and procedures, and stimulates members self-direction and self-actualization
[12]. In addition, the democratic leader offers suggestions and reinforces members ideas. The democratic style
supports the teamwork method and always coaches and leads staff to achieve the organizational goals.
Laissez-faire leadership
According to Boonyachai [13], this leadership style allows the group to develop on its own decisions, as the leader
has no real authority. Specifically, the leader answers questions, provides information, or gives reinforcement to the
group. The subordinates of Laissez-Faire leaders have to seek other sources to support them in making final decisions.
Authoritarian leadership
This leadership style is the opposite of the Laissez-Faire leadership and Democratic leadership. Authoritarian leaders
are commonly referred to as autocratic leaders. They provide clear expectations for what needs to be done, when it
should be done, and how it should be done. There is also a clear divide between the leader and the followers. According
to Evans [14], Authoritarian leadership sets agendas and determines the groups policies, assigns tasks to members,
and makes decisions for the group without consulting subordinates. In the end, the leader takes responsibility for the
groups progress, but accepts very few suggestions from the group. Rarely do the group members communicate with
one another, but they communicate with the leader [14].
2.2. Relationship between leadership characteristics and project success/failure
Turner & Pearce [15] were of the view that the leadership style and competencies of leaders are key to successful
performance in business; which have been confirmed by other scholars to have a correlation between these and the
performance of organizations and companies. Additionally, Zhang [16] noted that the importance of project leadership
to project success may be related to the types of project. Specifically, project complexity has been offered in the
literature as having a possible moderating impact on the relationship between project leadership practices and success
rates. According to Jarad [7], the team is equally important for project success. The collaboration within the team and
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the performance of each individual team member as well as the performance of the team as one unit are critical factors
for project success. Without a performing team it is difficult to secure project success, and for a leader to have a
performing team, the leaders have to ignite the fire of performance and set boundaries within the team for it to function.
In addition, leading a project towards success requires the manager to get the work done by the team members
efficiently and effectively. The entire process requires the leader to have a clear vision, clarity in reasoning, practical
in scheduling and the ability to attract a talented and efficient team. This, together with the application of a leadership
styles brings about project success.
Research methodology considers the context of the research and the desired results in order to achieve meaningful
research outcomes. Moreover, the selection of an appropriate research design involves several steps, beginning with
identifying the problem, purpose of the study and in depth literature review. This research adopted a quantitative
approach which involved the use of a questionnaire. Burns and Grove [17] describes quantitative research as a formal,
systematic process that describes and test relationships and examines causes among variables. In addition, Polit and
Hungler [18] were of the view that quantitative research is a survey to obtain information from a sample of people by
means of self-report, whereby people respond to a sequence of questions posed to them by the researcher. The data
used in this paper were derived from both primary and secondary sources. The primary data was obtained through the
questionnaire survey method through the use of a purposive sample, targeted at the only the project and construction
managers; while the secondary data was derived from the review of literature and archival records. The questionnaire
survey method was decided upon for this study because of the following reasons: they require less time and energy to
administer and they offer the possibility of anonymity because the respondents names are not required on the
completed questionnaires. The relationship between the different leadership styles and project success was investigated
using Pearson product-moment correlation coefficient (Correlation analysis). Correlation analysis measures the
relationship between two items, for example, a particular leadership style and project success. The resulting value
(called the correlation coefficient) shows if changes in one item will result in changes in the other item [19]. Pearson
correlation coefficient was utilized for this study to measure the relationship amongst the research variables
(relationship between leadership style practices and project success).
However, before understanding correlation coefficient it is important to understand the importance of statistical
significance testing (p-value). Pallant [19] informs that the p-value is the probability of obtaining a test statistic result
of at least as extreme or as close to the one that was actually observed, assuming that the null hypothesis is true.
Researchers often reject the null hypothesis when the p-value turns out to be less than a predetermined significance
level, often between 0.05 or 0.01. For this study, the p- value for the leadership style practices was benchmarked at
0.05 in order to obtain a statistics significance of the variables being studied. Also, the correlation coefficient (r-value)
can range between 1.0. A coefficient of +1.0 is a perfect positive correlation, meaning that changes in the
independent item will result in an identical change in the dependent item (for example, a certain leadership style will
result in project success). A coefficient of -1.0, a perfect negative correlation, means that changes in the independent
item will result in an identical change in the dependent item, but the change will be in the opposite direction. A
coefficient of zero means there is no relationship between the two items and that a change in the independent item will
have no effect in the dependent item [19]. In addition, a low correlation coefficient (for example, say less than 0.30)
suggests that the relationship between two items is weak or non-existent [20]. These correlations can also be translated
as follows: high correlation: 0.5 to 1.0 or -0.5 to 1.0; medium correlation: 0.3 to 0.5 or -0.3 to 0.5 and no correlation:
less than 0.3. In relation to the study, correlation analysis was used to access the relationship between leadership style
practices and project success.
The analysis for this paper was based on the collected questionnaires and from the 150 questionnaires sent out, 111
were received representing a 74% response rate. This was considered adequate for the analysis based on the assertion
by Moser and Kalton [21] that the result of a survey could be considered as biased and of little value if the return rate
is lower than 3040%. Also, any research based on measurement of variables must be concerned with the accuracy and
dependability. A reliability coefficient demonstrates whether the survey instrument design was accurate in measuring
the variables being studied if the items will yield interpretable statements about individual differences [22]. Hence, in
order to obtain reliability for this study, the Cronbach Alpha was adopted. George and Shamas [23] informs that
Cronbachs Alpha above 0.7 is acceptable for reliable analysis. Therefore, the description of reliabilities of all scales
used in the study indicated a Cronbach Alpha of above 0.7, which met with the minimum standard of acceptability for
242
reliability. Further, the data presentation and analysis for the research, made use of frequency distributions, percentages
of all the respondents and correlation analysis.
4. Findings and discussions
Based on the correlation analysis between the various leadership styles and construction project, it was observed
from the findings that the Pearson correlation shows positive moderate significance between transactional leadership
and project success (r = 0.40; p<0.01). This suggests that there is a relationship between transactional leadership and
project success. This indicted that transactional leaders in the South Africa construction industry is more likely to have
success in construction projects than any other leadership style. Furthermore, the findings revealed that the Pearson
correlation shows strong positive correlation between transformational leadership and project success (r = 0.50;
p<0.01), but not as significance as the transactional leadership style. This also suggests that there is a strong relationship
between transformational leadership and success. Transformational leadership was the first ranked leadership style in
the South African construction industry. Hence, there is a strong relationship between transformational and project
success. This infers that construction transactional leaders are prone to have project success in the South African
construction industry.
Table 1: Relationship between different leadership styles and project success
Leadership style
Transactional Leadership
Transformational Leadership
Democratic Leadership
Autocratic Leadership
Laissez faire Leadership
PROJECT SUCCESS
Pearson Correlation
Sig. (2-tailed)
N
Pearson Correlation
.403**
.000
111
.501**
Sig. (2-tailed)
.000
111
Pearson Correlation
.342**
Sig. (2-tailed)
.000
111
Pearson Correlation
-.058
Sig. (2-tailed)
.548
111
Pearson Correlation
.145
Sig. (2-tailed)
.128
111
N
** Correlation is significant at the 0.01 level (2-tailed)
It was further observed from the findings, that the Pearson correlation shows a weak correlation between democratic
leadership and project success (r = 0.34; p<0.01). This suggests that there is a low relationship between democratic
leadership and project success in the construction industry. This means that democratic leaders are less likely to have
project success in the South African construction industry. Findings also shows no significance relationship between
autocratic leadership and project success in the South African construction industry (r = - 0.05). Based on this finding,
it is evident that autocratic leaders do not have successful project. In addition, there was no significant relationship
between laissez faire leadership style and construction project success (r=0.14). This suggests that there is no
relationship between laissez faire leadership style and project success.
In order to ensure that construction leaders are successful, they are required to employ an adaptive approach to
leadership. Stated differently, successful leaders should acquire a wide range of leadership styles or approaches, and
successfully match the required style to a particular situation. A leader that only has one type of leadership style will
only be successful in a situation demanding that specific leadership style; whereas a diverse range of styles will
guarantee success because of the dynamics of the construction industry. Turner & Pearce [15] indicated that leadership
styles and competence is key to successful performance of construction firms, and other similar studies have confirmed
a correlation between different leadership styles and construction performance. Additionally, Zhang [16] noted that the
243
relationship between leadership styles and project success may depend on the type of project. However, regardless of
the project type, leadership styles of the leaders plays a considerable part in project success.
5. Conclusions
The relationship between the different leadership style practices of construction and project managers towards
project success in the South African construction industry was discussed. From the various leadership styles as studied
by the research, it was evident that there is a strong relationship between transactional and transformational leadership
styles and project success in the South African construction industry. It was specifically found in the study that
transformational leadership style has significant relationships with project delivery. However, democratic leadership
style showed a low relationship for project success. Findings further revealed that there was no relationship between
autocratic leadership and project success in the South African construction industry and lastly, laissez fair also revealed
no relationship for project success. The research findings of this study provide important contribution especially in the
South Africa construction industry whereby it can provide some guidelines for construction and project managers to
identify their leadership styles and how this has contributed towards success implementation and management of their
projects in order to achieve project success. It is important to note that good leadership assist in the successful execution
of projects.
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[11] Northouse, P. G., 2000. Leadership theory and practice. 2nd ed. Thousand Oaks: Sage
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[13] Boonyachai, Y., 2011. An investigation of the leadership styles of middle managers in the Thai hotel industry using the MLQ (5X-Short Form)
and Hofstedes Cultural Dimensions, DBA thesis, Southern Cross University, Lismore, NSW.
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244
Establishing formalized representation of specifications for

construction cost estimation by using ontology learning
Zhe Liu, Zhiliang Ma*
Tsinghua University, Beijing, 100084, China
Abstract
Construction cost estimation for tendering is important for both tenders and bidders in construction projects and needs to be strictly
complied with corresponding specifications so that quantities and prices from different bidders are comparable. In the view of
flexibility and extensibility, ontology is regarded as a promising technology for formalized representation of the specifications for
construction cost estimation (cost specifications for short hereafter) in computer programs. Because, with the support of reasoning
machines for ontology, it is possible to automatize the processes of construction cost estimation. However, the manual establishment
of ontology for construction cost estimation (cost ontology for short hereafter) is labor-intensive and time-consuming, not to mention
that there are numbers of specifications for different types of construction projects in different region. Thus, the cost ontologies are
hampered from practical use. In order to solve this problem, a semi-automatic approach based on the framework that authors
established previously is proposed to establishing the formalized representation of cost specifications, i.e. the cost ontology, using
ontology learning technology. Firstly, the data sources, i.e. the cost specifications are analyzed and the corresponding relations
between information in cost specifications and the elements in the framework of cost ontology are summarized. Then based on the
corresponding relations, the approach is designed, in which concepts, relations and rules are extracted by natural language
processing and domain lexical analysis to fill the framework of cost ontology. The approach lays a foundation for the practical use
of ontology in construction cost estimation.
Keywords: construction cost estimation, formalized representation, ontology learning.
1. Introduction
Construction cost estimation for tendering is important for both tenders and bidders in construction projects and
needs to be strictly complied with corresponding specifications so that quantities and prices from different bidders are
comparable. In order to improve the efficiency and accuracy of the estimation, specifications for construction cost
estimation (cost specification for short hereafter) are manually translated into formalized representation such as hard
coding, parameter table, decision tree, etc. in computer programs to semi-automatize the processes [1]. However, it is
difficult to extend, share and reuse these formalized representations for other applications. In recent years, ontology
has been regarded as a promising technology to represent concepts, relations and rules for both human and programs
on account of its flexibility and extensibility. Additionally, it can be used for automatize decision processes with the
support of existing reasoning machines and has been adopted in researches on knowledge representation [2,3,4],
information query [5,6], rule checking [7,8], etc. in the AEC (Architecture, Engineering, and Construction) industry.
In the domain of construction cost estimation, Staub-french et al. [9] proposed a feature-based ontology for
estimators to generate and maintain complete, consistent and expeditious estimates. But limited to the ontology
E-mail address: mazl@tsinghua.edu.cn
245
technology at that time, this ontology was not sharable. Lee et al [10] suggested a BIM (Building Information Modeling)
and ontology-based approach for construction cost estimation which utilized reasoning machines to infer work items
and unit costs automatically. The authors [11] made a preliminary discussion on adopting ontology as a new formalized
representation of cost specifications, and [12] established a framework of ontology for construction cost estimation
(cost ontology for short hereafter) to discriminate building products into corresponding cost items. Although cost
ontologies is sharable and reusable, the manual establishment of ontology is labor-intensive and time-consuming. Since
there are numbers of specifications for different types of construction projects (e.g. civil buildings and industrial
buildings) in different regions (e.g. provinces in China), cost ontologies are still hampered from practical use.
Ontology learning is a technology to create ontology semi-automatically based on techniques such as natural
language processing, machine learning, data mining, etc., and has been implemented in web search successfully [14].
According to the types of data sources, ontology learning can be classified into three groups, i.e., ontology learning
from structured data (e.g. database schemas), that from semi-structured data (e.g. web pages), and that from
unstructured data (e.g. text documents). For each type of data sources, there have been several existing methods and
tools to extract concepts and relations to create ontologies [13]. A few researches have focused on ontology learning
from data sources in Chinese [14,15]. Nevertheless, for the full extraction of information from the semi-structured
Chinese cost specifications to establish cost ontologies, the existing ontology learning tools are still insufficient.
In order to solve this problem, a semi-automatic approach based on the framework that authors established previously is
proposed to establishing the formalized representation of cost specifications, i.e. the cost ontology, by using ontology
learning technology. Firstly, the data sources, i.e. the cost specifications are analyzed and the corresponding relations
between information in cost specifications and the elements in the framework of cost ontology are summarized. Then
based on the corresponding relations, the approach is designed, in which concepts, relations and rules are extracted by
using natural language processing and domain lexical analysis to fill the framework of cost ontology. Finally, the
approach is implemented and tested with typical Chinese cost specifications.
2. Analysis of two typical cost specifications
2.1. Cost specifications for construction cost estimation
The bill-of-quantity (BQ for short hereafter) method is well-accepted for tendering in practice in many countries
and regions all over the world. According to the BQ method, buildings are broken into building products and classified
into groups with similar features and construction works. For each construction work, several construction conditions
are specified with different unit costs of labor, material, and equipment etc., i.e. quota items. In each BQ item, once all
related quota items are identified, the comprehensive unit cost of BQ item can be calculated, and the total quantity of
building products can be summed up. Then the budget cost of buildings is summarized based on the comprehensive
unit costs and total quantities.
The BQ items and quota items are specified in BQ specifications and quota specifications separately. The
breakdown structure of building products and construction works differ between different types of construction
projects while the unit costs vary from region to region. Thus there are numbers of BQ specifications and quota
specifications in China. In this paper, two typical specifications are analyzed, i.e. the BQ specification Standard
method of measurement for building construction and fitting-out works GB 50854-2013 (GB 50854 for short hereafter)
and the quota specification Quota set for building construction and fitting out works in Beijing (Beijing Quotas for
short hereafter).
2.2. Cost specifications for ontology learning
Since the GB 50854 and the Beijing Quotas have been input into databases respectively, from a general viewpoint,
they are structured data sources for ontology learning. Nevertheless, for a full extraction, texts in certain fields of
records in the database need to be processed as unstructured data sources, and their lexical characteristics should also
be analyzed. It should be noted that, certain information (e.g. material list for quota item) is stored in several fields in
different tables in the relational database.
In the GB 50854, BQ items are classified by a domain - section - subsection hierarchy. Table 1 shows an example
of BQ items in a subsection cast-in-place concrete column in GB 50854. Each BQ item contains six fields, i.e. code,
name, essential features, unit, rules of quantity takeoff, and construction works. Building products are mainly classified
by the subsections and BQ item names.
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Table 1 Example of BQ items in a subsection cast-in-place concrete column in the GB 50854

Subsection: Cast-in-place concrete column
Code
Name
Essential features
Unit
Rules of
quantity takeoff
Construction works
010502001
Rectangular
column
1. Type of concrete
m3
1. Manufacture, installation, uninstallation,

storage, transportation and cleanness of
concrete form
010502002
Structural
column
1. Type of concrete
m3
Ditto
010502003
Special-shaped
column
1. Cross shape of column
m3
Ditto
2. Strength grade of concrete
2. Pouring, vibrating, and curing of concrete
2. Type of concrete
For a simple instance, if a building product is a column with material of cast-in-place concrete and cross profile of
rectangle, it should be classified into the BQ item rectangular column, coded as 010402001 in the subsection castin-place concrete column, as shown in Figure 1. In the authors framework of cost ontology [12], the column, castin-place, concrete, rectangle are extracted as concepts value of discrimination feature while the type,
material, and cross profile are extracted as relations discrimination feature between building products and
values.
In the Beijing Quotas, quota items are organized in a domain - section - subsection - construction work hierarchy,
and each quota item contains at least six fields, i.e. code, name, item, labor, material list, and equipment list, as shown
in Table 2. For some quota items, extra fields are added to describe the construction methods, which is extracted as
construction feature and the corresponding values in the framework of cost ontology. According to subsection, name,
construction work and extra fields, quota items are selected to correspond to BQ items similarly. For other concepts
and relations in the framework of cost ontology, the corresponding data sources are listed in Table 3.
Column
Building product
Type
Concrete
Material
Cast-in-place
Cast method
Rectangle
Rectangular column of
cast-in-place concrete
Cross profile
010402001
Figure 1 Discrimination of BQ item rectangular column, coded as 010402001 in the subsection cast-in-place concrete column
Table 2 Example of quota items for construction work pouring, vibrating, and curing of concrete in the Beijing Quotas
Subsection: cast-in-place concrete column
Construction work: pouring, vibrating, and curing of concrete, for 1m3 of volume of column (CNY)
Code
Name
5-7
Rectangular column
5-8
Structural column
5-9
Special-shaped column
Item
Labor
Material
C30 premixed concrete
Mortar mixer (200L)
Unit
day
m3
day
Unit cost
(CNY)
74.30
410.00
11.00
Unit
consumption
0.686
0.9860
0.0052
1.231
0.9860
0.0052
0.971
0.9860
0.0052
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Equipment
Table 3 Data sources for major concepts and relations in the framework of cost ontology
Concepts and relations in the framework of cost ontology
Data sources
Information
subject
Building product
Subsection fields and name fields of BQ items
BQ item
Each record of BQ item
Quota item
Each record of quota item
Construction work
Construction works of both BQ items and quota items
Construction material and equipment
Material list and equipment list of quota items
Value of feature
Value of discrimination feature for BQ item
Subsection names and item names of BQ items
(Concept)
Value of essential feature for BQ item
Material list, equipment list, extra fields of quota items
Value of construction feature for

construction works
Extra fields of quota items
Feature
Discrimination feature for BQ items
N/A
(Relation)
Essential feature for BQ items
Essential features of BQ items
Construction feature for construction works
N/A
(Concept)
3. Approach to establishing the cost ontology using ontology learning technology

Generally, concepts and relations can be extracted to establish ontology after the database schema is identified. For
cost ontology, since some concepts and relations are in the same fields of records, extra steps for texts in the fields are
needed. The primary information flow consists of five steps, as shown in Figure 2.
Step 1 Relevant contents are read from the database according to the database schema.
Step 2 Texts in the contents are tokenized and tagged as basic domain terms.
Step 3 Nouns in the domain terms are filled into the framework of cost ontology to establish the hierarchy of
concepts.
Step 4 Adjectives (or nouns which act as attributes of other nouns in Chinese) in the domain terms are classified
into different categories as values of features, and features are labeled according to the values.
Step 5 BQ items and quota items are translated into definitions for discrimination, based on the concepts extracted
from nouns and relations extracted from adjectives.
The following gives more details.
3.1. Extraction of concepts
The extraction of concepts corresponds to the first three steps. Texts read from subsection fields and name fields of
BQ items or quota items are tokenized into terms and tagged as nouns or adjectives by existing lexical analyzer for
Chinese [17]. Since BQ items or quota items are grouped as subsections, the nouns in name fields are subclasses of
nouns in subsection fields. In addition, texts in name fields are compound words, and can be treated as subclass of
nouns. For instance, rectangle column are tokenized and tagged as noun column and adjective rectangle, and
rectangle column is a subclass of column. BQ item bed course is in the subsection cast-in-place concrete
footing, so bed course is a subclass of footing. Other contents such as material lists and equipment lists, are
processed similarly. Then all nouns are filled into the framework of cost ontology as subclasses of building product,
construction work, construction material and equipment correspondingly to establish the hierarchy of concepts.
3.2. Extraction of relations
The extraction of relations is achieved by Step 4. In the authors framework of cost ontology, adjectives act as value
of features in the discrimination of BQ items and quota items. Although some general background knowledge sources
[17,18] exist for querying the semantic meaning for terms, they do not contain enough terms in a specific domain, i.e.
construction cost estimation, for the classification of adjectives in this case. Thus, a special method based on the
hierarchy of concepts in the previous steps is designed to classify and label the features described by adjectives.
For each noun, all possible adjectives are classified by the following five rules, as shown in Figure 2.
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Thing
Database of
quota items
Material1-A
Material1
-A
Material1-B
Material1
-B
Material2-C
Material2
-C
...
...
...
Building product
Construction material
Noun1
Name1
Material1
Material1-A
Name2
Noun2
Subsection1
Adj.1
Adj.2
...
Material1-B
Name3
Material2
Material2-C
Noun1
Noun3
Name1
Adj.3
Noun1
Name2
Adj.4
Noun1
Name4
Hierarchy of concepts
Database of
BQ items
Name3
Noun2
...
...
Adj. for
Noun1
Relation for Noun1

Related to building product?
Adj.1
Subsection2
Adj.1
Adj.5
is adjacent with/is part of
has cross profile/has axis
Related to shape?
N
Noun3
Adj.2
Related to material?
N
Name4
Adj.3
Noun3
Adj.3
...
...
Relevant content
Information flow
...
Domain terms
has material
is adj.X/is adj.Y...
Artificial process
...
Classification of relations for concepts
Name1
Classification flow
Legend
Is a kind of
Y
Independent?
N
matches with
Has relation
Noun1
is adjacent with
Adj.3 (in noun form)
has cross-profile
has material
BQ item X
Ontology with definitions for discrimination
Figure 2 Information flow of ontology learning from cost specifications
Rule 1 If the noun form of an adjective matches certain noun of building products, the adjective is describing the
spatial relations, which can be labeled as is adjacent with or is part of, etc. For instance, footing in footing
beam means that the beam is part of the footing.
Rule 2 If an adjective matches the pattern X shape in Chinese, it is describing shape of building products. The
corresponding features can be labeled as has cross profile or has axis.
Rule 3 If the noun from of an adjective matches the noun of construction materials, the noun is one of the values of
has material feature.
Rule 4 If an adjective is irrelevant with all other possible adjectives, it is marked as independent, and a feature
is created and labeled as is X. For instance, structural in the structural column is independent and a feature
labeled is structural is created for columns.
Rule 5 If an adjective does not match any rules above, it should be processed manually.
The irrelevant between two adjectives are defined in two cases. Since descriptions in cost specifications are
precise and concise, once two adjectives appear at the same time for the same noun and there is no explicit indicator
shows that they are or relation, they should describe different aspect of the noun. For instance, structural column
in subsection cast-in-place concrete column, structural, cast-in-place and concrete describe the function,
construction method and construction method of the column separately. In other cases, if two adjectives for the same
noun never appear in the same subsection, they should be describing the noun from different viewpoints, and marked
as irrelevant, too.
3.3. Translation of definitions of BQ items and quota items for discrimination
The translation corresponds to Step 5. Based on concepts and relations extracted above, the definitions of BQ items
and quota items for discrimination can be easily established by translation. For instances, the BQ item 010402001
rectangular column of cast-in-place concrete is translated into a similar form like column, and has cross profile of
some rectangle, and has material some concrete, and use cast method some cast-in-place according to the syntax of
certain ontology language. Once the design result is transformed into ontology data, the corresponding BQ items and
quota items can be determined according to the definitions by reasoning machines [10].
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The approach has been applied to the GB 50854 and the Beijing Quotas for verification. Totally, 367 adjectives (or
nouns act as attributes of other nouns) and 193 nouns were extracted. Among these adjectives, 236 were classified and
corresponding features were created and labeled and the rest 131 needed to be classified with human interaction. These
features and nouns were formulized as relations and primitive concepts respectively. Other steps can be executed
automatically so that the definition of 561 BQ items for discrimination were translated by compounding the
corresponding primitive concepts and relations in minutes. Thus, the efficiency of the approach was verified. However,
the ontology established in the test needed to be revised manually. A more quantitative evaluation of the approach will
be carried out in the future.
4. Conclusion and future works
In this paper, a semi-automatic approach based on the framework that authors established previously was proposed
to establish the formalized representation of cost specifications, i.e. the cost ontology, by using ontology learning
technology. Firstly, the data sources, i.e. the cost specifications, were analyzed and the corresponding relations between
information in cost specifications and the elements in the framework of cost ontology were summarized. Then based
on the corresponding relations, the approach was designed, in which concepts, relations and rules were extracted by
using natural language processing and domain lexical analysis to fill the framework of cost ontology. Finally, the
approach was implemented and tested with typical Chinese cost specifications. The approach lays a foundation for
practical use of ontology in construction cost estimation.
Acknowledgements
This research is supported by National Natural Science Foundation of China (No. 51278279), Tsinghua
University Research Fund (No. 2011THZ03) and Glodon Software Company Limited.
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250
Social impact project finance: An innovative and sustainable

infrastructure financing framework
Zheng Lua *, Feniosky Pea-Moraa, Xiaodong Robert Wanga, Charles Q. Shena, Zainab
Riaza
a
Department of Civil Engineering & Engineering Mechanics, Columbia University, 500 West 120th Street, New York, NY 10027
Abstract
The purpose of this article is to propose a framework of Social Impact Project Finance (SIPF) for financing infrastructure projects.
In the framework, public sector commits to pay performance-based yield for improved services, which in turn motivate private
investor to better construct and manage infrastructure assets. By embedding social impact performance criteria, SIPF has an
endogenous incentive mechanism that can align perspectives of public and private sectors, while traditional project finance lacks.
SIPF can also play a critical role in achieving sustainable infrastructure, because all three components of sustainability (social,
environmental and economic) can be easily embedded as impact factors in the framework. In addition, it could be well customized
for governments globally to address their own problems, such as carbon emission or congestion reduction. Private investor can
also benefit from higher yield, liquidity, and tax break. With this innovative interdisciplinary initiation of impact finance and
project finance, there will be significant opportunities to not only create a new format of impact-based project delivery methods,
but also show us a prospective way to securitize and deliver public services under clear supervision in the future.
Keywords: impact finance; infrastructure financing; project finance; public private partnership.
1. Introduction
A new multilateral development bank, Asian Infrastructure Investment Bank, has been proposed by China
recently to provide finances for infrastructure projects in the Asia Pacific region. According to Asian Development
Bank, Asia will need an USD 8 trillion fund for national infrastructure from 2010 to 2020 [1]. Likewise, American
Society of Civil Engineers (ASCE) reported a cumulative infrastructure funding deficit of USD 1.1 trillion by the
end of 2020. It is predicted that underinvestment in the transportation, water, energy, and port infrastructure projects
will bring a loss of USD 3.1 trillion in GDP to the U.S. economy [2]. Organisation for Economic Cooperation and
Development (OECD) also estimated that global investment in infrastructure, which needs to be financed from extrabudget sources, is approximately USD 25 trillion in the period until 2030 [3]. Amid the backdrop of debates on
global warming and emission reduction, the idea of sustainable infrastructure came out as a supernova and quickly
put extra fiscal pressure on governments. What does not change is the insufficient budget, the International Energy
Agency (IEA) estimated that it requires USD 45 trillion to adapt to the effects of climate change over the next 40
years by 2050[4].
* Corresponding author. Tel.: +1 917-891-7046

E-mail address: zl2296@columbia.edu
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Infrastructure is deteriorating globally, consequently imposing huge costs on our society due to lower efficiency
and increasing accidents. Substantial rehabilitation and construction is urgently required, from transportation systems
to sanitation facilities [5]. In the mean time, developing countries need even broader sectors of infrastructure
initiation. As demand considerably surpasses investment, clearly, there is a massive infrastructure funding gap that
challenges governments. However, public finances and traditional financing sources are increasingly under strain,
especially after the 2008 financial crisis. New regulations, such as Basel III, will further constrain the liquidity.
Public funding sources as well as methods obviously cannot meet the demand of investment [6]. Fortunately,
abundant potential sources of financing can be found for infrastructure demand. Institutional investors such as
mutual funds, pension funds, insurance companies, and endowments could play an important role in financing
infrastructure projects in the future [7][8]. Total assets held by institutional investors in the OECD area alone were
already over USD 70 trillion at the end of 2010 [9]. Moreover, there is a near perfect match between institutional
investors seeking to invest in long-term assets and the corresponding need for long-term financing of infrastructure
investment. Although there are regulatory and other barriers in the future, in order to maintain sustainable and
efficient infrastructure service, new financing methods that can encourage additional funding sources such as
institutional investors are needed.
The purpose of this article is to propose a framework of Social Impact Project Finance (SIPF) for financing
infrastructure projects where public sector commits to pay performance-based yield for improved services, which in
turn motivate private investor to better construct and manage infrastructure assets. And why SIPF may help
addressing global infrastructure financing gap will also be explained. In this paper, a quick review will be given on
the state-of-art infrastructure investment vehicles, securitization of project loans, as well as social impact bond. Then
SIPF will be defined, and the framework of SIPF will be structured and proposed as a solution to the massive
infrastructure deficit.
2. Existing infrastructure financing approaches and investors perspective
2.1. Existing infrastructure financing approaches [10]
Infrastructure investments in nature are attractive to institutional investors, for example pension funds, as
infrastructure projects are long-term investments that can match the long-term pension liabilities. Moreover,
infrastructure investments can produce predictable and stable cash flows in a very long period of time. In addition,
infrastructure assets could hedge pension funds sensitivity to inflation. Finally, because of the low correlation of
infrastructure with traditional asset classes, pension funds are increasingly looking at infrastructure to diversify their
portfolios. Nowadays, there are various financing instruments and investment vehicles available for them to get
exposure to infrastructure investment.
Primary vs. secondary market: primary market is for financing initiation of an infrastructure project, including
procurement, construction, and delivery. It can also be described as a brownfield project in public private
partnership. Secondary market refers to the operation phase of an infrastructure project, or a greenfield project in
public private partnership. Typically, the primary market is more risky along with higher potential return. It also
needs a heavy initial investment form the investors. Investors who are interested in primary market usually concern
about the potential of growth, while the secondary market investors are focusing on stable cash flows from
infrastructure operation service.
Equity vs. debt finance: like companies, infrastructure projects are also financed through a combination of equity
and debt, usually with high leverage. Investors can get exposure by buying either stocks of a listed infrastructure
company or bonds offered by such companies. In addition, traditional project finance loans also belong to debt
financing.
Public vs. private companies: infrastructure companies can also be categorized by public-traded (listed on the
stock market) and private-traded (unlisted). Public-traded companies are more transparent and liquid than private
companies, while private companies typically have less correlation with other assets and thus provide better
diversification for investors.
252
Direct vs. indirect investment: direct investment refers to direct holding of target companys equity or debt, while
indirect investment can be achieved via other infrastructure specialist funds. For example, investors can invest in
such exchange-traded funds (ETFs) that bundle the shares of these companies together by sector or region. There are
also dedicated infrastructure funds, with first one set up in the mid 1990s in Australia. For public companies, equity
can be easily acquired on the stock exchange. But for private companies, it takes effort to find opportunities.
2.2. Investors perspective
With so many investment vehicles available, allocation on infrastructure assets by institutional investors has been
limited, only 1% of total asset under management of pension funds [10]. A flat allocation of 1% results in USD 0.7
trillion to infrastructure investments. An increase to 3% would imply an allocation of about USD 2.1 trillion, which
can definitely help bridge the funding gap [9]. A significant area to look into is how to access and encourage this
funding.
Further investigation was carried out to determine why infrastructure investment vehicles appear less attractive to
institutional investors. Private sector investors are always interested in participating in stable, predictable and
profitable investment opportunities. A survey conducted by OECD research team points out barriers for institutional
investors to investment in infrastructure market. These barriers include: lack of liquidity; transparency; and political
commitment over the long term. There are also hurdles from the investors side, for example, lacking of expertise in
infrastructure, problem of scale of funds, short-termism of investors, etc. [11].
3. Securitization
In order to overcome above-mentioned hurdles, securitization is needed to enhance transparency by creating an
open market of such products, to increase liquidity of infrastructure financial products, and to invite not only longterm investors but also short-termism investors into that liquid market. Therefore, it is crucial to securitize
infrastructure financial products, even though the market has not recovered its appetite for structural financial
products like collateralized debt obligations.
In a typical securitization transaction, the issuer who generates large volumes of receivables raises capital by
selling some or all of those receivables to a special purpose company (SPC), securitizing to financial product and
selling in package to the investors in capital market [12]. Figure1 shows the how to securitize project finance loans.
Let us assume there is typical project finance under Public Private Partnership (PPP). Public partner and initial equity
provider together set up an SPC, the only purpose of the company is to deliver the project. The company acquires
capital from the lenders as normal project finance. The lender may want to refinance and take the next deal. So it
finds investment banks and tries to get the project loans securitized. This time the lender sets up a SPC, exclusively
for issuing the securities. The reason an additional SPC is needed is because the investors do not want to be
responsible for any other businesses of the lender than this single project. This SPC II provides this isolation.
Securitization helps to improve liquidity by cycling the money between the banking system and capital market. The
lender then gets refinanced and moves on to the next project, instead of holding the project loan for decades.
253
4. Social impact bonds

Before introducing SIPF, a recent topic in financial industry, Social Impact Bonds (SIBs) is examined. It inspires
us to design a performance-based impact financing method for infrastructure projects. According to SocialFinances
definition, social impact bond, also known as pay-for-success financing, is a contract with the public sector in which
it commits to pay for improved social outcomes. [13] In other words, it is a performance based financial arrangement
that encourages private funding for social programs, with funds raised from investors to provide social service
providers with the working capital to deliver their services. It works like this: First, a public sector problem is
identified. Then government finds investors who are interested in such social project. Investors provide capital to
SIB intermediary, which is also known as a special purpose company. SIB intermediary then provides working
capital to NGOs or companies to implement the program. In this way, NGOs/companies have the money to
implement social programs, which might not happen without such arrangement. At last, after independent evaluation
is conducted, government pays principle and interest to investors only if expected impact achieved by the program.
There are some key advantages of SIB arrangement that we need in our new infrastructure financing method. First,
it taps into new funding opportunities by introducing private investor from capital market. Second, private investors
are in charge of funding a programs delivery and operations. Third, public sector commits to paying the investor
only if the program achieves better social outcomes, and government can enjoy cost savings from improved
254
outcomes. Last but not least, it can be flexible enough to be designed to be very profitable to attract private investors.
SIB clearly shows us a way to encourage private funding for social good. So we are exploring this idea to finance
infrastructure projects, trying to create a financing framework with both liquidity and potential profitability, by
combining the idea of SIB as well as securitization.
5. Social impact project finance for infrastructure
We are defining SIPF as a financing method of infrastructure projects by which public sector makes commitment
to pay additional yield for improved infrastructure services, or other social impacts, which in turn motivates the
private sector to better design, construct, operate, and maintain infrastructure assets.
The framework of SIPF is shown in figure 3. First, when an infrastructure project is needed, the government or
public authority sets up an SPC and signs concession to authorize the project exclusive to the company. Second,
investment banks come in to help the company offering SIFBs to investors, signing contracts among multiple-parties.
The contracts specify impact factors of target infrastructure project and the benchmarks required by the public sector.
The SPC raises funding and starts to build/manage the infrastructure, reaching out the contractors. In the mean time,
it still can borrow money from banks as usual if needed. Another thing we want to highlight here is that the SIFBs
investors are responsible for making strategy of the project company, voting the board of directors of the SPC, etc. In
this way, they can act like equity holders to influence the SPC to achieve impact requirement. The key of this
mechanism is to separate interests into two parts, basic yield and impact yield. Basic yield can be fixed or floating
above any benchmark interest rates, for example London Interbank Offered Rate. Moreover, the algorithm of impact
yield should be specified in the contract case by case.
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As an example, the project is a toll road operation and maintenance, and the impact factor is simply satisfaction
rate of the user. If the project company manages to provide better service to the user, the government will get a
satisfied feedback from the users. Then the investors will not only receive the basic interests (a fixed rate of 2% for
example) but also the impact yield (5% at most for example). The potential high capital return of impact yield and
secured basic return of basic yield will urge the investors to provide better infrastructure service and social outcomes,
working as an endogenous incentive mechanism. Moreover, multiple impact factors can be implemented in the
contracts to make it more practical for large-scale infrastructure projects.
Ideally, this is a multiple-win solution: Public sector can be satisfied because all components of sustainable
infrastructure projects, including acceptable social, economic, and environmental impacts, can be embedded as
impact factors in the framework. Moreover, SIPF can not only improve public service by taking advantage of private
sectors effectiveness, but also fund infrastructure projects globally via capital market. At the same time, private
investors will have an easily tradable investment tool with attractive returns, diversification effect, and low default
risks. It also offers them an opportunity to make a positive impact to the society as well as tax benefits along with
impact investment. Most importantly, one of the major issues in public private partnership is the alignment of public
private perspectives. The endogenous mechanism in SIPF can help aligning perspectives of both public and private
sectors, by linking the impact factors to impact yield, and bring virtuous cycle to the relationship. The users can also
enjoy better infrastructure service because of the higher efficiency of private sector. Moreover, due to the
performance-based mechanism, taxpayers do not need to pay if the impact requirements are not achieved. In other
words, they only pay for success.
The next issue is to check whether this new financial product is attractive enough for institutional investors,
especially for pension funds. The main preference of investors is for stable, predictable, and profitable investments,
which can be satisfied by the combination of stable basic yield and profitable impact yield. Impact investment can
also provide investors tax benefits and, of course, social impact to society. Moreover, income-producing
infrastructure asset itself usually offers useful characteristics, including long-term, predictable income streams, low
correlations to other asset classes, relatively lower default risk. Finally, securitization can also help our new approach
to have a liquid and transparent market, compared to the traditional project finance market.
6. Conclusion and future research
Numerous studies have been conducted on involve institutional investors to finance infrastructure projects, but
very few provide specific ideas of innovative financing methods. We are presenting a framework of social impact
project finance that could be a solution for infrastructure funding problem. It shows the potential of funding as an
innovative framework that can be very attractive to investors. By embedding social impact factors and yield, it has an
endogenous incentive mechanism that can align perspectives of public and private sectors. It may also play a critical
role in achieving sustainable infrastructure, because all three components of sustainable infrastructure (social,
environmental and economic) can be easily embedded as impact factors in the framework. There are absolutely some
key challenges that we are going to face, including risk allocation among different parties, potential conflicts and
resolution among participants, valuation/pricing of the financial product, etc. It is crucial for us to look at these
challenges and try to answer them in our future research.
References
[1] Asian Development Bank, Infrastructure for a Seamless Asia, Mandaluyong [u.a.], Tokyo, 2009.
[2] Economic Development Research Group, Inc., Failure to Act Report, American Society of Civil Engineers, Boston, 2013.
[3] OECD, Infrastructure to 2030: Telecom, Land Transport, Water and Electricity, OECD Publishing, Paris, 2008.
[4] International Energy Agency (IEA). Energy technology perspectives scenarios and strategies to 2050: in support of the G8 Plan of Action,
2006.
[5] Vander Ploeg, C., & Roberts, K. New Tools for New Times: A Sourebook for the Financing, Funding and Delivery of Urban Infrastructure,
2006.
[6] Preqin (2012), Infrastructure Spotlight, June 2012.
[7] Sharma, R., The potential of private institutional investors for the financing of transport infrastructure. International Transport Forum
Discussion Paper, 2013.
256
[8] Della Croce, R., Yermo, J., Institutional investors and infrastructure financing, OECD Working Papers on Finance, Insurance and Private
Pensions, No.36, OECD Publishing, 2013.
[9]Stewart, F. and J. Yermo, Infrastructure Investment in New Markets: Challenges and Opportunities for Pension Funds, OECD Working Papers
on Finance, Insurance and Private Pensions, No. 26, OECD Publishing, Paris, 2012.
[10] Inderst G., Private infrastructure finance and investment in Europe [J], 2013.
[11] OECD, Pension fund investment in infrastructure: A survey, 2011.
[12] Bjerre, C. S., Project Finance, Securitization and Consensuality. Duke J. Comp. & Int'l L., 12, 411, 2002.
[13] Lisa Barclay and Tom Symons, A technical guide to developing social impact bonds, Social Finance, 2013.
257
Procuring governmental megaprojects: Case study

Aleksander K. Nica*, Wojciech A. Wodyski
Warsaw University of Technology, Al. Armii Ludowej 16, 00-637 Warsaw, Poland
Heriot-Watt University, Riccarton Campus, Edinburgh EH14 4AS, Scotland, UK
Abstract
Procurement route structures adequate for governmental megaprojects and commonly used worldwide are to be appraised in the
paper. Effectiveness of construction projects delivery is vastly dependent upon the form of relationship between the parties
involved, and hence liabilities imposed on one another with particular emphasis on the risk distribution. Latter implied a necessity
of a diligent assessment of procurement alternatives as a prerequisite to assure the value for money for the project. The paper aims
to demonstrate a development of a strategic approach to procurement on the basis of the large scale governmental investment such
as the Olympic Village in Krakw which was planned to be delivered as a part of Krakw Olympic Games 2022. Factors that
influence the choice of delivery scheme are to be further specified. The latter will set grounds for the critical analyze of alternative
procurement types applicable for the proposed project which, in turn, will be supported by the pairs comparison matrix of clients
value drivers together with further evaluation of strengths and weaknesses of procurement systems. Since the Krakw Olympic
Games 2022 project failed to embark, the availability of relevant data was quite restricted. Nonetheless, what was found out is that
one of the main issues encountered at the inception stage was lack of the linkage between the construction project and the
governmental core activity that certainly ought to be oriented on enhancing the life of tax-payers. Bearing in mind the importance
of meeting stakeholders requirements the paper will suggest relevant solutions oriented on the attainment of a long-term
profitability for the assets through the implementation of integrated delivery process. After examination of relevant alternatives for
the project procurement schemes, the Design Build Operate Maintain (DBOM) is to be analyzed as a procurement route worth
adopting in order to ensure an alignment of discussed project with the governmental principles set beforehand based on the
efficiency of project performance in the long-run.
Keywords: management in construction, procurement assessment, project lifecycle, public projects delivery, value for money.
1. Introduction
Delivery of construction assets destined to proudly serve as a face of modern Poland during Krakw Olympic
Games 2022 (KOG2022) was a challenge of a great significance for the parties involved in this process, mostly due to
the magnitude and global dimension of such endeavor. As it turned out the lack of unambiguous vision for further
retrofit of Olympic facilities was one of the critical issues which outweighed the decision to cease the Olympic efforts
in Poland. During the design of procurement strategy one of the major risk that has to be considered is lack of client
experience, especially when dealing with complex and multi-headed entity. The latter hinders an achievement of clarity
and hence transparency for the project, regrettably encountered by the KOG2022 Organizing Committee.

E-mail address:a.nical@il.pw.edu.pl
258
Olympic Village for KOG2022 was to be built in order to provide an accommodation and facilities for 3,000
competitors and officials throughout the duration of the tournament. A 31 hectares site in Czyyny, the sizeable district
of Krakw, had been chosen as a potential location.
The paper sets out a procurement strategy design process with appraisal of distinct procurement types adequate for
governmental megaprojects, on the basis of Krakw Olympic Village 2022 project (KOV2022). Such process consists
of two main components:
Analysis establishing and assessing of project objectives, priorities and client attitude to risk
Choice consideration and evaluation of available options. Subsequently selection of the approach most adequate
for attaining desired outcomes
2. Strategic approach to procurement and its development in KOV2022
According to the lever of value, the more effort we put during strategic planning stage of a project delivery process
the more effective and less problematic subsequent stages will be [1]. Procurement strategy defines what has to be
done to fulfill project objectives and assure value for money.
Following Morledge, Smith, Kashiwagi [2] there is no doubt that one-size-fits-all procurement approach is very
unlikely to utterly fit in each particular case as every project is an unique endeavor and vary from one another in some
distinguishing way. Hence procurement route will be selected adequately only after in-depth understanding of project
objectives, impact of KOV2022 project on the clients primary strategy and evaluation of factors which could influence
on the procurement strategy development.
2.1. Relationship of KOV2022 project and Governments core strategy
Government, in terms of KOG2022 represented by the Organising Committee, in its activities is always obliged to
take into account a very broad perspective which should be a direct response to the taxpayers needs and expectations
[3]. Long-term strategy should comprise an economic growth, potential ways of reducing unemployment, improvement
of domestic businesses condition as well as efforts to enhance global image hence creating business-friendly climate
for foreign investors in Poland.
Sloman and Garratt[4] set out how expenditure by public sector in terms of the Keynesian macroeconomic model
is deemed a boost to the national economy. Since Polish government has taken the responsibility of organising
KOG2022 it pledged to provide all necessary facilities by undertaking construction project. An improvement of
domestic community welfare by regeneration of a neglected parts of Czyyny district ought to be an inherent byproduct
of KOV2022. Delivery of the vast magnitude construction project with costs roughly estimated to exceed PLN150mln
always has a beneficial impact on domestic entrepreneurs, whereas the operation stage will create opportunities for
employment and training for the local community. Construction of KOV2022 is not only a response to the
governments core activity but development of its primary strategy in the planned direction as well.
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2.2. Project objectives SMARTobjectives for KOV2022

Refurbishment of initially built Olympic Village
Stage II
Delivery of KOV 2022

Stage I
1.
2.
3.
4.
5.
6.
Providing highly sustainable accommodation for

3,000 participants for the duration of KOG2022;
The facility should be ready to retrofit - flexible
design;
Creation of energy efficient facilities composed of
retail area, recreation area, dining hall and athletes
medical center;
The construction should use easily recyclable
materials (at least 10%);
Assuring that 12% of the energy in the village will
be used from renewable resources (Combined
Heat and Power engine, boilers and thermal store);
Project completion at least 6 months before the
KOG2022 kick-off;
1.
Site redevelopment up to 400 homes;
2.
The development should be a mixture of distinct

residential areas, some of them will be available for
social rental;
3.
Facilities (medical center, recreation area) are to be

adopted for common usage by creating a Czyyny
Community Hub in order to enhance the life for
locals.
3. An evaluation of factors influencing the decision process

Consideration to the issues particularly related to KOV2022 scenario must be given while choosing the most
appropriate procurement path for the project On the basis of Morledge, Smith, Kashiwagi [2] the factors listed below
should be considered the most influential in order to fairly assess clients capacitates required to obtain the project.
Project characteristics and its importance
KOV2022 is a large scale project with novel elements (usage of easily recyclable materials and incorporating
renewable energy resources on site). Further redevelopment of the initially built village makes the project even more
complex which may result in cost overruns. Moreover, Polands national pride is at stake as it depends on successful
delivery of the flagship project.
Client resources
The Organising Committee as a representative body of the Polish government consists of members from variety of
industries with construction knowledge insufficient to deliver a vast magnitude project. This imply an engagement of
consultants as the external support must be sought.
Risk distribution and accountability
Appropriate risk management is an inherent part of a successful procurement process. Allocation of risk depends
on the particular project circumstances or being more precise on involved parties capability to cope with it. In case of
KOV2022 the Organising Committee is a body not capable of fully undertaking the risk associated with the project
delivery.
According to Morledge, Smith, Kashiwagi [4] accountability in terms of public projects is of paramount importance
due to the expenditure of public funds. As a result, project procurement should be fully transparent while award process
itself could not possess any trails of discrimination or unfairness.
Cost issues over the project life cycle
Cost certainty in relation to spending public funds is an important issue but so is the efficiency and assurance of
value for money. Fully awareness of accurate costs at the outset influences project timing as it implies the design to be
finished before the works on site commences. Deriving costs certainty at the early stage of the process would be
beneficial, however, its importance cannot be exaggerated. In order to maintain costs certainty throughout the delivery
260
process, all late changes in the project scope should be avoided. Having hosted EURO2012 Polish government is fully
aware of the up-keep costs of the assets, incurred during the maintenance period, which must be taken into
consideration at the very early stage of the project procurement design process.
Funding options and market
One of the requirements that the Polish government had to meet when preparing its candidacy for organizing
KOG2022 was financial ability to carry out the project delivery as well as further redevelopment and maintenance of
assets.
Following the economic model introduced by Keynes, any form of governmental injection of expenditure to the
national market results in fueling domestic businesses. Nonetheless, bearing in mind the EURO2012 experiences it
has to be underlined that financial input from the private sector ought to be sought in the first place. Factors associated
with political, economic and social issues are to be taken into account as well due to the project impacts magnitude
upon the Polish market.
Timing
The time available for delivery of KOV2022 is restricted all the works must be completed until specific date. Delays
of any kind would severely affect not only estimated budget but most importantly Polands image on the international
arena. Second stage, that is refurbishment, has to be done no later than a year after tournament closing date.
Quality and performance
Ability of the construction company to deliver assets to the required standards of quality and performance is vital
and must be considered when assessing procurement strategies. KOV2022 should have a unique design and required
flexibility for the post-Games retrofit. Most importantly though it has to be delivered in a highly sustainable way to
assure cost-effectiveness for its operational period and to preserve the green image of the assets.
4. Critical analysis of alternative procurement routes for KOV2022
Deriving the expected outcomes from the former specification of factors which influence decision process can be
achieved only when supported by the pairs comparison matrix which prioritize clients value drivers.
Figure 1. Pairs comparison matrix of clients value drivers
Conclusions derived from the pairs comparison enable to perform more detailed assessment of strengths and
weaknesses of procurement types based on the clients priorities. Priority rates are allocated to the factors and
subsequently multiplied by the utility values of each procurement system.
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Figure 2. Procurement routes strengths and weaknesses (S&W)

Source: Morledge, Smith, Kashiwag[1] (2006)
According to the aforementioned techniques Design and Manage together with Design Build Operate Maintain
(DBOM) suit the project best. In-depth consideration of pros and cons associated with distinct procurement schemes
aims to diligently appraise their fitness for the project and either confirm or confront former suggestions. Analysis will
be based on Morledge, Smith, Kashiwagi [2], RICS [5] and Wodyski [3].
4.1. Traditional (Design Bid Build)
Traditional form of procurement commonly used in Poland mostly due to well known procedures as well as low
tender preparation costs. Additional important issues in relation to KOV2022 are:
satisfactory level of public accountability, important in terms of public funds expenditure, transparent
procedures and competitive fairness
reasonable price certainty, bill of quantity derived before the commence of work
poor buildability, contractor appointed after design is finished hence lack of contractors contribution to design
what in relation to the novel elements incorporated in KOV2022 project should be significant
longer overall duration in comparison with other methods will not be consider as a serious issue as long as
KOV2022 fits required time-frame
Clients direct involvement in the design process enables direct assertion of his requirements and performance
specification, however, it implies retaining the design and performance risk concurrently
tendering strategy based upon price competition on account of such high profile project is not most suitable
mechanism to select contractor.
262
4.2. Design and Build

Design and Build is a procurement method in which a single contractor is applied to deliver design and further on
site execution of the project. Main attributes in relation to KOV2022:
explicit brief is required to outline building functions as well as key specifications. External consultant must be
hired to provide such documentation on behalf of the Organising Committee
a single point of responsibility assigned to the contractor; the Organising Committee deals with one entity only
and takes no risk, neither design nor construction (as long as brief is prepared accurately)
contractor has an input into design and project planning, time-bound delivery is attainable and buildability is
high
price certainty could be derived before the commence of the construction works (the contract price is known at
the outset) provided that no changes will be implemented during the construction stage
fast-track strategy in terms of KOV2022 might be beneficial as all facilities are completed before deadline thus
final adjustments could be carried out before the tournament kickoff
public accountability is hard to obtain - bids comparison is difficult
The Organisation Committees participation in design process is restricted, therefore required quality and
performance of the assets might not be addressed properly.
4.3. Construction management
Most importantly Construction Management requires hands-on involvement of the Organising Committee during
project life cycle which implies an increase of risk. In terms of multiheaded, inexpert body such pro-active attitude
seems to be irrelevant. Additionally:
work packages are tendered separately, price certainty is not attainable at the outset
overall project duration is relatively short due to the overlapping of design and project execution, however, no
single contactor is responsible for the project deadline
The Organisation Committees liability is not only to provide an explicit brief for each trade package but also to
select team of a decent quality with a construction manager as a head responsible for teams collaboration and
overall control of the project
clarification of liabilities and transparent risk distribution among the participants.
4.4. Management contracting

Management Contracting strategy is more applicable than latter one in relation to KOV2022 due to the fact that
subcontractors are not aligned directly to the Organising Committee thus risk for the client is lower.
Nonetheless, price certainty is not attainable at the outset. Overall outcome of the project is based on the quality of
design brief and selecting highly qualified team.
In terms of KOV2022 this procurement strategy could be implemented only upon the condition that the
management contractor would agree upon a guaranteed maximum price (GMP). Hence the Organising
Committee would pay higher fee to the management contractor but ensure that under no circumstances the fixed price
would be exceeded.
5. Examination of advance procurement practices
5.1. Develop and Construct
This procurement route is created on the basis of Design and Build. However, due to the implementation of novation
and two stage tendering may be deemed more applicable for KOV2022.
263
One of the major drawbacks of Design and Build is fairly restricted client participation in the design stage that may
imply either under or over specification of the project. Develop and Construct mitigates this issue by introducing
novation which allows the Organising Committee to hire their own design team and subsequently novated it to the
contractor. Moreover, the Organising Committee (incurring additional costs) could transfer contractual relationship
using novation ab inito which moves the risk of design to the contractor while the client retains the control over
both design and budget.
Two-stage tendering improves contractor selection by introducing transparent prequalification stage. As a result
only entities with proven capabilities will meet the framework requirements.
5.2. Design and Manage
Design and Manage is a procurement route which in its basis resembles management contracting although in this
case client interfaces with one organisation only.
As in each management route overall time duration is relatively short. Moreover, a single point of responsibility
is undoubtedly an asset in terms of KOV2022. However, work packages scheme implies uncertainty of price as well
as constraints in clients participation in design stage. Above all, there is no direct contractual relationship between the
client and the works contractors/design team, meaning in case of their failure in fulfilling obligations given the client
might find it difficult to recover the costs incurred. Despite the high overall score in the S&W tool, the significance of
the aforementioned issues justifies that the Design and Manage route is not entirely suitable for KOV2022.
Figure 3. Indicative risk allocation

Source: Davis[6] (2008)
5.3. Public private partnerships (PPP)

As set out by Greenhalgh and Squires[7] procurement of public facilities in collaboration with private sector tends
to be referred to a PPP. Private entity works alongside the Organising Committee to deliver an asset usually on the
basis of a long-term contractual relationship. PPP allows the Organising Committee to undertake the project without
incurring capital costs of construction hence governments expenditures are spread over many years. PPP has many
variations, however, most commonly private sector entity is liable to provide design, construction, maintenance and
finance of the project. Public sector is charged annually after completion of the project during its operational phase,
therefore the Organising Committee is purchasing service rather than delivery of assets.
PPP formats in terms of KOV2022:
Private Finance Initiative (PFI): risk is assigned to the private sector special purpose vehicle (SPV).
Suitable for the public sector projects which are not financially viable. Overall duration of the project
264
delivery is expected to be relatively short as SPV wants to get the revenue stream from the public sector as
soon as possible. As a result client has to ensure that quality and performance of the assets will not suffer
due to the acceleration of project execution.
Design Build Operate Maintain (DBOM) distinct form of the PPP owing to public funds
involvement. Private entity designs and builds the project. Subsequently, same entity operates and maintains
facilities for the Organising Committee until the end of the agreement. Further elaboration of this procurement
route is presented below.
6. Design-Build-Operate-Maintain (DBOM) and its benefits

DBOM provides all essential services as a one entity, usually joint venture - Special Purpose Vehicle (SPV) between firms liable for design build and operational period (O&M). Therefore the Organising Committee deals with
a single point of responsibility. Public sector secures project financing and acquires an ownership of the
construction asset as well as long-term maintenance services (suggested length of PPP agreement 10 years).
The Organising Committee is provided with a fixed cost covering design-build and future maintenance services early
in the process so the public money expenditure stream will be transparent. Such solution is an incentive for the
contractor to deliver the project without an increase of already set up price in a timely manner (time-bound). However,
in terms of such circumstances the Organising Committee should be also assured that the quality of the asset will not
be sacrificed. Following Dahl, Horman, Pohlman, Pulaski [8] since maintenance of the building is one of the
contractors liabilities, then in his best interest is to deliver the asset which will be operated and maintained cost
effectively so that his profitability could increase.
It cannot be denied that over the project life cycle costs of maintenance could far exceed the initial costs of facilities.
Incorporation of the O&M specialists from the earliest stages of the delivery process reduces the future expenses by
introducing critical decisions in the appropriate time.
By all means, DBOM guarantees buildabilty as contractor contributes in the design stage. Moreover to assure highlyqualified contractor with relevant track record the prequalification can be applied. Public accountability will be
achieved as the award process is based on competitive fairness what implies transparency.
Risk is allocated with the contracted entity as it is liable to deliver high - profile energy sufficient assets with their
further long term maintenance. Therefore the risk for the construction cost overruns as well as annual operating
expenses belongs to the contractor. According to the contractual relationship the quality assurance will be achieved
as DBOM provides a warranty for the assets at least for the whole duration of the PPP agreement.
Figure 4. DBOM as an integrated process
265
7. Conclusion
The primary goal of this paper was to undertake a comparative analysis of procurement routes applicable for
governmental megaprojects on the basis of KOV2022 with the final outcome covering the most suitable method for
the project. The author is fully aware of the extraordinary project circumstances, however, trying to perform a what
if analysis it seems that KOV2022 would have had higher chances to convince sceptics if more emphasis had been
put on designing a procurement scheme embracing a long-term perspective for the project. From the very
beginning KOV2022 should have been perceived as a two-stage endeavor which requires an appropriate set of specific,
measurable, attainable, resource-based and time-framed (SMART) objectives. Long-run effectiveness for
KOV2022 could have been assured by implementation of DBOM procurement scheme presented above which, being
transparent and explicit, accounts for a construction phase as well as an O&M period of the assets. Procurement
strategy must be tailored to fit the unique project requirements bearing in mind the needs of all stakeholders involved.
Especially in terms of public funded projects it cannot be denied that they ought to be delivered not only on behalf of
the client (government) but more importantly on behalf of all individuals that affect or are to be affected by the project
[9]. The Organising Committee as a representative body of Polish government should have perceived the project in a
greater dimension and if so there is no doubt that all the ideas presented would have had a more favorable feedback
from taxpayers, especially those from Krakw.
References
[1] Kelly J., Male S., Graham D., (2006) Value Management of Construction Projects, Oxford: Blackwell Publishing, pp. 292-293
[2] Morledge R., Smith, A., Kashiwagi D.T., (2006) Building Procurement, Oxford: Blackwell Publishing, pp. 102-119
[3] Wodyski W.A., (2014) Construction Procurement analysis for Atheletes Village Warsaw International Games 2017, Edinburgh: Heriot-Watt
University
[4] Sloman J., Garratt D., (2010) Essential of Economics Fifth Edition, Essex: Pearson Education Limited, pp. 252-258
[5] RICS, (2013) Developing a construction procurement strategy and selecting an appropriate route, London:RICS
[6] Davis P., (2008) Building Procurement Methods, Brisbane: Cooperative Research Centre for Construction Innovation, pp. 191-204
[7] Greenhalgh B., Squires G., (2011) Introduction to Building Procurement, London: Spoon Press
[8] Dahl P., Horman M., Pohlman T., Pulaski M. (2005) Evaluating Design Build - Operate Maintain as a tool for sustainability [online]
Available from: www.ce.berkeley.edu
[9] Burke R., (2010) Project Management Techniques, 5thReprint, Burke Publishing ISBN-13:978-0-9582-7334-3, pp. 320-329
[10] Office of Government Commerce (2010), An introduction to Public Procurement [online] Available from: www.ogc.gov.uk
266
Duties and responsibilities of quantity surveyors in the procurement

of building services engineering
AbdulLateef Olanrewaju, Paul Junior Anahve*
Universiti Tunku Abdul Rahman, Jalan Universiti, Bandar Barat, 31900, Kampar, Perak, DR., Malaysia
CDP Partnership, No 3 Borno Road, Kaduna North, Kaduna, Nigeria
Abstract
Quantity surveying is global and provides services across various industries. Quantity surveyors are involved in all phases of a
facilitys lifecycle such as feasibility, design, construction, extension, refurbishment, maintenance, and demolition. The
competencies of the quantity surveyors are aimed at producing constructions that meet the clients value system. Building
engineering services are part of buildings, but quantity surveyors involvements in it procurement are quite limited. Therefore,
this study examines the kinds of services that quantity surveyors play in the procurement of building services. Primary data is
collected through a survey questionnaire. The results of the findings led to the conclusion that the quantity surveyors were
actively involved in the procurement of building services engineering. Cost advice during construction is the most offer service
while advice on the impact of environmental is seldom offered. However, most of the services are still at the downstream side in
the supply chain. The analytical method and detailed costing techniques were predominantly applied for estimating the building
engineering services. However, there is a need for quantity surveyors to move to the upstream in the supply chain in order to be
competitive. The results of the study are useful to quantity surveyors, service engineering consultants, and other stakeholders in
the construction industry.
Keywords: Competency, prime cost sum, nominated subcontractors,value added service,clients
1. Introduction
The construction industry comprises of many stakeholders such as clients, design professional, construction
professionals, and operational teams (example: in case of the PPP/PFI schemes). The major professionals in the
industry in terms of their initial contact with the clientele and involvement with the design and construction stages of
the construction projects includes engineers (notably civil, electrical and mechanical), building engineers, quantity
surveyors and architects. The architects are specialist in the development of building concepts and design. During the
construction phase, the architects continuously revise plans, drawings, and specifications to meet the requirements of
the clients and statutory regulations. While the civil engineers are most concerned with public constructions (i.e.
roads, dams, quays, shipyards, and bridges), building engineers are involved in calculating the strength and forces of
the proposed construction. They also prepare structural drawings and specifications from architectural drawings and
other relevant contract documents. They work to ensure that the buildings can carry and withstand the loads they will
encounter while in operation. The mechanical and electrical engineering are often termed together as services
engineering and are an important aspect of modern constructions contributing up to 30% of the total contract sum for
* Corresponding author. Tel.: +605 468 8888; fax: +605 466 7407
E-abdullateef.olanrewaju@ymail.com
267
a standard building. Modern buildings require complex and sophisticated services to make building more convenient
and comfortable. Engineering services are executed by the nominated or domestic subcontractors.
Quantity surveyors are involved in various types of construction including civil, building, mining, petrochemical
plants and refineries construction and installations. Quantity surveying involves cost management, procurement and
contractual issues in the supply chain and marketplace for constructions. They monitor and update initial estimates
and contractual obligations as the construction progresses based on additional works and variations. While some
practices still provide services that are focused on buildings (the architectural elements), others now provide services
that include heavy engineering, oil and gas, and engineering services[1]. Of particularly interest are the engineering
services. It would be out of place to claim that all quantity surveyors have the required skills and knowledge to
provide expert advice on the building engineering services as they do for other aspects of the construction processes.
However, clients are increasingly becoming uncomfortable with the inability of quantity of surveyors to provide
conclusive and accurate estimates for their buildings arising from using lump sums to price engineering services.
Paradoxically, while, the engineering services are part of the buildings, it is specialized duties for most quantity
surveyors [see 1, 2, 3]. In fact, today, it is common to see or hear statement like M&E Quantity Surveyors.
Ostensibly to mean quantity surveyor that is qualified to offer advice on the building engineering services. Also,
some universities now offer degree in building services quantity surveying. This degree aims to provide students
with a sound understanding of the principles and practices involved in the building services quantity surveying
specialism, up to degree level standard, and to prepare them for progression to Masters level should they so wish
[4].However, recent studies show that the quantity surveyors generally, have expanded on the nature and scope of
services they now provide [2, 5]. However, it is inadequate to claim that the quantity surveyors have expanded on the
nature and scope of services they now provide, this require illustration. It is for this purpose that this study aims to
evaluate the level of involvement of quantity surveyors on the procurement of building services engineering. The
study aims to provide fresh knowledge on the expertise of quantity surveyors with a focus on engineering services.
This knowledge is valuable for academic institutions that offer quantity surveying programmes, practicing quantity
surveyors, and other players in the construction industry.
2. Background and theoretical framework
The construction industry comprises various activities such as new construction, maintenance, refurbishment,
rehabilitation, conversion, extension, and renovation. The construction industry generally contributes between 3%
and 10% to the Gross Domestic Product of most countries. For instance, in 2012, the construction industry
contributed N2, 188,718.59 million, 3.05% to the Nigerian GDP and employed 6,913,536 persons [6]. The Nigerian
construction industry is largely British with some incursion from Europe and America, as such quantity surveying is
offered in most reputable universities and polytechnics.
2.1. Branding the quantity surveyors
Quantity surveying has identity problem! In USA, quantity surveying is related to cost engineering, while they are
also referred to as cost economists or cost consultants in other places. The modern quantity surveyors perform
various types of services that extend beyond the services that the traditional quantity surveyors provide and higher
institutions offering quantity surveying programme respond accordingly by modifying and upgrading their course
contents. Quantity surveyors provide advice on the strategic planning of a project [2]. For a construction work, this
advice affect clients decisions on whether to construct or not, and if the client decides to construct what effect does
cost have on other criteria within the clients/users value systems including time and quality, function, satisfactions,
comfort, and aesthetics. Notwithstanding of the procurement route selected, as is usually the case, even under the
traditional procurement system where the quantity surveyor is not usually the lead or prime consultant, all other
members of the team, including the client relate with him and supply valuable information to the quantity surveyor to
enable him to prepare accurate estimates to make meaningful contributions towards the successful completion of
the planned construction. With management-based procurement strategies like PPP, the functions of the quantity
surveyors are becoming more strategic.
The roles that the quantity surveyors perform today have diversified into industries including petrochemical,
manufacturing, automobile, mining, telecommunication, shipping, transport, and agriculture. The major impetus for
268
this diversification is the changing requirements of the stakeholders. There is increasing awareness on accountability
and transparency. Todays clients are more demanding than they used to be. In light of this, for quantity surveyors to
remain competitive, there is a need to embrace value added tools, skills, and expertise [7]. For quantity surveyors to
be part of the transformation agenda of the government, they need to provide cutting edge services. Quantity
surveyors need to be involved in both the downstream and upstream side of the supply chain. This will allow them to
provide total value added services. The current business model is pushing the clients to demand for construction to
be completed on schedule, within budget, with maximum performance, reliability, safety, and meeting other criteria
within their client value system. Plausibly, the clients are also pushing the construction industry to take a cue from
the automobile, banking, and electronic industries that move with time [7].
2.2. Building engineering services and quantity surveying
Building engineering services are part of the building process. In a bill of quantities, it is usually considered a
single element. Broadly speaking, the element comprises mechanical and electrical (M&E) components. These
components generally include plumbing installation, electrical installation, and air-conditioning, heating ventilation,
lift installation, fire-fighting, noise / acoustic installations and communication installation. Usually, the engineering
services are treated on the basis of outline drawings and specifications and ultimately procure as a lump sum contract
or cost reimbursable contract [8, 9]. However, this is grossly irreconcilable with the values systems of the modern
clients and building users. A plausible explanation for this is the gradual increase in the cost of engineering services
that is exceeding 30% of the total capital costs. In some buildings like hospitals, laboratories, mega shopping
complexes and hotels it could represents more than 60% of the capital costs. Added to this is the fact that the more
the increase in the size of engineering service in the capital cost, the higher operational and maintain [2, 3]. Close to
80% of operation costs of buildings are attributable to the engineering services [3]. Decisions made on layout,
design, and specifications have cost implications on both the capital costs and operation costs. Hence, there is a need
for this scope of work to be rigorously measured like the other construction elements.
Therefore, the skills and knowledge of the quantity surveyors in this element is critical. Those who do not possess
these required competencies could not provide the total value added service expected of them. In fact, specialists
quantity surveyors in engineering services are invited for large facilities distinct from the standard quantity
surveyors. However, most quantity surveyors still considered engineering services as unknown territory [2, 3]. This
is largely explained by the very complex nature of the engineering services. However, for the quantity surveyors to
provide value added services, they must have a detailed knowledge and skills of the construction works, a failure of
which will inhibit the delivery of the value added services to the clients and to other members of the design and
construction teams [3]. However, methods of procurement also fragment the supply chain. This fragmentation is
making it difficult for quantity surveyors to provide expert advice at the upstream in the procurement of building
services. For instance, under most current procurement methods, quantity surveyors are only involved when strategic
decision are taking, when architects and engineers have been appointment, briefing conducted and drawings reaching
completion if not completed. However, 75% of constructions cost is already committed when design is only 25%
complete [9].
3. Outline of Methodological Issues
This study consists of a literature review and survey. The primary data was collected through online survey. The
questionnaire was administered in one week, 1-7March 2015. Altogether, 9 roles played by quantity surveyors in the
procurement of building engineering services provide are addressed to respondents. The 9 roles were identified based
on a literature review [e.g.1, 7, 8, 10] and the authors experiences. In order, to improve the reliability and validity of
the constructs, pilot study was conducted among five experts in the construction industry. To provide more insight,
the methods that the quantity surveyors adopted in estimating engineering services were also investigated to serves
as a control variable. Respondents were asked based on their current experience, to tick the extent to which the
quantity surveyors have performed the roles on a five continuum scale; where 5 denotes extremely often, and 1
denotes not often at all. Two, 3 and 4 are located in between. The degrees at which the roles are performed are
determined by Average Relative Index (ARI) (Equation 1). The index is based on the cumulative weighting of the
initial frequency score of each of the roles.
269
a i xi
ARI =
i =0
(Equation 1)
, (0 ARI 1)
5 xi
i =0
Where is the index of a group; constant expressing the weight given to the group; xi is the frequency of
response; i = 1, 2, 3, 4, 5, 1 , 2 , 3 , 4 , 5 , are the frequencies of the response corresponding to 1 =1, 2 =2,
3 =3,4 =4,5 = 5, respectively. For interpretation, the lowest possible score is 0 (zero) while highest possible
score is 1 (one). Simply put the closer to 1 the higher the extent at which the service offers. The mode technique was
used to analyse the demography of the respondents. Mode was also used to determine the distribution of roles with
respect to the scales. The measurements of the roles that the quantity surveyors perform are displayed in frequencies
but the rating of the roles is determined by average relative index.
4. Analysis and Discussion
4.1. Respondents Profile
Altogether, 56 usable questionnaires were received and analysed. Though the response rate is small, but
previously Li et al. reported a study in which 500 questionnaires were administered, but only 61 (or 12%) were
returned [11]. Thus, the response rate used for this study is appropriate. The profiles of the respondents indicated that
most (46%) of the respondents were quantity surveyors (Table 1), this could be explained by the research design.
With the exception of respondents who did not indicate academic qualification, all the remaining 96% are degree
holders, Table 2. More than 80% of the respondents have more than five years work experience in the construction
industry (Table 3). Some 60% of the surveyed respondents have completed more than 10 projects in the last ten years
and about 20% have completed more than 30 projects each in the last ten years (Table 4).Some 70% held strategic
positions in their organisations, see Table 5. The interpretation of the information above is that the respondents have
the required qualifications to provide valid and accurate information on the nature, scope, and activities in the
Nigerian built environment.
Table 1. Respondents academic background
Professional
Quantity surveying
Engineering
Architecture
Estate management
Town planning
Others
Frequency
26 (46%)
15(27%)
9(16%)
4(7%)
1(2%)
1(2%)
Table 2. Respondents highest academic qualification

Qualification
BSc/BTech.
Higher National Diploma
MSc/Pg.D,
Ph.D.
Others
Frequency
18 (32%)
11(20%)
24(37%)
1(2%)
2(4%)
Table 3. Respondents working experience in years)

Working experience
<5
5-10
10-15
15-20
20 and above
Frequency
10(18%)
20(36%)
13(23%)
7 (13%)
6(11%)
Table 4. Number of project completed by respondents organisation which he/she was involved in the last 10 years
Working experience
< 10
10-20
20-30
30-40
40 and above
Frequency
19 (34%)
16(29%)
8(14%)
6(11%)
5(9%)
Table 5. Respondents current position

Position
Managing director
Contract manager
Project managers
Principal partner
Partner
Others
Frequency
5 (9%)
3(5%)
16(29%)
6(11%)
8(14%)
18(32%)
270
4.2. Analysis of the duties and responsibilities of quantity Surveyors in the services engineering
As expected, the initial question that suffices was to determine the levels of the quantity surveyors involvement in
the procurement of the building engineering services. The results of the findings are contained in Table 6 indicate
that the quantity surveyors are active in procurement of the engineering services.
Table 6. How often do you provide quantity surveying services on building engineering services?
How often
Extremely often
Very often
Often
Somewhat often
Not often
Not at all
Frequency
9(16%)
29(52%)
10(18%)
3 (5%)
4(7%)
1(2%)
Table 7 also alluded to the fact that the quantity surveyors have tended to offer advice to clients in the
procurement of the engineering services. With the exception of assessment of environmental impact of engineering
service, the quantity surveyors play strategic roles in the procurement of the engineering services. While 31%
extremely offer the services, 32% offer the service very often. In general, more than 84% offer expert advice on
engineering services.
Table 7.Types of services that the quantity surveyors offer in the procurement of building engineering services.
Services
Advices in the development of the preliminary architectural
development on the impact of building envelope on services design
Provide input into the projects cost plan through the establishment of a
building services capital budget
Extremely
often
Very
often
Often
Somewhat
often
Not
often
Index
12
18
13
10
0.7018
24
20
10
0.8436
21
18
10
0.7821
16
20
0.5346
16
21
15
0.7750
36
14
0.9036
12
20
17
0.7214
16
19
12
0.7564
13
25
0.7393
Provide services on whole life costs

Provide an environmental impact assessment
Examine the impact of contractual arrangement
Provide cost control during the constructions
Provide input into the establishment of the project brief
Provide input into or conduct value management
Provide input into the development of specification clauses
Irrespective of the methods of procurement, during construction the nature and scope of advice that quantity
surveyors provide is numerous, for instance, the quantity surveyors will prepare interim valuation reports, advice
client on costs implications of variations, examine contractors claims and advice on other decisions by the client and
design team that may affect cost and value of the buildings. It is interesting to find that, the quantity surveyors are
actively involved in establishment of capital budget of the engineering services. The quantity surveyors advice on
method of contract and at the same time is part of the value management teams. However, while it may be concluded
from Table 7 that the quantity surveyors provide extensive advice on engineering services, there level of
involvements still blurred. Therefore, the methods of estimating engineering services are examined. Table 8 contains
the methods estimating the engineering services. As may be seen, the methods most quantity surveyors deployed for
estimating engineering service are detailed cost estimating methods and the analytical method. The least used is the
guess estimates/ preliminary estimate. Single rate approximate estimate is not wieldy used. Guess estimates are
normally used for preliminary estimates before any specification and drawings are produced. Similarly the single rate
approximate estimates as well as the multiple rate approximate estimates are deployed at the upstream end of the
supply chain. Therefore, the inferential interpretation of the information in Table 8is that the quantity surveyors
usually offer their service when major design decisions have been made. However, at this stage, strategic roles
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cannot be performed by the quantity surveyors. For instance, it is possible for the quantity surveyors to participate in
the value management workshop, but not during the value planning phase rather during value engineering phase to
examine production drawings.
Table 8.Method of estimating building engineering services by the quantity surveyors.
How often
Extremely often
Very often
Often
Somewhat often
Not often
Index
Guess estimating
12
28
0.4214
Single-rate approximate estimating
12
16
12
0.5857
Multiple rate approximate estimating
21
13
10
0.6107
Analytical method
21
21
0.7036
Detailed cost estimating method
31
14
0.8357
However, the benefits brought to the quantity surveyors by the university courses on engineering are broad, which
makes it impossible for quantity surveyors to engage in building engineering services. This phenomenon is due to the
educational (gap!) and work culture. For instance, the contractors as well as many engineering consultants, have
some doubts regarding the accuracy of the bill of quantities [8]. In the traditional procurement system, where the
service engineers are engaged in the later stage, this means that only outline drawings and specifications will be
available at the tender stage. The implication of this is that such works can only be included in the bill of quantities
as prime cost sums. Relatively, the course contents of the quantity surveying programme emphasises too much on
architecture and structures as compared to building engineering services. Hence, the quantity surveyors face some
restriction by the engineers. One of the major factors responsible for this is the inability of the services consultants to
understand the expertise of the quantity surveyors in this scope and most of the engineering subcontractors and
suppliers consider tendering with bill of quantities as counterproductive.
5. Conclusion and research limitation
This paper report a study that examine the services that quantity surveyors offer to create awareness on the extent
to which quantity surveyors are involved in the total procurement and management of built assets. Managing a
construction from the design through to the operation stage requires knowledge on all aspects of the constructed
facilities. Throughout the life of a project, the quantity surveyors are required to advise all stakeholders on financial
probity, procurement and achieving the stakeholders value systems. What is found here is that the quantity
surveyors are involved both in downstream and upstream in the procurement of engineering service, but the service
is restricted to the downstream.
References
[1] A. Ashworth, K. Hogg, C. Higgs C,Wills practice and procedure for the quantity surveyors, 13th Edition. UK: John Wiley and Sons Ltd, 2013
[2] A. Ashworth, Cost studies of buildings, 4 Ed., Pearson Education Limited, Harlow, 2010
[3] C. Marsh, Building Services Procurement, Spon Press, London, 2003.
[4] University of Reading, BSc (External) Degree in Building Services Quantity Surveying UCAS code: N/A available at:
http://www.reading.ac.uk/progspecs/pdf10/UPBSERVQS10.pdf [accessed on 15 April 2015]
[5] A. A. Olanrewaju, J. P Anavhe, Services that quantity surveyor provide in Nigeria. In Proceedings: International conference on project
management (ICoPM) 18 20 November, 2008, Kuala Lumpur, Malaysia. Organized by the University Malaya, 2008
[6] (NBS)National Bureau of Statistics, 2015) Nigerian Construction Sector: Summary Report; 2010-2012. Available at
file:///C:/Users/olanrewaju/Downloads/nbs%20Nigerian%20Construction%20report%202010_2012.pdf [accessed on 10 March 2015]
[7] D. Cartlidge, New Aspect of Quantity Surveying Practice, Butterworth Heinemann, UK, 2011
[8] I. H. Seeley, Quantity Surveying Practice, 2nd edition, Macmillan, London, 1997.
[10] H.N. Ahuja, M. A Walsh, Successful methods in cost engineering, John Wiley and Sons, New York:
[11] D. Towey, Construction quantity surveying: a practical guide for the contractor's QS, Wiley-Blackwell, UK: 2012
[12] B. Li, A. Akintoye, P.J. Edwards, C. Hardcastle, Perceptions of positive and negative factors influencing the attractiveness of PPP/PFI
procurement for construction projects in the UK: Findings from a questionnaire survey, Engineering, Construction and Architectural
Management, Vol. 12 No. 2, pp. 125-148, 2005.
272
Internationalization and environmental strategies of multinational

construction firms
Chuan-Fang Ong *, Po-Han Chen , and Shu-Chien Hsu
National Taiwan University ,Taipei, Taiwan
National Taiwan University ,Taipei, Taiwan
The Hong Kong Polytechnic University, Hong Kong SAR, China
Abstract
Multinational construction firms have manifested relatively proactive in environmental management which suggest
internationalization would impact on proactivity of environmental management. The purpose of this paper is to verify the
relationship between internationalization and environmental strategy, especially the difference in geographical diversification. 36
samples of construction firms listed in ENR Top International Contractor are used in the study. The environmental information of
each sample is extracted through content analysis method, and further we cluster the environmental management practices into
three groups of strategy, which depict reactive, preventive and proactive in strategic environmental management. We take
multiple aspects in the evaluation of internationalization and perceived internationalization as indicators of intensity, geographical
extensity and geographical concentration. For firms that are highly regional diversified in developed countries, the ANOVA result
indicates they are more likely to adopt a proactive environmental strategy rather than a preventive and reactive strategy.
Conversely, the firms are more likely to adopt preventive strategy if they are highly spread in both developed and developing
countries. In either case, contractors that adopt reactive strategy are the least internationalized. Even after we have accounted for
the effects from the home country and firm size, the results suggest that construction firms adopt different environmental strategy
are subjected to the level of geographical diversity of developed countries. The study implies that not only the selection of
strategy is externally hinged on capability of firm in responding to environmental issues when their legitimating business
environment extends to include the institutional contexts and stakeholders in host countries but also internally attributed to
organizational capabilities that underlie the adoption of environmental strategies.
Keywords: Environmental strategy, geographical diversification, internationalization, multinational enterprises.
1. Introduction
Multinational construction firms have been relatively proactive in environmental issues. One of the perceived
main impetuses to develop an environmental management system is the synergy effect when entering the
international construction market [1]. A study on Korean contractors concluded that global contractors are more
proactive in environmental strategies than their local counterparts [2]. Zuo, et al. [3] also indicated a high
commitment of environmental reporting among international contractors. However, recent environmental strategy
studies in the construction industry [2, 4, 5], have not addressed the impacts of environmental proactivity on
internationalization.
* Chuan-Fang Ong. Ph.D. Candidate, Department of Civil Engineering. Tel.: +852-62152825.

E-mail address: d00521033@ntu.edu.tw
273
There have been no studies from the environmental strategic management perspective that articulate the interplay
between a multinational contractors internationalization characteristics and its environmental practices. Such a gap
in causal relationship has left empirical and theoretical ambiguity. For a firm, pursuing a proactive environmental
strategy implies both substantial investment and a long-term commitment to market development; therefore, a study
is required to determine how firms perform on internationalization based on their environmental strategies.
The primary goal of this study is to construct the environmental strategies of multinational construction firms and
to explore the relationship between environmental strategy and degree of internationalization in multinational
construction firms. We attempt to accomplish a few tasks pertaining to the goals. The study starts with developing
environmental strategies grounded in environmental management literature of resource-based view (RBV) and
construction management. A brief understanding of environmental strategy based on RBV theory and
internationalization perspective can be found in articles of Hart and Dowell [6] and Gonzlez-Benito and GonzlezBenito [7]. Previous studies show that MNEs have attributed to higher environmental performances and proactivity
in their global operations [8, 9], hence, we intend to verify whether multinational construction firms are aligned with
this assertion by measuring internationalization in term of global standpoint, and internationalization in developed
and developing regions respectively. Three internationalization indicators are adopted in this study: intensity,
geographical extensity, and geographical concentration.
2. Method
2.1 Samples
The samples of multinational contractors were drawn from Engineering News-Record publication, ENR Top
International Contractors 2012 [ENR, 10]. Only public listed firms with available financial data and environmental
reporting published online were taken into the study. Out of 225 contractors listed, 36 firms are targeted.
2.2 Constructs of Environmental Strategy
We adopted the content analysis method to analyze the environmental information published by each construction
firm. Due to our groups language proficiency, only reports in English and Mandarin were accepted. We gathered
environmental data from sustainability reports, CSR reports, online annual reports, and public information on
company webpages. Our main targets were environmental reports published in 2011.
Table 1. Final cluster means of environmental strategies a
Reactive
Management systems and procedures
-4.157
External environmental reporting
-1.570
Innovation capability
-0.799
Product stewardship
-1.348
Stakeholder engagement
-4.464
Pollution prevention in office
-1.883
Pollution prevention on-site
-3.767
Managerial vision
-0.429
N
9
a
Summation of standardized mean values are reported
p < 0.10; p < 0.05; p < 0.001
Strategy Cluster
Preventive
0.420
0.120
-0.405
0.080
-0.236
-0.058
-0.231
-0.101
19
Proactive
3.678
1.480
1.860
1.327
5.582
2.256
4.785
0.724
8
ANOVA F
22.03
9.602
7.408
7.141
20.676
7.102
12.698
3.442
The survey instruments of content analysis consisted of a coding form and a codebook that attached sample
excerpts for scoring. The author and two other raters manually performed the content analysis. We examined several
aspects of the variable validity and reliability. First, the dimensionality of each domain was examined by exploratory
274
factor analysis using maximum likelihood extraction (with eigenvalue>1), and we omitted survey items with factor
loading below 0.4. Second, we examined the internal consistency of each variable by computing Cronbachs alpha.
We subjected these survey variables to K-mean clustering analysis. Following Buysse and Verbekes (2003)
three-group classification, we identified these clusters as depicting reactive, preventive, and proactive environmental
strategies. We ensured the coherence and stability of the cluster solution by repeating the cluster analysis on
randomly selected subsamples of our respondents. The results of ANOVA F-statistics showed that the differences
between cluster means are highly significant (Table 1).
2.3 Internationalization
Ietto-Gillies and London [11] identified three major dimensions in the internationalization concept: intensity,
geographical extensity, and concentration dimension. These three dimensions have been incorporated into our study.
Foreign sales to total sales revenue: For the internationalization intensity, the most common measure used by
researchers has been the percentage of foreign sales to total sales revenue (FSTS), and is adopted here.
We invoked regional classification adopted in 2012 Environmental Performances Index data files when deriving
the geographical diversity [EPI, 12]. There are a total of six regions, according to the countries listed in EPI 2012.
We further sub-divided the six regions into four developed regions and six developing regions. The former includes
Asia and Pacific; Europe; Middle East and North Africa; and Americas. The latter includes Asia and Pacific; Eastern
Europe and Central Asia; Europe; Americas; Middle East and North Africa; and Sub-Saharan Africa. The countries
under our classification of the six developing regions are identical to World Banks country classification, thereby
proving our studys convergent validity. The countries in which each firm worked in 2011 can be found in the ENR
report [10].
Network Spread Index (NSI): Developed by Ietto-Gillies [13], NSI has been used to measure the percentage of
foreign countries a firm is affiliated with in relation to the total number of foreign countries in which, potentially,
the firm could occupy. As in Pheng and Hongbin [14], NSI has been adopted in this study for the country-level
analysis of a firms international business distribution and used as proxy to geographical extensity.
Regional diversification index (RDI): Geographic regions are substantially different in socio-economic
environment [15]. The imperative for regional study underscores insufficiency of purely country-level analyses in the
evaluation of a firms operations across multiple locations that are distinct but not entirely independent of each other
[16]. As in Qian, et al. [17] study, entropy measure is adopted to measure the geographical concentration. The
entropy measure of regional diversification index is defined as:
1
=
=1 ln /ln()
(1)
where Pi is the probabilities of number of countries where a firm had its subsidiaries to regional market i, and ln
(1/Pi) is the weight that is given to each global market region, m is the number of total regions considered in the
computation.
We created three NSI and three RDI variables for comparison. First we computed them from a global standpoint
comprising all 10 regions (NSI10 and RDI10); second, we computed them separately according to the respective
number of countries in the four developed regions (NSI4 and RDI4) and six developing regions (NSI6 and RDI6).
2.4 Control Variables
The conditions of a firms home country would influence its environmental strategic response in host countries
[18, 19]. We captured the influences of a firms home country conditions in two-ways. First, the environmental
governance of a home country was measured according to the Environmental Performance Index (EPI), published
jointly by Yale University and Columbia University in year 2012 [EPI, 12]. Next, we included the gross domestic
275
product per capita (GDPCAP) of a construction firms home country in our study. Many studies in environmental
management and internationalization consider firm size [9, 20]. The number of employees was used to measure firm
size in our study.
2.5 Analysis method
We adopted the one-way analysis of variance (ANOVA) to test whether mean and standard deviation differences
of each internationalization variable were statistically signicant among the environmental strategy clusters.
Furthermore, post hoc Tukey's HSD (honest significant difference) test was also conducted to test for statistical
differences between clusters pairwise. Next, multivariate analysis of variance (MANOVA) was conducted based on
overall internationalization variables (excluded RDI2 and FSTS) and environmental strategy clusters. Control
variables were entered into the analysis as covariates and one-way analysis of covariance (ANCOVA) was
performed to verify whether each of the dependent variable were still associated with differences among the strategy
cluster after the home condition effects and firm size had been accounted for. A similar multivariate analysis of
covariance test (MANCOVA) was performed taking all internationalization variables together, except FSTS, and the
result was compared with MANOVA result.
3. Results
The results of ANOVA and MANOVA analyses are presented in Table 2. From global standpoint (RDI10,
NSI10), environmental strategy is significantly associated with degree of internationalization. The geographical
concentration and extensity of a firms global operation was found to be highest for firms with preventive strategy,
second highest for firms with proactive strategy, and lowest for firms with reactive strategy. However, investment
intensity (FSTS) in foreign countries was not significantly linked to the strategy used. The foreign investment
intensity might able to provide more insight if FSTS by regions could be assessed; unfortunately, they are not
available.
In developing regions, environmental strategy is significantly associated with geographical extensity (NSI6), and
firms with preventive strategy have the highest extensity, followed by firms with proactive strategy, and reactive
strategy. While the relationship between environmental strategy and geographical concentration (RDI6) appeared
inconclusive.
In developed regions, environmental strategy of a firm is significantly associated to both geographical
concentration and extensity. Nonetheless, the effects of environmental strategy on geographical concentration and
extensity are deviated. Firms pursuing proactive strategy have the highest concentration (RDI4) but second in
extensity (NSI4); conversely preventive strategys firms have the highest extensity and second in concentration.
Reactive strategy always ranked the lowest in either analysis.
With respect to the robustness of our ndings, further analysis of ANCOVA and MANCOVA are shown in Table
3. These tests were used to investigate the relationship of environmental strategy with internationalization after the
effects of covariates were removed. For the ANCOVA analysis, only regional diversification in developed regions
(RDI4) remained significant and robust. The significance of environmental strategies associated to RDI10, NSI10,
NSI6, and NSI4 were not sustained after incorporating covariates into the analysis. We have done separate testing on
ANCOVA and MANCOVA by including only GDP per capita and EPI to confirm the robustness. The MANCOVA
result suggests that relationship between environmental strategy and internationalization is still robust after
incorporating home country variables into the analysis. However, when all covariates, included firm size, were taken
into MANCOVA analysis, the net effect of environmental strategy on overall internationalization variables was
accounted for 49% variance, which is not much different from MANOVA, but the overall relationship becomes
insignificant.
276
Table 2. ANOVA and MANOVA analysis of Internationalization under three environmental strategy clusters
RDI10
NSI10
RDI6
NSI6
RDI4
NSI4
FSTS
Cluster of Environmental Strategy a

Reactive
Preventive
Proactive
0.562
0.758
0.720
(0.220)
(0.202)
(0.111)
0.098
0.246
0.154
(0.069)
(0.194)
(0.115)
0.504
0.693
0.458
(0.256)
(0.311)
(0.330)
0.097
0.208
0.106
(0.090)
(0.164)
(0.083)
0.371
0.631
0.786
(0.302)
(0.350)
(0.115)
0.102
0.335
0.259
(0.077)
(0.281)
(0.204)
0.324
0.482
0.380
(0.234)
(0.322)
(0.314)
ANOVA F,
Brown-Forsythe
3.673
MANOVA Wilkis b
4.657
2.266
4.256
5.630
4.455
1.010
0.487
Standard deviations are in parentheses.

MANOVA analysis excluded RDI2.
p < 0.10; p < 0.05; p < 0.001
b
Table 3. ANCOVA and MANCOVA analysis incorporated covariates
ANCOVA F
RDI10 NSI10
1.25
0.82
Strategy
Covariates:
GDPCAP
2.54
1.17
EPI
0.71
1.62
Size
5.89
17.70
a
MANCOVA analysis excluded FSTS.
p < 0.10; p < 0.05; p < 0.001
RDI6
1.27
NSI6
1.43
RDI4
3.84
NSI4
0.22
FSTS
0.61
0.67
0.18
4.06
0.15
1.13
18.05
7.67
4.24
4.64
3.38
1.93
13.97
0.00
1.89
0.19
MANCOVA
Wilkis a
0.551
0.660
0.595
0.604
4. Discussions and Conclusions

This study examined how construction firms devise environmental strategies on their internationalization profile
from the aspect of global deployment and their deployment across developed and developing regions. The study
successfully examined the relationship between a construction firms environmental strategy, aligned with RBV
perspectives, and its degree of internationalization. Three environmental strategies emerged from our clustering,
which are reactive, preventive, and proactive postures in environmental management. Such classification, rooted in
RBV theory, is useful in delineating the competitive advantages embedded under complex configuration of bundles
resources. Literally, a resource must be valuable, rare, inimitable, and supported by tacit skills or socially complex
organizational processes in order to create sustained competitive advantages [21], thereby strategic environmental
capabilities could convey sustained competitive advantages to multinational construction firms.
We found an interesting contradiction between strategic importance of preventive and proactive strategy in
developed regions, as the results of geographical extensity and geographical concentration contravened each other.
The evidence present here, suggests that construction firms adopting proactive strategies in developed regions were
the highest regionally diversified, but not the widest spread among the three clusters. We speculate one of the
277
possibilities is attributed to market characteristics. Although firms that adopt proactive strategies could maximize
business opportunity in developed regions better than in developing regions, the market of customers seeking
advanced environmental services and performances is yet geographically dispersed and niche in developed regions.
In any case, firms that pursue the reactive strategy were always the least geographical diversified among all clusters.
This study has three managerial implications in environmental management and internationalization, stemming on
the strategy posture adopted by the construction firms. First of all, it is essential for multinational construction firms
to pay more attention to their environmental management capability development, as firms that adopt the reactive
strategy would lag behind in international deployment. Second, for construction firms that wish to expand business
in terms of network extensity, the preventive strategy is able to satisfy the diverse business environment across
developed and developing regions. Lastly, firms pursuing proactive strategy might not be outstanding in network
extensity. Despite, firms pursuing proactive strategy envision the importance of environmental sustainable business,
and deploy their operation where the regions and countries could enhance their firm-specific advantages and
organizational environmental capabilities. In this respect, firms that adopt proactive strategy should aim to deploy at
countries that bestow learning opportunities of sustainable construction in the process of internationalization.
References
[1] S. Zeng, C. Tam, Z. Deng, V.W. Tam, ISO 14000 and the construction industry: survey in China, Journal of Management in Engineering, 19
(2003) 107-115.
[2] J.-h. Park, Y.-g. Ahn, Strategic environmental management of Korean construction industry in the context of typology models, Journal of
Cleaner Production, 23 (2012) 158-166.
[3] J. Zuo, G. Zillante, L. Wilson, K. Davidson, S. Pullen, Sustainability policy of construction contractors: A review, Renewable and Sustainable
Energy Reviews, 16 (2012) 3910-3916.
[4] Y. Tan, L. Shen, H. Yao, Sustainable construction practice and contractors competitiveness: A preliminary study, Habitat International, 35
(2011) 225-230.
[5] H. Fergusson, D.A. Langford, Strategies for managing environmental issues in construction organizations, Engineering, Construction and
Architectural Management, 13 (2006) 171-185.
[6] S.L. Hart, G. Dowell, Invited Editorial: A Natural-Resource-Based View of the Firm Fifteen Years After, Journal of management, 37 (2011)
1464-1479.
[7] J. Gonzlez-Benito, . Gonzlez-Benito, A review of determinant factors of environmental proactivity, Business strategy and the environment,
15 (2006) 87-102.
[8] K. Buysse, A. Verbeke, Proactive environmental strategies: a stakeholder management perspective, Strategic Management Journal, 24 (2003)
453-470.
[9] J.J. Kennelly, E.E. Lewis, Degree of internationalization and environmental performance: Evidence from US multinationals, Research in
Global Strategic Management, 9 (2003) 23-41.
[10] Engineering News Record (ENR), ENR the top 225 international contractors, in, 2012.
[11] G. Ietto-Gillies, S. London, Conceptual issues behind the assessment of the degree of internationalization, Transnational corporations, 18
(2009) 59-83.
[12] Yale Center for Environmental Law and Policy (YCELP), Center for International Earth Science Information Network (CIESIN) of
Columbia University, 2012 Environmental Sustainability Index (2012 EPI), in, USA, 2012.
[13] G. Ietto-Gillies, Different conceptual frameworks for the assessment of the degree of internationalization: an empirical analysis of various
indices for the top 100 transnational corporations, Transnational corporations, 7 (1998) 17-40.
[14] L.S. Pheng, J. Hongbin, Estimation of international construction performance: analysis at the country level, Construction Management and
Economics, 22 (2004) 277-289.
[15] G. Qian, Performance of US FDI in different world regions, Asia Pacific Journal of Management, 17 (2000) 67-83.
[16] P. Ghemawat, Semiglobalization and international business strategy, Journal of International Business Studies, 34 (2003) 138-152.
[17] G. Qian, L. Li, J. Li, Z. Qian, Regional diversification and firm performance, Journal of International Business Studies, 39 (2008) 197-214.
[18] A. Kolk, F. Fortanier, Internationalization and environmental disclosure: the role of home and host institutions, Multinational Business
Review, 21 (2013) 87-114.
[19] S. Sharma, J.A. Aragn-Correa, A. Rueda-Manzanares, The contingent influence of organizational capabilities on proactive environmental
strategy in the service sector: an analysis of North American and European ski resorts, Canadian Journal of Administrative Sciences/Revue
Canadienne des Sciences de l'Administration, 24 (2007) 268-283.
[20] J. Gonzlez-Benito, . Gonzlez-Benito, A study of determinant factors of stakeholder environmental pressure perceived by industrial
companies, Business strategy and the environment, 19 (2010) 164-181.
[21] J. Barney, Firm resources and sustained competitive advantage, Journal of management, 17 (1991) 99-120.
278
Implementation of Target Value Design (TVD) in building projects

Pablo Orihuelaa, Jorge Orihuelab, Santiago Pachecoc *
a
Senior Lecturer, Pontificia Universidad Catlica del Per, General Manager of Motiva S.A., Av. Dos de Mayo 1502-502, Lima 11, Peru
b
Architect, Designer of Motiva S.A., Av. Dos de Mayo 1502-502, Lima 11, Peru
c
B.S. in Civil Engineering, Pontificia Universidad Catlica del Per, Ca. Enrique Salazar Barreto 513, Lima 33, Peru
Abstract
One of the main objectives of Lean Construction is the generation of value for all building project stakeholders. Based on this
approach, value can be generated by reducing the cost of products or services delivered and/or by improving the performance or
satisfaction of participants involved in the project. The Target Value Design (TVD) is a Lean tool that enables the design to meet
such an important purpose.
The objective of this article is to present a protocol for the implementation of the TVD during the Project Definition and the Lean
Design in building projects with a particular emphasis on office and housing construction.
For such purpose, a Value Stream Mapping is presented including the most important areas intervening in a building project.
Through the use of flow charts, the various stages and activities are shown from the point in which the project idea arises up to the
stage where plans and technical specifications are submitted. These charts display the moments when the best opportunities take
place to add value by eliminating waste, reducing lead time, optimizing costs, and/or improving the quality of products. Along with
the charts, a cost structure following the same sequence as that of the design process is also shown, which allows economic
valuations at any stage of process development. This prevents the frequent need for re-work that results from having such cost
available just at the end of the whole design process.
The contribution of this study is to provide the project design team with this protocol together with its corresponding cost structure.
We are sure this will be useful for promoting the TVD implementation during the Project Definition and Lean Design phases, which
may be subject to improvements or customized for each project case.
Keywords: target value design, target costing,lean construction, cost planning, architecture
1. Introduction
During the construction project definition and design phases, there are great opportunities to generate value for the
benefit of all project participants; however, our experience in this field shows that these opportunities are not being
taken advantage of.
This problem arises because designers develop their work flow in an isolated way and with very little interaction;
they work sequentially and; finally, because some designers ignore the detailed work of their other colleagues. A work
flow mapping of each design area will be helpful as a protocol in order to avoid rework, and it will identify the times
when information exchange is necessary to maximize value. Additionally, a construction cost structure with a similar
pattern will permit to make economic valuations at early stages, thus ensuring the objective cost and objective value of
the project.
* Pablo Orihuela. Tel.: 0-051-221-1549, porihuela@motiva.com.pe
Jorge Orihuela. Tel.: 0-051-221-1549, jorihuela@motiva.com.pe
Santiago Pacheco. Tel.: 0-051-271-8360, santiago.pacheco@pucp.pe
279
In order to understand what the TVD is, it is important to know what the Value Stream Mapping and the Target
Costing are. They are defined as follows.
2. Value Stream Mapping (VSM)
The Value Stream is a set of interconnected actionseither adding value or notthat are necessary to manufacture
a product or perform a service [1]. As stated by Rother and Shook [2], the Value Stream Mapping is an essential tool
for identifying and understanding the production chain. Furthermore, the VSM aims at enabling the identification of
waste sources such as excessive inventories, reworks, lack of information in the process, activities that do not add
value, as well as unnecessary work [3]. Likewise, the VSM helps to identify opportunities for improvement and further
actions to generate value [4].
The main objective of the VSM is to visually show how the production system under study works. The use of this
tool helps to visualize the flows within the system going beyond the analysis of its processes separately. Instead of only
showing any loss in the system, it indicates the source of it, and contributes to connect Lean concepts and techniques,
which eventually prevents the use of Lean tools individually without adopting the philosophy in the organization [1].
A VSM is developed in the following three stages:
Preparation: At this stage, the mapping limits and team are decided. Here, it is important to ensure the company
has a clear understanding of the clients needs and what value means to him [5].
Implementation: The current value stream or chain mapping is conducted during this stage. Here, it is very
important to set the objectives leading to the elaboration of the VSM, in other words, what outcome is expected
and what can be improved. Simple symbols should be used in order to make the process easy to understand.
Follow-up: At this stage, an ideal value stream map is proposed, as well as the process to achieve such value [5].
3. Target Costing (TC)
Target Costing (TC) is a management tool that involves putting in order, adjusting, and assembling the activities of
the organization and their relevant costs in order to achieve a profit level in accordance with the targets set by the
Management Department [6]. Understanding the TC is an essential step to know how the Target Value Design works
since the TVD results from the TC adjustment to construction [7].
This approach includes radical changes when compared to traditional costing. First of all, the market is the element
that directs cost planning. Second, design plays a very important role in projects, aiming at preventing losses and waste
in the whole design and implementation processes. Finally, costs are determined by multidisciplinary teams, and
suppliers start having a significant role at early stages of the project [6]. This relationship is clearly explained through
Equation 1 proposed by Clifton et al. 2004 [8]:
Target Cost = Target Price Target Margin
(1)
In Figure 1, presented by Feil, Yook, and Kim [9] as an interpretation on Worthys article [10], we can see in a
schematic form the differences in cost management existing in the American and the Japanese approaches, which in
the practice represent the differences between traditional costing and Target Costing. Here, we can clearly observe how
the application of the TC avoids the loop that traditional costing would lead to if the estimated cost, after the design,
were too high.
280
Figure 1. Traditional Costing vs. Target Costing [9]
4. Target Value Design (TVD)

In 2000, Nicolini et. al. [11] elaborated a report on the application of Target Costing in construction. Unfortunately,
the attempt to use this tool in the United Kingdom failed due to defects concerning some business practices and cost
estimations, which were very inaccurate [12].
A TC application correctly adapted to construction was not registered until 2004 with Ballard and Reisers work in
the United States. In 2007, the term Target Value Design (TVD) was adopted by Hal Macomber, Greg Howell, and
Jack Barbeiro to refer to the Target Costing adjustment to construction [7].
The TVD is defined by Ballard as a management practice whose purpose is to generate the maximum value
according to an objective cost fixed at a price below the market value [13]. The TVD is also a method for continuous
improvement and waste reduction [14]. Another definition states that the principal idea of the TVD is to make from
the clients value (considering design, cost, schedule, and constructability criteria) a design driver, consequently
reducing waste and satisfying or even exceeding the clients expectations [7].
Josh Bronitsky, from DPR Construction (an American Company that has successfully conducted projects using
TVD for Sutter Health), refers that the TVD consists in the correct design at the lowest real cost, delivering the
maximum value possible to the client [15].
5. Cost and Value
The Institute of Value Management defines Value by using the equation below:
Value = Function
Cost
(2)
In some cases, this equation is purely an economic relation, as it generally occurs when the value analysis is
conducted by investors. In some other cases, this relation is predominantly subjective, and it is estimated based on the
perception of function and cost, which happens when the value appraisal is determined just in an intuitive way by users
[16]. We could also say that, according to this equation, the same relation may be applied with the concepts of Target
Value, Target Cost, and Target Function and that any improvements in the last two will maximize value for the benefit
of the participants involved.
281
In order to achieve this added value, the following can be done: a) Optimize costs, for example, by modifying the
architectural floor plan of a building to reduce torsion and, therefore, the amount of steel, which would generate value
for the investor. b) Improve function, for instance, by devising a better room layout for the same cost, which will add
value for the user, and c) Enhance or improve the costfunction relation, for example, by standardizing the beams to
make the forms easier, which would result in a more convenient cost of this activity and would generate value for the
contractor, at the same time, it would improve the aesthetics of rooms, maximizing value for the user.
The TVD objective is to generate value, which is highly feasible especially during both the Project Definition and
Design phases. To achieve this purpose, the article includes a VSM containing data and activities managed by the
various specialists in the design team, where moments for required information exchange among the team members
are identified. In this way, isolated advance, cost loss and time waste due to rework, and, most importantly, missed
opportunities for adding value are prevented.
In that respect, literature on the work sequence of each project area has been collected, and the first diagrams were
devised to be validated and/or complemented through interviews with companies and/or professionals involved in each
of the project design areas.
6. VSM of the design process in construction projects

G. Rioja [17] proposes an Architectural Design process, which has been complemented with diagrams of the Project
Definition presented by Orihuela, Orihuela, and Ulloa [18]. The sequences have been extended and validated with
interviews to different experienced architects.
A. Blanco [19] and G. Otazzi [20] include in their Structural Design and Calculation books some sequences that
have been extended with further details and have been validated through interviews to civil engineers involved in
structural calculation work.
In relation to the Design of Plumbing and Electromechanical Installations, we were not able to find formal literature
on the processes and sequences for building projects; therefore, according to the regulations and standards of these
areas, we have developed the first diagrams that have been validated by some plumbing and electrical engineers
dedicated to construction project development.
Concerning the building project costing, there are various methods for classifying costs. Some systems classify
them based on material similarities; some others consider the construction sequence; while others take into account the
areas of specialization, etc. However, these classifications do not permit to make a reliable costing at early phases of
the project in order to compare it with the objective cost. Generally it is made only when the design is practically
completed, being an obstacle in the implementation of the TVD concept.
Ergo, the classic sequence followed by construction projects is similar to the American approach shown in Figure
1. This means that the architecture is developed first, and then the information is shared with the rest of the project
areas that have had very little interaction. Costing, on the other hand, is calculated with the final building plans.
7. Design protocol for construction projects to promote the TVD

Figure 2 shows a proposal for a communication protocol to be used among the most important areas of the
construction project design. According to this protocol, each information exchange between project areas is intended
to promote opportunities for adding value and reducing waste, consequently avoiding the rework for all the participants
involved in the project, especially investors, final users, contractors, planners, and key suppliers.
282
ELECT./MECH. DESIGN PLUMBING DESIGN
ARCHITECTURAL DESIGN
STRUCTURAL DESIGN
COSTING
PROJECT
DEFINITION
User
Requirements
Investor
Requirements
Standards and
Regulations.
Site
Conditions
Ratio
Detailed
Ratio
Detailed
Architectural program
Zonification
Definition of
weak currents
Function and flow diagram
Definition
of elevators
DESIGN CONCEPTS
Definition of plumbing ware

and pumping system
No
Provision of domestic and

firefighting water
Pumping
equipment
Satisfies
requirem
ents?
Yes
Sizing and location of

cisterns and pump room
Domestic and firefighting

water volumes
Lighting and
electrical outlets
Boards and
circuits
Selection of the
best architectural
accommodation
Location of
main pipes
and
inspection
boxes
Definition
of drain
pumping
1/100 development of floor,

elevation and section plans
Groundin
g system
Location of structural elements
Structural
regularity anlalysis
Static structural
analysis
Ratio
Detailed
17
Dynamic
structural analysis
Area
calculation
3D
views
Ratio
Detailed
32
66
Satisfies
requirem
ents?
No
Yes
Calculation of
electrical feeders
Diameter
of pipes
Seismic joint
estimation
Definition of
materials and loads
PRELIMINARY
ARCHITECTURE
No
Calculation
of trays
Definition of
structural system
Sizing of columns,
walls, beams and slabs
Circuit path
Chart of electric
loads
Structural
Design
ARCHITECTURAL
ACCOMMODATION
1/200 floor and

elevation plans
Comunication
outlets
Design hypothesis
ARCHITECTURAL
PROJECT
Definition
of finishes
Yes
Domestic wter,
drain, ventilation
networks
1/50 floor
elevation and
section plans
1/50
detail
sizing
Area
calculation
1/25-20-10
detail
plans
Design of
columns, walls,
beams and slabs
Retaining
walls
design
COMPATIBILIZATION
Stairs
design
Ratio
Detailed
199
Figure 2. Design process protocol for construction projects to promote the implementation of the TVD.
It is important to point out that, due to the complexity and nature of the activities basically cognitive as the design
process, we consider that this protocol is not suitable for using it with the VSM typical symbols, which are more
adjustable to processes implying physical production processes. However, for devising the diagrams presented, the
VSM concepts are of vital importance.
283
Additionally, a cost breakdown structure is presented, and its items are put together so that the costing can be
determined as each project phase develops. Once the project definition is completed, these phases become consolidated
as phases that we have named as follows: Design Concepts, Architectural Accommodation, Preliminary Architecture,
and Architectural Project, after which the Lean Supply Chain and Lean Execution would take place.
8. Conclusions
This article presents an information protocol to be used during the Project Definition and Project Design stages by
the most important areas in a building project focusing on office and housing construction.
We believe that the appropriate data transfer or exchange indicated in this protocol in the form of a value stream
map will reduce frequent waste generated at the design stage, thus preventing negative iterations and consequent
reworks, all of which will result in time and cost saving, as well as in the generation of added value for both project
planners and investors.
The required information given by the final user, investors, plus the regulations and site conditions displayed on the
map that should be clear before starting the architectural design concept will enhance the quality of Project Definition.
This will lead to the generation of added value especially for final users and investors. In addition, further information
shared by structural, plumbing, and electromechanical engineers will also improve the project constructability and, as
a consequence, value will be maximized for the contractor and/or investor.
On the other hand, the cost structure suggested in the article enables a progressive economic valuation that will be
continuously improved as the project develops. This will prevent the characteristic error of having costs at the end of
the project design, which often results in re-processes to obtain the target cost.
References
[1] M. Toledo, Mapa De Cadena De Valor: Herramienta Lean Para La Construccin, BS Grupo, 2013, available at:
https://www.youtube.com/watch?v=96Gc-3Be0Wc, accessed October 10, 2014.
[2] M. Rother, J. Shook, Learning To See, Lean Enterprise Institute, Brookline, 2003.
[3] K. Leite, D. Neto, Value Stream in Housing Design, in: C. Formoso, P. Tzortzopoulos (Eds.), 21th Annual Conference of the International
Group for Lean Construction, Fortaleza, 2013, pp. 419-428.
[4] J. Freire, L. Alarcn, Achieving Lean Design Process: Improvement Methodology, J. Constr. Eng. Manage, 128, 3 (2002) 248256.
[5] A. Bjrnfot, L. Bildsten, J. Erikshammar, M. Haller, P. Simonsson, Lessons Learned From Successful Value Stream Mapping (VSM), in: J.
Rooke, B. Dave (Eds.), 19Th Annual Conference Of The International Group For Lean Construction, Lima, 2011.
[6] C. Capasso, El Costeo Objetivo, Universidad Nacional del Nordeste, Resistencia, 2010, available at:
http://eco.unne.edu.ar/contabilidad/costos/Invitados.htm, accessed October 10, 2014.
[7] D. Zimina, G. Ballard, C. Pasquire, Target Value Design: using collaboration and a lean approach to reduce construction cost, Construction
Management and Economics, 30 (2012) 383-398.
[8] M. Clifton, H. Bird, R. Albano, W. Townsend, Target Costing: Market-Driven Product Design, Marcel Dekker, Inc., New York, 2004.
[9] P. Feil, K.H. Yook, I.W. Kim, Japanese target costing: a historical perspective, International Journal of Strategic Cost Management, 11
(2004) 10-19.
[10] F. Worthy, Japans smart secret weapon, Fortune, 124, 4 (1991) 72-75.
[11] D. Nicolini, C., Tomkins, R. Holti, A. Oldman, and M. Smalley, Can Target Costing be Applied in the Construction Industry?:Evidence from
Two Case Studies, British Journal of Management, 11, 4 (2000) 303-324.
[12] D. Do, C. Chen, G. Ballard, I. Tommelein, Target Value Design as a Method for Controlling Project Cost Overruns, in: B. Kalsaas, L.
Koskela, T. Saurin (Eds.), 22nd Annual Conference of the International Group for Lean Construction, Oslo, 2014, pp. 171-181
[13] G. Ballard, Should Project budgets be based on worth or cost, in: I. Tommelein, C. Pasquire (Eds.), 20th Annual Conference of the
International Group for Lean Construction, San Diego, 2012, pp. 761-770.
[14] G. Ballard, Target Value Design: Current Benchmark (1.0), Lean Construction Journal 2011, (2011), pp. 79-84.
[15] J. Bronitsky, Innovation in the AEC Industry: Target Value Design, Beck Technology, 2013, available at:
https://www.youtube.com/watch?v=B_-sm4Z7bfw, accessed October 10, 2014
[16] P. Orihuela, J. Orihuela, Needs, Values and Post-occupancy Evaluation of Housing Project Customers: A Pragmatic View, Procedia
Engineering. 85 (2014) 412-419.
[17] G. Rioja, Descriptif de l'offre du Service Architecture OSI, Osi-crcom, 2010, available at: http://www.osi-cr.com/services/guichets/cabinetd-architectes/article/descriptif-de-l-offre, accessed January 20, 2015.
[18] P. Orihuela, J. Orihuela, K. Ulloa, Tools for Design Management in Building Projects, in: J. Rooke, B. Dave (Eds.), 19Th Annual Conference
Of The International Group For Lean Construction, Lima, 2011.
[19] A. Blanco, Estructuracin y Diseo de Edificaciones de Concreto Armado, second ed., Colegio de Ingenieros del Per, Lima, 1994.
[20] G. Otazzi, Apuntes del curso Anlisis Estructural 1, sixth ed., Pontificia Universidad Catlica del Per, Lima, 2012.
284
Identifying issues of change leading to cost conflicts: case study in

Cambodia
Vachara Peansupapa *, Lakhena Cheangb
a
Assistant Professor, Department of Civil Engineering, Faculty of Engineering, Chulalongkorn University, Bangkok 10330, Thailand
b
Graduate student, Department of Civil Engineering, Faculty of Engineering, Chulalongkorn University, Bangkok 10330, Thailand
Abstract
It is impossible to avoid changes in construction projects. Changes have minor and major effects on the success of a project,
particularly on its cost. A detailed study of change is needed to alleviate such effects on project cost. This paper introduces the
identification of specific change issues regarding costs that may lead to conflicts between the owner and the contractor of a
project. Such identification would help project practitioners be aware of change issues and manage them effectively as well as
open up alternative points of view of change by the two parties. To achieve the research objectives, a 16-item questionnaire with a
five-point Likert scale was conducted to collect the necessary information. The data were collected from respondents in
Cambodian building construction projects. Responses from 53 professionals working for contractors and owners were analysed
with the aid of software package, Statistical Package for Social Science (SPSS). The result of tests indicated that good internal
reliability of the scale and significant agreement among the respondents. The analysis of a one sample t-test showed that there
were fifteen significant and important change issues. The five top priority change issues related to project costs are changes: in
scheduling made by the owner, project scope made by the owner, made due to poor and incomplete design, in design functions
required by owner/client, and in material specifications. The research findings would be beneficial to all project participants for
gaining a deeper understanding of specific change issues so that change management can be carried out more efficiently. Project
stakeholders would be more perceptive about the consequences of any changes that are made to a project.
Keywords: Change issues; building construction; conflict of cost issues; conflict between owner and contractor
1. Introduction
Changes to a construction project, are common and unavoidable at any project stage, for various reasons [1]. Any
additions, deletions, or other revisions to project goals and scope are considered changes [2]. In construction sector,
changes play a vital role in achieving the project goal. They may need to be executed at any stage of a construction
project to optimise the benefits and to reach the owners requirements [3]. Changes are often unwanted due to
negative effects on project performance. Changes are also widely acknowledged by both owners and contractors as
having effects that are difficult to quantify and frequently lead to disputes. In particular, changes can provoke
conflicts between parties regarding to time, cost, and quality. For example, conflicts caused by change may bring a
breakdown of the relationships between project stakeholders, especially if they result in project time extension,
claims and disputes [4]. While changes are compensated by time extension, additional costs, and quality concerns,
the conflicts between parties often arise. Changes must therefore be managed promptly and carefully.

E-mail address: vachara.p@chula.ac.th
285
Construction sector is one of the main benefactors of Cambodias developing economy [5]. According to a review
by CBRE-Cambodia, the value of construction projects has been steadily increasing each year. As a result, the
number of buildings, factories and infrastructures in private and public projects increase remarkably. Based on the
construction nature, many problems occur due to the complicated design, miscommunication and complex
organizational structure. One important issue is changes in construction projects. Contractors in Cambodia need to
have sufficient capability in dealing with many change issues. Furthermore, project stakeholders should understand
the relevant problem that may occur due to the change issues.
This research objective is to identify issues of change leading to conflict between owners and contractors
regarding cost. It aims to provide clear insight into specific change issues based on different originators of such
changes, such as owner/client, designer, contractor, local authority, and suppliers. Change issues are prioritised based
on the perceptions and experience of respondents. This research provides a closer look at specific change issues
leading to cost conflicts between project practitioners.
2.1. Types, causes, and impact of changes
There are many studies on the subject of changes, involving aspects of types, causes, impact, and management. As
the research on change topic is broader view, it should be emphasized that the definition of change type helps to
clarify the scope of the research. The two main kinds are project changes and organisational changes [5]. From
another perspective, changes can be categorised according to the originators: owners, designers, contractors, and
other parties [1]. In this research, classification of changes is focused on the change in construction project that
occurs from several originators.
To minimise the change in construction, many research studies on change attempts to identify the predetermined
factors that cause changes in the construction project. The causes of changes may depend on many factors, including
the nature of projects, the employers satisfaction, unforeseen conditions, work operations, authorities, and other
important factors [6]. Due to the large number of variables, construction process is very complex. Changes appear
for two main reasons: the complexity of the process and plan developments [7]. The findings from this research
theme can help project managers to manage the predetermined factors so that the changes will be minimised.
In terms of impact, changes cause an adjustment to project cost when they increase cost and overhead expenses
for all participants concerned, decrease labour productivity, and require additional payment to a particular party [8].
The negative effects of change on the project process have also been determined [9]. Senaratne and Sexton argue that
rework due to unplanned change can cost 10-15 per cent of contract value [10]. It indicates the harmful effects of
change on construction projects. More seriously, changes can result in disputes between owners and contractors
[11]. In that case, contractors may feel that loss due to changes is the fault of designers and owners. Conversely,
owners typically claim that loss in productivity is caused by the poor management of contractors.
2.2. Management of changes
Enormous concern about change has been shown in recent years due to its negative impact on a construction
project life cycle. Moreover, dynamic planning and control methodology is customized to improve decision-making
at a strategic level by adjusting the theory and practice at real construction firms [12]. A systematic approach to
modelling change processes within a construction project is formulated that would be helpful for the identification
and evaluation of change [13]. Previous studies aimed to enhance the productivity and cost savings resulting from
changes. Despite many developed approaches, project practitioners still find it difficult to handle changes. Again,
they also claim that changes always result in time extensions and cost overruns. Therefore, the study of change
remains significant for better management.
2.3. Problem statement
Changes are still problems that cause negative impact on construction project performance. Project stakeholders
cannot manage the changes properly, because they do not understand specific change issues clearly. The
consequences of changes vary based on the types and nature of changes, yet these consequences are also based on
how project stakeholders manage the changes [9]. It is necessary to understand well the root causes of conflicts
286
caused by changes. Changes should be explored in detail. However, previous research lacks detailed studies about
change issues in construction projects. Thus, it is essential to study change in detail by focusing on the impact of
changes on relationships among parties. This paper captures specific change issues related to cost that creates
conflicts among parties. The outcome of this study can assist project stakeholders in being aware of such change.
3. Methodology
The research discussed in this paper analyses the change issues that occur at construction sites. This section
describes the steps of the research methodology, including data collection and analysis. Each step is implemented
with specific purposes and expected outcomes. Figure 1 presents the details of the steps. In order to accomplish the
research objectives, a questionnaire was given to a selected sample of construction experts. To represent all entities
working in the construction industry, the selected respondents were invited to fill in the questionnaire. The target
respondents were owners, owners representatives, designers, consultants, and contractors.
First, many relevant previous papers were reviewed to gain more knowledge of changes and to explore change
issues in building construction projects. Fourteen change issues were identified. Next, a pilot survey was conducted
with ten target respondents to check the wording of the questionnaire, and ensure that the questionnaire covered all
aspects of the change issues. As a consequence, two other change issues were discovered.
To explore change
issues from previous
studies
To pre-test questionnaire
to ensure the suitability
and comprehensibility
In-depth Literature
Review
14 Change issues
Pilot Survey
To ask respondents to
prioritise change issues
related to cost conflict
Survey Questionnaire
2 Additional change
issues and questionnaire
were revised
53 respondents were
invited to complete the
questionnaire
Use SPSS to analyse

data
Data Analysis
Conclusion
Change issues leading to

cost conflict were
prioritised
Figure 1.Research methodology
The survey questionnaire was modified based on the feedback from respondents. After that, the main
questionnaire was designed using the sixteen change issues. It consisted of two parts. The first contains the general
information about respondents. In the second part, the respondents were requested to rate their degree of agreement
against each change issue based on the five-point Likert scale (1strongly disagree to 5strongly agree). Next, the
main survey questionnaire was carried out with 53 respondents who had worked for both owners and contractors. 20
respondents were from the owner side and the rest were from the contractor side. The respondents were asked to
prioritise the change issues based on their perceptions and experience of being involved in decision making about
change issues.
Table 1. Exploration of change issues.
Originator
Owner/Client
Designer
Contractor
Other parties (Supplier, Local

authority, etc.)
Coding
O1
O2
O3
O4
D1
D2
D3
D4
C1
C2
C3
C4
C5
S1
S2
S3
Change issues
Scope change by owner
Design function change due to client's requirement
Schedule change by owner
Change in material specifications by owner
Change due to design errors by designer
Change in specifications by designer
Change due to poor and incomplete design by designer
Design change due to inconsistent site conditions
Change in construction method in order to improve constructability
Schedule change due to poor planning or scheduling from contractor side
Change due to construction errors by contractor
Change due to unavailable resources by contractor
Change in unavailable material specification by contractor
Change in design initiated by a supplier
Regulation change
Change in material costs by a supplier
287
Table 1 represents the change issues finalised from the literature review and pilot survey. The sixteen change
issues were summarised and grouped into: (1) changes originated by owner/client (coding: O), (2) changes originated
by designer (coding: D), (3) changes originated by contractor (coding: C), and (4) changes originated by other parties
such as authorities (coding: S). After data collection finished, three types of statistical tests were performed to check
the reliability of the Likert scale and consistency between respondents, and to determine the importance and
significance of change issues. The reliability of the five-point Likert scale used in survey questionnaire was tested for
internal consistency by computing Cronbachs Alpha. Finally, a one sample t-test was performed by using Statistical
Package for Social Sciences (SPSS) to prioritise change issues based on the scores from respondents. To identify
change issues, the one sample t-test was computed at a 95% confidence interval with a statistically significant mean
score of 3.0 as a cut-point value [14]. The null hypothesis is rejected when the p-value obtained is less than the 0.05
level of significance [15]. The research interest is one-tailed, where we look only for sample mean values greater
than the population mean.
4. Data analysis and discussions
In this part, the results from the analysis are presented. All tests were computed using SPSS. The analysis of this
data set concentrates on the cost aspect of construction projects.
4.1. Reliability of test and concordance analysis
The value of Cronbachs Alpha () was 0.735. The values obtained for Cronbachs Alpha indicate good reliability
of the scale in measuring importance in terms of time because it is greater than 0.7 [16]. This implies that further
analysis can be performed. The result of the second test found the value of Kendalls coefficient to be 0.058; the low
value of W enables rejection of the null hypothesis [17]. A significant difference in agreement has therefore been
found among respondents.
4.2. Change issues leading to cost conflicts
A one sample t-test was conducted using SPSS. The results in Table 2 indicate that all change issues have mean
values more than 3.0, and only fifteen contain p-values (Sig. 1-tailed) less than 0.05. Thus, it can be concluded that
fifteen change issues are important and have sufficient evidence to reject the null hypothesis. The analysis of change
issues leading to conflict between owners and contractors regarding cost reveals that the top five change issues are:
schedule change by owner (O3, Mean = 4.04), scope change by owner (O1, Mean = 4.02), change due to poor and
incomplete design by designer (D3, Mean = 3.96), design function change due to clients requirement (O2, Mean =
3.85), and change in material specifications (O4, Mean = 3.79).
Table 2. Statistical results of change issues leading to cost conflict.
Coding
O3
O1
D3
O2
O4
C2
D4
C4
D1
C5
C3
S3
D2
S2
S1
C1
Change Issues Related to Cost Conflict

Schedule change by owner
Scope change by owner
Change due to poor and incomplete design by designer
Design function change due to client's requirement
Change in material specifications by owner
Schedule change due to poor planning or scheduling from contractor side
Design change due to inconsistent site conditions
Change due to unavailable resources by contractor
Change due to design errors by designer
Change in unavailable material specification by contractor
Change due to construction errors by contractor
Change in material costs by a supplier
Change in specifications by designer
Regulation change
Change in design initiated by a supplier
Change in construction method in order to improve constructability by contractor
*Marked for p-value less 0.05
288
Mean
4.04
4.02
3.96
3.85
3.79
3.77
3.74
3.74
3.70
3.70
3.66
3.66
3.55
3.42
3.30
3.23
Std. Dev
0.94
0.82
1.00
0.84
1.01
1.10
1.09
1.09
0.80
1.08
1.04
1.30
0.91
1.26
1.07
1.09
Sig. (1-tailed)
0.00*
0.00*
0.00*
0.00*
0.00*
0.00*
0.00*
0.00*
0.00*
0.00*
0.00*
0.00*
0.00*
0.01*
0.02*
0.07
4.3. Discussion
This paper attempts to identify those changes that could lead to cost conflicts between employers and contractors.
According to the analysis, the magnitude of conflicts over costs may depend on the originators of a change and the
change situation. As a result, top five critical change issues are caused by owners and their representatives.
According to Table 2, the most important change issue leading to cost conflicts between owners and contractors is
schedule change by owner (O3). This change issue refers to modifications of a schedule requested by owner. For
instance, owner may ask to change the date of the hand-over (shorten or extend the project's duration). An employer
may want contractor to hand over some floors of the building. But, this partial handover is not a part of the original
plan. This change may put pressure on the contractor to revise the actual plan and carry out the work to fulfil the
owners request. Sometimes, the contractor attempts to exempt the claim on costs, because the contractor wants to
maintain relationship with the employers. Eventually, the contractor may encounter difficulties during the changes,
because sometimes the work has to be accelerated. Moreover, the contractor has to ensure the quality, and may
request some additional costs to complete the work on time. Yet, the owner may refuse such a request, and insist that
the contractor complete the work anyway. Different opinions over this type of change often provoke conflicts
regarding costs. Both parties have to understand the situation of this change issue.
Scope change caused by the owner (O1) refers to the addition or deletion of work from the contract due to
inadequate planning or the lack of involvement on the part of the owner at the design stage. The consequences of
scope change depend on which stage the change occurs. For example, the scope change might seriously affect the
project costs if the owner is asked to change the scope after the contractor has finished the work, leading to rework,
additional construction costs, etc. This may provoke minor effects on the project's costs if the scope change is made
before construction. In another case, a scope change by the owner may also bring changes in design, quantity, and
cost variations. During this time, construction work can also be interrupted. In this situation, the owner and
contractor may have different opinions over the new costs or quantities. In addition, the interruption of the scope
change can lead to increased waiting time and additional work while the project time may not be extended. The
contractor may have to accelerate the work based on the original plan. If the scope change is too much, conflicts
related to cost will inevitably arise.
At construction sites, change due to poor or incomplete design (D3) occurs almost in every project. The lack of
information and complete design also create changes in design, quantity and technical process, resulting in cost
variations. Normally, when there is an unclear and/or incomplete design, contractors have to request more
information from the designer. It is common that such issues affect the project's time, as idle time is incurred waiting
for the designers reply. There are also additional costs when the scope of the work is not clear. In some cases, the
contractor may claim an incomplete design even though the work item is the responsibility of the contractor to
complete the construction. Therefore, the scope of the work item should be clearly defined whether or not it was part
of the original scope in the contract. Furthermore, due to unclear information in the contractor's bidding document,
the contractor might quote a price for a work that it is different from the owners expectations as the price is not
competitive with those of other contractors. A conflict related to cost arises when the price of the owners favourite
item is different from the one quoted by the contractor. If the owner does not want to pay, then a conflict occurs.
Therefore, clear information and complete design is very important in order to reduce the conflicts about costs during
construction.
Managing change due to the clients requirements (O2) is not easy, because there are various reasons for changes,
such as marketing, clients demands, owners finances, etc. The contractor must put in a lot of effort to satisfy the
owner and the client. Consequently, such changes bring difficulties to the contractor. The impact of the change also
depends on the time when the change occurs. In some cases, if the owner requests to change the function of a whole
or a part of a building project when the work has already started, demolition work would be needed to adapt the
actual work. Therefore, the contractor may claim additional costs. Meanwhile, the owner might not agree and might
ask to renegotiate the price. The unit costs of labour works, such as coring work or demolition, may not have been
defined in the original contract. This creates a conflict on the unit prices used for calculating costs. Thus, the
requirements of the client should be well-defined in advance.
Regarding the change in material specifications (O4), conflicts over costs often emerge when the owner requests
the materials of a project be changed. Again, any conflict that arises would mainly be about the costs of the new
materials. The conflict is more serious when it is related to deposits made by the contractor to the material suppliers.
The owner has to be responsible for the impact of requesting such a change. In addition, the owner has to pay for the
extra costs resulting from changes in material specifications. In some case, the conflict occurs over labour, because
289
the change in material specifications may require different labour skills than did the previous specifications.
Therefore, the responsibility for such changes should be well-defined in contract clauses.
Based on the above discussion of various change issues, the impact of change issues might depend on the types of
changes, change originators, stages in which changes occur, and other factors. When one change is executed, all
project team have to acknowledge the consequences and manage them properly to avoid serious impact. Project
participants should have better insights into specific change issues. In addition, the acceptance of any changes should
be clarified and signed for by both parties. Decisions and cooperation from project stakeholders are very important to
handle the changes effectively. Unclear management of change may easily lead to conflict among the parties. Many
cases of serious conflicts over costs occur when both parties do not clearly understand the impacts of the changes.
5. Conclusion
This study focuses on specific change issues that lead to cost conflicts between owners and contractors in private
building construction projects in Cambodia. Based on the findings, the key conclusion is that most of the important
change issues leading to conflicts about projects costs originate mainly from the owner side. The top five-ranking
change issues are caused by the owner side, which includes the designers. The findings of this research show
important change issues leading to conflicts about costs. The questionnaires were conducted with 53 project
practitioners from both the contractor and owner sides. The results show that fifteen of sixteen change issues are
regarded as important issues that lead to conflicts over costs between owners and contractors. After the change issues
are determined, project participants will be able to know what the important change issues are, and take proactive
action to reduce the consequences when such changes occur. Although the objective of this research was achieved,
this study does have some limitations. The research study was carried out in Cambodia, thus there might be
differences with building construction projects in other countries. In addition, the personal behaviours of employers
and contractors were not taken into consideration, because individual behaviour is very difficult to recognize.
Acknowledgements
The authors would like to thank the CU-ASEAN Scholarship and Chulalongkorn University for supporting this
research and scholarship. We are also thankful to practitioners for providing us with comprehensive information.
References
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290
Evaluating the impact level of design errors on structural and other

building components in building construction projects in Cambodia
Vachara Peansupapa *, Rothmony Lyb
a
Assistant Professor, Department of Civil Engineering, Faculty of Engineering, Chulalongkorn University, Bangkok 10330, Thailand
b
Graduate student, Department of Civil Engineering, Faculty of Engineering, Chulalongkorn University, Bangkok 10330, Thailand
Abstract
Design errors are unavoidable in any construction projects and can negatively affect cost, schedule and safety performance. Civil
engineers, both designers and contractors, have limited understanding of the importance of design errors that occur in construction
phases. This paper attempts to evaluate the impact level of groups of design errors in structural and other building components
and also the impact level of their cases which occur in building construction projects in Cambodia. Respondents were asked to
provide the impact score for design errors based on the five-point Likert scale, ranked from 1-negligible to 5-disastrous. The
average impact score was determined in order to rank design errors. As a result, design errors in structural and mechanical works
are found as the first group to be focused due to its impact, followed by design errors in structural and plumbing works. The top
three cases under the group of design errors in structural and mechanical works are those in reinforced concrete walls and lift
systems, footing and lift systems, and slab and HVAC systems. These results are significant for engineers to be aware of the
possible high impact of design errors, and also to determine which group of design errors should be considered first. Further
studies should look at the combination of such occurrence and impact of design errors in order to efficiently identify the most
critical and significant design errors in terms of not only their impact, but also their occurrence in building construction projects.
Keywords: Building construction projects; design errors in structural and other building components; impact of design errors.
1. Introduction
Design errors are an inevitable and important issue which have negative impact on project management efficiency
and effectiveness [1]. They are the important contributors to reworks, cost overruns, schedule delays, and unsafe
environments which affect project performance [1, 2]. In practice, owner, designer, contractor, and other stakeholders
have different interests in the design [3]. These various interests certainly lead to design errors which can arise at any
time [4]. The occurrence of these errors can increase many difficulties in construction management. These difficulties
can lead to between 80% and 90% of the failures occurring in civil engineering projects [5]. They can also incur
more cost that adds a projects value around 14.2% [6-8]. Design errors are a serious threat to construction projects
[5, 9-11]. Besides, the use of technology is limited in construction development in Cambodia because of inadequate
human resources and limited education system. This is a reason that the occurrence of design errors cannot be
effectively controlled and can greatly affect the construction process. Design errors are thus very significant and
should be carefully managed to ensure the success of construction projects and to minimise difficulties in project
performance. To create an effective strategy to manage design errors, it is important to recognise the level of their
impact. The impact of design errors has been already assessed in previous studies; however, only schedule delays
E-mail address: vachara.p@chula.ac.th
291
have been studied by developing a model of seven sub-modules, such as generic work execution, effort, precedence
relationship, productivity, resources, progress measurement, and managerial control [4]. The impact of design errors
in structural and other building components has not been yet studied in detail and well-understood. Design errors in
different building components may have different levels of impact. Therefore, the purpose of this study is to evaluate
the impact level of design errors in structural and other building components in building construction projects. This
study can help practitioners to clearly understand the most affected groups of design errors and the most significant
cases under each group. It will help them to learn the kinds of design errors that disastrously affect the projects.
2. Design errors in building construction projects
Many researchers view design errors as the most critical problems and have defined this term in various ways.
Reichart [12] claims that design errors are unavoidable failures occurring when information is incorrectly applied or
used, or the pertinent information is not accessible. Design errors refers to the failures of humans to design tasks
within time limits and accuracy [13]. Deviation from actual values, inadequate precision and inconsistencies in
measurement are also considered as design errors [14]. In this article, design errors refers to design mistakes,
design omissions, and design conflicts. Design mistakes are the human errors that are occur naturally and are
unavoidable. An inexperienced designer may apply the design information incorrectly. These mistakes can be
memory failures that arises even if knowledge is correct [5]. Design omission occurs if any part of a system has been
forgotten in the design [15]. Design conflicts are the overlapping items that cannot be constructed at the same time.
3. Groups of design errors in structural and other building components
Detailed building design process consists of five disciplines: architectural design, civil design, structural design,
mechanical design, and electrical design [16]. Mechanical, electrical, and plumbing systems (MEP) have caused
many problems related to limited space for MEP installation [17]. This suggests that it is necessary to study about
design errors associated with MEP systems. Design errors in structural and plumbing works are also included in this
study, while civil work is excluded because it is not about the internal structure of the building. Thus, design errors in
structural and other building components involve in five different groups such as design errors in structure and
architecture (Group A), structure and structure (Group B), structure and mechanical works (Group C), structure and
electrical works (Group D), and structure and plumbing works (Group E). Each system also has its sub-elements.
The sub-elements of architecture, structure, and mechanical works are based on the bills of quantities (BOQs) in
reinforced concrete building projects. The sub-elements of electrical and plumbing works are extracted from the
article by Tatum and Thomas [17]. Figure 1 presents the sub-elements for each system.
Architecture (Group A)
Wall finish, floor finish, ceiling works, staircase finish (stair handrailetc.),
door/window, sanitary ware (materials in bathroom or kitchen)
Structure (Group B)
Retaining wall, footing, beam, column, slab, stair, reinforced concrete wall
Building
components
Mechanical works (Group C)

HVAC systems (heating, ventilating, and air conditioning), lift systems
Electrical works (Group D)
Electrical system and telephone/datacom system
Plumbing works (Group E)
Water supply and distribution system, sanitary drainage and disposal system,
storm drainage system, fire protection system, and fuel and gas piping system
Figure 1. Building components and their sub-element
Previous studies have not mentioned about the five groups of design errors. The impact of design errors has been
assessed only in a specific area of schedule delays [4]. In this research, design errors in a particular structural element
and another sub-element are discussed in details, and analysed since different elements may have different level of
impact level on the project. Therefore, this paper has two main objectives: (1) identify the impact level of each group
of design errors and (2) explore the impact level of each case of design errors under its group.
292
This research is a case study in Cambodia. It uses an exploratory approach that explores the design errors with the
most impact on project performance. A quantitative survey questionnaire was used to identify the impact level of
design errors. The methodology of this research is divided into three main steps: survey questionnaire design, data
collection, and data analysis. Figure 2 illustrates the subsequent process of this study.
Data Collection
Detailed building
design process
Survey questionnaire
5 groups of design
errors
Five-point Likert scale
Study Framework
Average formula
(Equation 1)
Impact score of each

case of design errors
Results
Impact level of each group of
design errors
Grading Method
122 possible cases of

design errors are
identified
Average formula
(Equation 2)
Impact level of each case of

design errors
Interview
154 cases of design

errors are listed
Data Analysis
Figure 2. Research methodology
4.1. Survey questionnaire design

154 cases of design errors in structural and other building components were listed from the sub-elements of each
system and used to develop a survey questionnaire for data collection. A five-point Likert scale was applied to
evaluate the impact score for each case of design errors. This scale consists of five rating scores, ranked from 1 to 5,
where 1 = negligible, 2 = marginal, 3 = substantial, 4 = severe, and 5 = disastrous. Negligible refers to unimportant
design errors which do not affect the project. Marginal means design revision is needed; but time, cost and
construction process remain unaffected. Substantial is design error that needs design revision and time for solving;
it does not incur more cost or obstruct construction activities. Severe means that design error requires design
revision, time, and cost; yet this error does not delay the construction process. Disastrous is design error that needs
to be revised and solved by spending more cost and time. The related works cannot be continued due to this error. In
this study, two criteria were used to choose the samples. The questionnaire was a project-based survey which
required the respondents to provide only the situations they have faced in an already complete reinforced concrete
building project. They also had to be involved in the whole construction process of that project. These criteria are to
make sure that the respondents can provide whole information of design errors in the project.
4.2. Data collection
Eleven Cambodian civil engineers were interviewed via a survey questionnaire to collect information about the
impact of design errors which occur in building projects in Phnom Penh, the capital city of Cambodia. Since this is a
project-based survey, only eleven building projects could be accessed during data collection. All information
provided by the respondents was treated as confidential and not used for other purposes. The target respondents have
at least two years experience on construction works with reinforced concrete building projects and hold at least a
Bachelors Degree in Civil Engineering. Under all five groups of design errors, only 122 of the 154 cases were found
to be valid and likely to occur based on the respondents experience in their individual project. The other cases did
not occur in any sampling projects, and thus those cases are negligible and not included in this study.
4.3. Average formulas
In this study, averaging formulas were applied to determine the average impact score of design errors. According
to [18], two particular average formulas were formulated and used. The first equation is to calculate the average
impact score of each group of design errors in each project (Table 1).
293
Aij =
Where:
Aij
N
Ax
1 N
Ax
N x =1
(1)
is the average impact score of group i in project j;

is the total number of impact scores for all cases under group i in project j;
is the value of the impact score of each case under group i in project j.
The second formula is to find the average impact score of each case of design errors among all sampling projects
(Table 2).
1 n
a = ax
n x =1
Where:
a
n
ax
(2)
is the average impact score of each case of design errors among all projects;
is the total number of impact scores for each case occurring in all projects;
is the value of impact score of each case occurring in all projects.
4.4. Grading method

Grading method is used to identify the impact level of design errors by classifying the impact score into five
different intervals. The purpose of this classification is to identify the most critical groups of design errors and also
the most significant cases of design errors under each group by comparing their score interval. The cumulative
impact value was then calculated and equal to 0.8 (the difference between the maximum and minimum impact score
divided by five). Table 1 shows the results of impact levels, where the interval value for disastrous level is {4.21
5.00} shown in violet, severe level is {3.41 4.20} shown in green, substantial level is {2.61 3.40} shown in
yellow, marginal level is {1.81 2.60} shown in blue, and negligible level is {1.00 1.80} shown in pink.
The results of this study are in two parts. The first shows the impact of the five main groups of design errors in
each project, where equation (1) was applied to obtain the impact score for each group (Table 1). For the second part,
the average impact score of each design error in the projects was obtained by applying equation (2), and these scores
were used to rank all cases of design errors in Group A, B, C, D, or E (Table 2). These two parts are described in the
following discussions.
5.1. Impact level of five groups of design errors
Equation (1) was used to determine the average impact score of each group of design errors in every project. The
results of this analysis are illustrated in Table 1.
Table 1. Average impact score for five groups of design errors in each project.
Groups of Design Errors
Projects
Project 1 (hotel)
Project 2 (hotel)
Project 3 (hotel)
Project 4 (hotel)
Project 5 (condominium)
Project 6 (apartment)
Project 7 (apartment)
Project 8 (commercial building)
Project 11 (shopping centre)
Group A
Group B
Group C
Group D
Group E
3.20
3.00
1.90
2.09
2.11
2.08
1.81
3.11
2.77
2.71*
3.31
2.73
2.64
2.53
2.00
1.17
2.14
2.16*
3.00
1.55
2.55
3.57*
3.46
4.00*
4.00*
2.80*
4.00*
3.00*
1.83
N/A
3.00
2.20
3.25
3.80*
2.00
N/A
N/A
3.00
2.00
1.67
N/A
3.00
2.67
3.50
2.96
2.75
4.00*
2.50
1.67
3.00*
2.00
3.75*
3.25*
2.16
3.10
* Maximum impact score of groups of design errors in each project; N/A means that design errors could not be found in the projects.
294
Based on Table 2, six projects demonstrated substantial impact and the other five projects showed marginal
impact from design errors in group A. Design errors in group B also marginally affected three projects among all
samples. Noticeably, design errors in group C could sometimes have a severe impact and sometimes lead to
substantial impact. Few problems in this group resulted in marginal impact because two projects met only marginal
consequences. Though design errors in group D could substantially affect the construction of some projects, they did
not cause any negative effect in three samplings (N/A). Last, five projects of group E experienced substantial impact.
These results imply that design errors in structural and other building components mostly affect the construction
practices at a substantial level {2.61 3.40}. In overall, it is learnt that design errors in group C are the first priority
for consideration because they led to severe and substantial impact on most sampling projects. This is followed by
design errors in group E and then design errors in group A. Design errors in group B should also be taken into
account for improvement. Although they have most marginal impact, it does not mean that this group rarely occurs.
The last ranking is design errors in group D, which can be negligible since some projects never met these errors.
5.2. Average impact score of each case of design errors
The average impact score of each case of design errors was determined by applying equation (2). Table 2 shows
the top five cases of design errors under each group. In group A, design errors in column and sanitary ware (A24,
a=4.00) have a severe impact on project performance. Sanitary ware refers to the kitchen or restroom materials which
require a connection with the structure. Design conflicts and mistakes make the installation of these materials
impossible due to the structural elements nearby. Design errors in slab and door/window (A29, a=3.33) and those in
slab and wall finish (A25, a=3.33) have affected project performance substantially. For group B, three cases that
have the greatest effect are those in stair and beam (B38, a=3.63), retaining wall and footing (B2, a=3.50), slab and
stair or stair and column (B34 and B39, a=3.20). In group C, design errors in reinforced concrete wall and lift
systems (C14, a=3.57), footing and lift systems (C4, a=3.50), and slab and HVAC systems (C9, a=3.14) can cause
severe problems. Group D also presents some noticeable cases, such as design errors in reinforced concrete wall and
electrical system (D13, a=3.25), slab and electrical system (D9, a=3.08), and column and electrical system (D7,
a=3.00). It is found that electrical system is of most concern that its components often have conflicts with structural
elements of the building. Last group E, design errors in footing and fuel and gas piping system (E10, a=4.00) is the
highest value in comparison with other cases in the table. Whereas, design errors in footing and fire protection
system (E9, a=3.50) and those in reinforced concrete wall and water supply and distribution system (E31, a=3.50)
were found to have severe impact.
Table 2. Top five affected cases under each group of design errors.
No.
Code
Design errors in structure and other

building components
Group A - Design errors in structure and architecture

1
A24
Column and Sanitary Ware
2
A29
Slab and Door/Window
3
A25
Slab and Wall Finish
Average
impact
score
No.
A23
Column and Door/Window
3.20
A30
Slab and Sanitary Ware
3.17
Group B - Design errors in structure and structure

1
B38
Stair and Beam
3.63
B2
Retaining Wall and Footing
3.50
B34
Slab and Stair
3.20
B39
Stair and Column
3.20
Design errors in structure and other

building components
Average
impact
score
Group D - Design errors in structure and electrical works

1
D13
RC Wall and Electrical System
3.25
2
D9
Slab and Electrical System
3.08
3
D7
Column and Electrical System
3.00
Slab and Telephone/Datacom
4
D10
3.00
System
Stair and Telephone/Datacom
5
D12
3.00
System
Group E - Design errors in structure and plumbing works
Footing and Fuel and Gas Piping
1
E10
4.00
System
2
E9
Footing and Fire Protection System
3.50
RC Wall and Water Distribution
3
E31
3.50
System
RC Wall and Storm Drainage
4
E33
3.33
System
5
E2
Retaining Wall and Sanitary System 3.10
4.00
3.33
3.33
Code
5
B9
Footing and Footing
3.00
Group C - Design errors in structure and mechanical works
1
C14
RC Wall and Lift Systems
3.57
2
C4
Footing and Lift Systems
3.50
3
C9
Slab and HVAC Systems
3.14
4
C3
Footing and HVAC Systems
3.00
5
C8
Column and Lift Systems
3.00
295
Most remarkably, design errors in column and sanitary ware (A24, a=4.00) and those in footing and fuel and gas
piping system (E10, a=4.00) have the highest impact among all cases in five groups of design errors. Based on the
intervals of grading method, this is in severe level. This can be learnt that the problems between column and
sanitary ware (A24) and the problems between footing and gas piping systems (E10) are the most critical, which
have the highest impact on project performance such as time, cost, or quality.
6. Conclusion
This study evaluated the impact level of design errors in structural and other building components in building
construction projects in Cambodia. The results demonstrate that design errors in structure and mechanical works
should be the first priority among all samplings due to their impact on project performance. The second concern is
design errors in structure and plumbing works, followed by design errors in structure and architecture. These
findings show the different impact levels of every group of design errors. The top five cases under each group also
clearly provide the examples of design errors. These results can help engineers and designers to be aware of the
possible high impact of each potential design error in the five main groups. It is very useful for practitioners to
understand the most critical design errors according to their impact, so that they can efficiently take action to avoid
disastrous and severe effects when such design errors occur. Most importantly, this is a lesson which can be learnt to
explore effective mechanisms for reducing the impact of design errors in future projects. In this case, the database is
a very useful system, and can be developed by starting with the most affected design errors, as found in this research.
By integrating them into building information modelling, it will be possible to explore cases of design errors which
have a high impact. However, these results are not yet sufficient for prioritising the most significant design errors.
Understanding only the impact level is not adequate. The occurrence of these design errors is also necessary.
Exploring the combination of frequency of occurrence and impact level of these design errors is an effective
technique to identify the most critical and troublesome design errors.
Acknowledgements
The authors would like to acknowledge the CU ASEAN Scholarship Programme, and thank the Graduate
School and Faculty of Engineering, Chulalongkorn University, for their fund to support this research.
References
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[2] Love, P.E.D., et al., Error begat error: design error analysis and prevention in social infrastructure projects. Accident Analysis and
Prevention, 2012. 48, p. 100-110.
[3] Suther, G.N., Evaluating the perception of design errors in the construction industry. 1998, University of Florida.
[4] Han, S., P.E.D. Love, and F. Pea-Mora, A system dynamics model for assessing the impacts of design errors in construction projects.
Mathematical and Computer Modelling, 2013. 57(9-10), p. 2044-2053.
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Facilities, 2010. 24(4), p. 399-408.
[6] Lopez, R. and P.E.D. Love, Design error costs in construction projects. Journal of Construction Engineering and Management, 2012. 138(5),
p. 585-593.
[7] Love, P.E.D.L., Robert, J.T. Kim, and J.M. Kim, Influence of organizational and project practices on design error costs. Journal of
Performance of Constructed Facilities, 2012. 28(2): p. 303310
[8] Love, P.E.D., et al., Probabilistic assessment of design error costs. Journal of Performance of Constructed Facilities, 2013. 28(3), p. 518527.
[9] Petroski, H., Paconius and the pedestal for Apollo: a case study of error in conceptual design. Research in Engineering Design, 1991. 3(2): p.
123-128.
[10] Wantanakorn, D., M.J. Mawdesley, and W.H. Askew, Management errors in construction. Engineering, Construction and Architectural
Management, 1999. 6(2): p. 112-120.
[11] Bijen, J., Durability of Engineering Structures: Design, Repair and Maintenance. 2003, Cambridge, UK: Woodhead Publishing.
[12] Reichart, G., How to reduce design and construction errors. Nuclear Engineering and Design, 1988. 110(2), p. 251-254.
[13] Hagan, E. and G. Mays, Human factors engineering in the US nuclear arena. Nuclear Safety, 1981. 22(3), p. 337-346.
[14] Kaminetzky, D., Design and Construction failures: Lessons From Forensic Investigations. 1991, New York: McGraw-Hill.
[15] Davies, K. and W.B. Ledbetter, Measuring design and construction quality cost. 1987, Construction Industry Institute Report: Clemson
University.
[16] Simon, A., et al., Analytical design planning technique: a model of the detailed building design process. Design Studies, 1999. 20(3), p. 279296.
[17] Tatum, C.B. and K. Thomas, MEP coordination in building and industrial projects. Center for Integrated Facility Engineering, 1999.
[18] PlatinumPrep and LLC. Arithmetic mean (average) - GMAT math study guide. 2015 [cited 2015 20 April]; Available from:
http://www.platinumgmat.com/gmat_study_guide/statistics_mean.
296
Application of EPC contracts in international power projects

Jan Pcha1 *, Ale Tomek2, Harry Lwitt3
1
Department of Construction Management and Economics, Faculty of Civil Engineering, Czech Technical University in Prague,
Thkurova 7, Praha 6, 166 29, Czech Republic
Abstract
Engineering, procurement and construction (EPC) contracts are on the way to become the most usual form of contracting applied
by the private sector to undertake construction works on large scale infrastructure projects. In every project, it is necessary to have
good contract management in place; otherwise it can have negative consequences for all parties involved the client, contractor,
lenders, government, etc. If contract management is not implemented and controlled properly, it may have a negative impact on
the project as a whole. Such failures may include a delayed schedule, cost overruns, quality, safety and more. Nowadays, some
contractors refuse to enter into EPC contracts in certain jurisdictions, since a number of contractors suffered from heavy losses in
the past. A qualitative approach was applied in order to analyze the critical points of contracts based upon reviews of related case
studies from the power sector and supplementary interviews with business professionals. This research study identifies the key
clauses and pitfalls causing the majority of disputes in EPC contracts and provides the description of these conditions in order to
increase their common understanding. In addition to that, the key factors of successful project completion under the EPC contract
scheme were defined. It was also found that the EPC contracting scheme could work very well for power projects, especially in
the cases where the contractor is in a good position to understand all legal aspects of the contract, including the allocation of risks.
Keywords: Contract Management; EPC Contracts; International Construction; Power Sector.
1. Introduction
This paper concerns EPC contracting and its application in international power projects. An EPC contract
typically covers project management, site management and supervision, engineering, materials and equipment, civil
works, foundation and site infrastructure works, transport and installation, and commissioning, as well as scheduling
and performance guarantees for the entire solution. The client typically takes care of the plant permits, electrical
interconnections, and fuel supply arrangements. Site preparation (site clearing, leveling, etc.) is often part of the
customers scope.
Recently, contractors have become more averse. This is primarily because a turnkey solution is not as simple as it
sounds, due to the inevitable complexities of large power projects and the decreased contractors risk appetite in the
global project arena. When negotiating contracts, they are seeking exclusions from and significant caps on liability
* Jan Pcha. Tel.: +420 734 236 456; fax: +420 224 355 439
E-mail address:jan.picha@fsv.cvut.cz
297
when negotiating contracts. Contractors thus demonstrate their tendency to prefer the projects where they need to
carry the least risk and gain most profit. Similarly, clients look for contracting strategies in order to transfer all the
risks to the contractor and decrease the project price at the same time. Despite the growth of other types of
contracting forms, the authors believe that EPC contracts will further play a predominant role in large infrastructure
projects in most jurisdictions.
The diagram below illustrates the basic contractual structure of a project-financed power project using an EPC
contract, while, on the other hand, a detailed structure can vary from project to project.
Figure 1. Basic contractual structure using EPC contract [5]
For the purposes of this research, a qualitative approach was selected as an interpretative technique of data
collection in order to increase the understanding of the topic. This methodology describes, translates, and otherwise
comes to terms with the meaning of certain phenomena [4]. The authors reviewed four case studies of delivering
power plants under the EPC scheme in the Czech Republic, the Russian Federation and the Sultanate of Oman.
Academic literature and case studies were the main sources of data. In order to get a wide context and support for our
arguments, 13 supplementary interviews with owners, legal professionals and executives representing EPC
contractors were conducted.
3. Literature survey
There are several studies dealing with standard conditions of EPC contracts. Bakr et al.[1] proposed a structured
risk management process in order to assess various risks in the EPC contract environment. The study came to the
conclusion that projects that used the structured risk assessment process would have a better chance of meeting
financial, schedule, and other stakeholders expectations. Another study [3] identifies typical construction risks and
describes the comparison between FIDIC and the Taiwanese government conditions of contracting for hydropower
construction projects. However, there are various interpretations of the risk allocation between owners and
contractors. According to the study conducted by Wang and Chou [14], many disagreements may result from the
absence of related contract clauses, unclear stipulations, or queries about the fairness of risk allocation. There are
also several studies examining time disputes in construction contracts. Iyer [8] has identified the critical clauses that
lead to disputes in construction contracts through extensive case study research. The study came to the conclusion
that the following clauses were causing the vast majority of disputes:
298
Final and binding power

Time, delay and extension
Termination of a contract
Pricing of deviations and extra items
Deviation limit/scope of work
Price escalation
Thopson and Portis [13] discussed construction law of the United States of America; the authors observed that the
literature and case laws are difficult to reconcile, engineers and non-legal professionals can hardly foresee the
outcomes of court proceedings. On the other hand, several studies demonstrating the consistency of law in several
cases were conducted, such as disputes regarding disputes on the interpretation of clauses [12], disputes on
specifications [10] and disputes on certifying completion [11]. Branconi et al. [2] conducted research on contracting
large projects and introduced eight business levers in a contract.
Content of the Project
fulfilling the specifications
within the budget cost estimates
according to schedule
payment of contract prices, with payment terms
CLIENT (OWNER)
CONTRACTOR
Assurance for both sides

Warranties (faults after delivery)
Liquidated damages (penalties for non performance)
Limitation of Liability to project contractor
Mutual assurance of fulfillment with securities
Figure 2. The eight key business levers in a contract [2]
In order to improve the transparency of construction contracts and their clauses, standardized forms of
construction contracts were introduced. FIDIC documents are widely used as contract conditions in the Czech
Republic and Slovakia for public procurement, mainly within the area of infrastructure construction projects [9].
4. Turnkey contracting
The main idea standing behind the EPC approach for the contractor is to be given the job to engineer, procure and
construct the required works. Once these works are finished and the facility is ready to operate properly, the plant is
handed over to the owner so that he may operate it himself.
Project financed deals are typical of revenue generating facilities and thus also power plants. A feature of the
turnkey approach to contracting is the requirement for the contractor to prove the reliability and the performance of
the power plant. Thus, during the turnkey contract drafting, particular attention is given to facility testing,
commissioning, instruction and continuous plant handover. This is a typical procedure for all power generating and
other process engineering projects. The essential importance in these projects is not only to be delivered in time,
within agreed costs, but predominantly to be capable of meeting the designed production capacity. The performance
of the facility is particularly of key importance in those turnkey projects which are mostly funded under the project
financing scheme. Also, the security of lenders is directly dependent on the ability of the constructed plant to operate
properly and generate revenues. All these key aspects are reflected in general conditions of the FIDIC Silver Book.
The Time for the Completion of works includes not simply completing the works so that the owner can take them
over, but also achieving the passing of the Tests on Completion [6].
299
5. Contracting strategy
When embarking on a major capital project, the investor must select a basic strategy for the contracting of the
project. Various approaches exist and, for good reasons, the choice of the contracting approach could affect the
outcome of the project. In terms of the contract price, there are two main approaches:
Turnkey EPC with a fixed price
Turnkey EPC with a target price
This topic was the subject of extensive research conducted by Gloria et al. [7]. The authors came to the conclusion
that the Turnkey Fixed-Price approach was better utilized when a substantial amount of up-front engineering work
had already been performed. This study also stressed that preliminary engineering is required to clearly define the
contractors scope of work, since a poorly defined scope for a large project will definitely have consequences that
affect all risk categories.
The contractor bears most of the project-related risk under the EPC contract scheme and thus controls the quality
of purchased materials and technologies installed, unlike the facility owner who only has limited possibilities to
monitor that. In the view of the fixed-price contracting scheme, the contractor is usually not motivated to purchase
more expensive materials than necessary in order to reach savings with a positive impact on the contractors
profitability. Under the EPC contracting scheme, by using the target price the contractor is motivated to control the
contract price in the owners favor compared to the fixed price-based contract. The target price is usually
recommended for projects where the scope of work is not exactly known or defined. Such a contracting concept
requires a significant level of mutual trust among the contracting parties to make sure that potential disputes will be
resolved without harming their contractual relationship and having a negative influence on the project execution.
6. Disputes
Disputes mostly arise out of time delay, quality or cost overruns. The contract defines the obligations of parties to
meet the project performance, including the time schedule, similarly as the recourse in the event of failing to meet
the agreed obligations. The areas of disputes in connection with EPC projects may further include: scope of work
definition and interface; verification; change of orders and notices; schedule delays and disruptions and associated
schedule liquidated damages; warranties; terminations for default and convenience, force majeure or unfair calling of
guarantees. One of the key disputes is lurking in the unclear specification or misunderstanding of contractors
liability towards the client under the contract. In order to avoid claims regarding the plant functioning and to
determine the economic performance of the technology installed, a clear definition of key preconditions and
parameters to be measured is strongly recommended.
7. Key Clauses of EPC Contracts
The key clauses in any construction contract are the ones affecting time, cost and quality similarly as in EPC
contracts. However, EPC contracts tend to deal with issues with greater sophistication than other types of
construction contracts. This is because an EPC contract is designed to satisfy the lenders requirements for contracts
bankability [5]. Some contract clauses are repeatedly the source of disputes between the owner and the contractor.
Several respondents repeatedly stressed that the shortage of contract management on both sides could lead to a poor
understanding of contracts conditions and consequently to disputes related to bearing the responsibility for and the
coverage of unexpected costs. Contractors can thus accept the risks of which they are not fully aware. All
respondents clearly stated that the necessary precondition for a successful functioning of the EPC approach was the
contractors position to understand, manage and have an influence on the risk allocation as well as contractors
readiness to assume the level of risk. In response to reviews of 4 case studies dealing with power projects delivered
under the EPC contracting scheme, the major risk bearing contract aspects were identified. These were consequently
related to transparent and widely recognized contract clauses defined in the FIDIC Silver Book.
300
Table 1. Key aspects of EPC contracts
Aspect/Issue
Single point of
responsibility
Description of conditions
The Contractor is responsible for all design, engineering,
procurement, construction, commissioning and testing activities
If the EPC Contractor is based on a joint venture, the
responsibility is joint
Related Article in FIDIC

Silver Book Arts. 4.1 and 5
Fixed contract price
Very limited options for the Contractor to claim extra time/costs

In general limited to directed variations to works
Silver Book Arts. 13.1, 14.1

and 20
Fixed completion date
Date of completion is guaranteed

Silver Book Arts. 8.2, 13
Failure to meet the completion date will attract liquidated
and 20
damages (LDs); in order for these to be enforceable there has to be
a genuine estimate of the loss to be covered by the project
company if the completion date is not met
Performance guarantees
Project company's revenue will be generated by the project

revenue
It is crucial that the facility performs in respect of output,
efficiency and reliability. This is the purpose of Performance LDs
payable by the Contractor in the case performance requirements
are not fully met
EPC Contractors will mostly be against unlimited liability
Usually capped at 100% of the Contract Price
Sub-caps of 20% of the Contract Price on delay
Performance LDs are also usual
Consequential damages are also generally excluded
There can be some exceptions to these caps (willful misconduct,
breach of patent rights)
There is no related article

for Performance LDs, see
e.g. Art. 9.4.
Security
The EPC Contract will require that performance security be

delivered by the Contractor in view of its obligations under the
EPC Contract
Market security contains the following:
- Bank guarantee for 5-15% of the Contract Price
- Retention of 5-15% of each payment under the EPC contract
- Advance Payment Guarantee
- Guarantee issued by the Parent Company in order to secure
Contractor's performance
Silver Book Art. 4.2
Defects liability
Contractors are required to repair defects within 12-24 months

following the completion of performance testing
Silver Book Art. 11
Intellectual property
The Contractor has to guarantee it has the rights regarding all

patents and proposed solutions. Very often, there is also an
indemnity for breach
Force Majeure
Parties are excused from performance in the case of certain

Force Majeure events (war, strike, riots, earthquake)
Silver Book Art. 19
Suspension
The project company has suspension rights
Termination
The Contractor has limited termination rights (non-payment,

extended suspension, contract breach by the employer)
The project company has much broader termination rights. This
will be tied with third party agreements - termination for
convenience or termination for breach
Silver Book Arts. 8.8 to

8.12
Silver Book Art. 16.2, 15.2,
15.5
Caps on liability
301
8. Conclusion
With the increasing size and complexity in the nature of projects, the conditions of construction contracts also tent
to become more complicated, which consequently contributes to an increase in the number of disputes in addition to
the existing ones. Due to their wide recognition, standardized contract forms can eliminate the number and frequency
of claims besides time and cost overruns. According to examined case studies, the experience and observations of
interviewed persons, the EPC contracting scheme can work very well, especially where the EPC contractor is
familiar with all contract details and is fully aware of possible risks resulting from risk-related contract clauses.
Contractors past experience with EPC contracting was also deemed as a substantial precondition for a successful
project delivery. In cases where the contractor is not ready to accept the level of risk resulting from the EPC
contract, which is the frequently observed phenomenon in the construction market, alternative contracting schemes
such as a strategic alliance or a multi-contracting approach might be taken into consideration.
Based on the review of related case studies and supplementary interviews with business professionals, we have
identified the following key factors of a successful project execution under the EPC contract scheme:
Application of standardized forms of the EPC contract

Awareness of the EPC contractor about the extent of responsibility and risk he bears
Good contract management in place
Detailed knowledge and understanding of a contract
Acknowledgements
This work was supported by the Grant Agency of the Czech Technical University in Prague, grant
No. SGS15/019/OHK1/1T/11
References
[1] Bakr, A.F., Hagla K.E., Rawash A.N. (2008). Heuristic approach for risk assessment modeling: EPCCM application (Engineer Procure
Construct Contract Management), Alexandria Engineering Journal, 51, 305-323.
[2] Branconi C., Loch C.,(2004). Contracting for major projects: eight business levers for top management, International Journal of Project
Management 22 (1), 119130.
[3] Charoenngam C., Yeh C.Y. (1999). Contractual risk and liability sharing in hydropower construction. International, Journal of Project
Management, 17 (1), 29-37.
[4] Copper, D.R., Schindler, P.S. (2006). Business Research Methods (9th edition). Singapore: Mc. Graw Hill, International Edition.
[5] DLA Piper (2011). EPC Contracts in the Power Sector, Asia Pacific Projects Update, 4-5,
[6] FIDIC Silver Book (1999) Edition Standard Form of Condition of Contract EPC/Turnkey Projects, ISBN 2-88432-021-0.
[7]Gloria T., William E., Siegfriedt W. E., Carstens A. Project Contracting Strategies: Evaluating Costs, Risks and Staffing Requirements, Sargent
& Lundy (2011).
[8] Iyer, K.C., Chaphalkar N.B., Joshi, G.A. (2008). Understanding time delay disputes in construction contracts. International Journal of Project
Management, 26, 174-184.
[9] Klee, L., (2011). FIDIC Conditions of Contract, Wolters Kluwer publishing, First edition, Prague.
[10] Thomas H.R., Smith G.R., Wirsching SM. Understanding defective specifications. Journal of Construction Engineering and Management
ASCE (1995);121(1):5564.
[11] Thomas H.R., Smith G.R., Cummings D.J.. Have I reached substantial completion? Journal of Construction Engineering and Management
ASCE (1995);121(1):1219.
[12] Thomas H.R., Smith G.R., Mellott R.E. Interpretation of construction contracts. Journal of Construction Engineering and Management,
ASCE (1994);120(2):32136.
[13] Thompson L.J., Portis C.T. History of evasive contract phrases. Journal of the Construction Division (ASCE) 1978;104(4):52537.
[14] Wang M.T., Chou H.Y. Chou. Risk allocation and risk handling of highway projects in Taiwan, Journal of Management in Engineering
(2003),19 (2), 155187.
Further readings
[15] PMBOK Guide: A Guide to the Project Management Body of Knowledge, Project Management Institute (2004), Pennsylvania, USA.
[16] Practice Standard for Project Risk Management, Project Management Institute, Inc., (2009).
[17] Strategy and export financing in international construction (2014), Nakladatelstv esk Technika, First edition, ISBN 978-80-01-05412-3
302
Risk management in construction contracting.

Georg Piek and John Smallwood
Nelson Mandela Metropolitan University, PO Box 77000, Port Elizabeth 6031, South Africa
Abstract
Project and organisational success is achieved through managing risk throughout every stage of the construction process.
The study reported on was directed at evaluating the importance of risk management (RM) practices within construction contracting
from a contractors perspective to determine the risks that cause project and organisational failure while discussing RM strategies
to control or mitigate these risks. The main risk factors discussed in the study are the risk of fatalities and injuries, the late delivery
of construction projects, percentage profit mark-up at tender phase not being achieved, and the risk of unforeseen risks occurring.
The study was conducted among general contractor (GC) members of the East Cape Master Builders Association (ECMBA).
The salient findings are: GC respondents perceive their knowledge of RM practices in construction to be above average; RM is
always addressed at project level; RM is crucial for the Engineering discipline; within the Construction Management and Project
Management professions, RM is very important, and failure to conduct a risk assessment and rating relative to the aspect
insufficient supervisors is perceived to be the main cause of injuries and fatalities on projects.
With regards to the internal environment, inadequate programme scheduling is perceived to be the most important risk to be
managed. With regards to the external environment, construction material price increase is perceived to be the most important risk
to be managed, and the GCs perceive the internal environment to be the most important environment to be managed in order to
achieve targeted percentage profit at project close-out. Furthermore, GCs perceive late design information to be the main risk to
be managed to avoid the late completion of projects.
It is recommended that risk should be continuously evaluated and managed during the construction project in order to deal with risk
uncertainty and manage unforeseen risk occurrences.
Keywords: Risk Management, Control Banding Model, Case Based Reasoning, Occupational Health and Safety, Construction Management
1. Introduction
Risk Management (RM) is the highest ranked aspect that construction firms need to incorporate into management
of the business of construction to achieve performance requirements [1]. Performance in the construction industry is
continuously scrutinised due to the occurrence of delays, cost overruns and poor quality of product and service [2].
While the construction industry is very well developed and experienced, construction projects still witness failures of
many contractors [1]. Crucial to any construction project and organisation involved is the management of risk at every
stage of the construction process [3]. Risks can not only affect the achievement of project objectives but also influence
the occurrence of new objectives carrying new risks [4]. KPMGs Global Construction Survey of 2005, determined
that the greatest challenge for construction organisations was the management of risks. It was discovered that 75% of
construction firms take calculated risks in order to procure profitable projects by overriding the implemented RM
policies, but 86% of respondents to the KPMG 2013 survey noted that RM is needed for strategic business decisions
[5]. The tendency for SMEs to take such risks is due to tight margins forcing contractors to take risks to survive in the
competitive climate. The need for RM increases with the complexity of projects, and thus is imperative to implement
RM processes on large scale projects [6].
303
2.1. RM in general
According to Valsamakis, Vivian and du Toit [7], risk is defined as a variation of the actual outcome from the
expected outcome. RM defines the sources of uncertainty, estimating the effects of uncertainty caused by events and
generating strategies to deal with the risk defined in light of the expected outcomes. RM comprises of a risk model that
incorporates risk identification, risk analysis, detailed response planning, monitoring and conducting planned tasks [8].
Construction projects will vary during the course of development, planning, realisation, and operating [9]. Research
indicates that organisations that fail at risk identification stage recognise a higher probability of failure [10].
2.1.1. RM classification
Four types of risks affect an organisation, namely market risk, financial risk, resource management, and
environmental risk. Inherent risks include all the activities, decisions and events that impact on the operating profit of
an organisation. Inherent risk consists of two types, namely unsystematic risk (variations affecting an individual
organisation) and systematic risk (occurrences that affect the entire economy). Incidental risks are those risks that arise
naturally from the activities of an organisation. These risks are incidental as they do not form part of the primary
business of the organisation, yet are seen as crucial to ensure the continuation of the main entity [7].
2.2. Mitigating risk of injuries and fatalities
According to a study conducted by Peterson, Reynolds and Ng [11], the construction industry has the highest
accident rate out of all industries as a result of the poor attitude of construction professionals as well as their lack of
knowledge with regards to Health and Safety (H&S) and RM practices. According to a study conducted by Pellicer,
Carvajal, Rubio and Catala [12], the approximate H&S costs of a construction project is 5% of the total construction
budget. Construction Project Managers (CPMs) need to have sufficient skills to manage the risks encountered by
implementing construction project H&S measures [13]. Apart from managing the triple bottom line aspects of cost,
quality, and time, the primary focus needs to be managing the risks related to H&S [6].
2.2.1. RM strategy
According to Pellicer et al. [12], an innovative model needs to be introduced at the design phase of a project to
calculate the H&S costs of the project. The costs should be classified into insurance costs, prevention costs, and
accident costs. The main reasons for such a model is to increase understanding by employers with regards to the
magnitude of H&S costs and consequences, while realising the need to better control H&S risks. Control banding (CB)
defines a qualitative approach to RM. CB is used to simplify the approach of RM to decreasing the occurrence of workrelated risks. The development of the construction toolbox (CT) has been established by reviewing the CB qualitative
solution-based approach, in order to identify the strength and weaknesses in order to design a simplified CB toolbox
to be used on construction projects [14]. The development of the CT seeks to change the perception that work-related
risks in the construction sector are just safety related and that the occurrence of such risks is inevitable [14]. According
to a study conducted by Dejus and Antucheviciene [15], education and training of construction workers is the main
area of focus to mitigate the risk of H&S risk occurrence.
2.3. Percentage profit at tender stage not achieved
According to a study conducted by Laryea and Hughes [16], inaccurate tender documents pose a major risk to the
success of a project. The factors affecting the pricing of tender documents are project type, size, complexity, cost,
flexibility, risk, and the degree of innovative technology incorporated. It is crucial for contractors to consider, while
pricing the tender documents, inter alia, the market competition, availability of materials, probability of natural
disasters, and industrial action [17]. Considering the modern era of the current construction industry, projects are
continuously becoming more innovative in design and as a result an increased need for expert RM practices. The
conventional methods of determining contractor competencies may not be adequate to achieving a successful project
outcome. Emphasis needs to be given to contractors technical strengths, managerial capabilities, available resources,
financial ability, and proven RM capabilities [1].
304
2.3.1. RM at tender phase

Pre-contract discussion between the client and the contractor facilitates a clear, mutual understanding of the relevant
risks. If a lack of understanding occurs it could result in the contractor under-pricing the tender and pursuing claims
for additional sums as the project proceeds [18]. In addition to the project cost estimates, risks are assessed to
investigate how it affects the tender price [19]. A study conducted by Laryea and Hughes [16] revealed that contracting
is a risky business as it is difficult to price for all of the risks due to the competitive market. Contractors should select
projects while determining the appropriate risk to price, negotiate or even avoid [16].
2.3.2. RM strategies at tender phase
Methods of RM are well documented and defined, yet the philosophical background is vague [8]. Approximately
60% of organisations include a risk percentage in the mark-up and all mark-ups fell within the range of 4-16% of the
tender price [19]. It was equally obvious that the traditional approach to making allowance for these risks plus
determined uncertain risks by adding a single figure of 10% contingency is inadequate [18]. The Learning-based
approach has been proposed as a method for controlling risk and risk situations at tender phase. This method involves
all information relating to past project failures and risks that developed [8].
2.4. Risk of late completion
According to a study conducted by Toor and Ogunlana [20], the most significant factors contributing to project
delays are lack of resources, poor contractor management, shortage of labour, design delays, lack of effective planning
and scheduling, variation orders, and contractor financial difficulties. A need to develop facilitated methods for
evaluating the probability of construction project schedule overruns is crucial to mitigate possibility of overruns [21].
The probability of not achieving the project completion date increases with increased complexity. Without more
sophisticated project control, complex buildings are likely to be completed late [22].
2.4.1. Methods implemented to mitigate risk of late completion
An improved method of Project Evaluation and Review Technique (PERT) has been suggested to be a more
appropriate technique to calculate project activity duration, adopt response management theories, and to introduce a
double-buffering zone [23]. Conventional RM methods in construction are based on a complicated numerical data
analysis. However, the complicated system has limited use on construction projects due to the expertise needed to
implement and understand the data [24].
2.5. Risk of uncertainty
According to Valsamakis et al. [7], uncertainty exists in decision situations where the decision maker lacks the
complete knowledge, information, or understanding with regards to the decision and its possible consequences.
Therefore, the perception is that uncertainty gives rise to risk. According to Harty et al. [25], management of
uncertainty can and should be obtained through formal RM approaches. RM is a proactive approach to the what ifs
that can influence or even determine the projects outcome. RM is about avoiding, reducing, absorbing, or transferring
the negative risk while exploiting potential opportunities [18].
2.5.1. Managing the risk of uncertainty
Although there is currently major literature on practical methods that can be implemented by contractors to limit
risk and deal with risk more effectively, only a handful of these methods are currently being used. The main reason for
this absence of use is due to the lack of knowledge by management in evaluating appropriate circumstances where
these methods can be implemented. The use of PESTLE (Political, Economic, Social, Technical, Legal,
Environmental) can help to characterise RM problems, not only from an external perspective, but internal as well.
Fuzziness, incompleteness, and randomness (FIR) can also be utilised as it keeps the process simple and easy to
understand. The Case-Based Reasoning (CBR) tool has been identified as a tool to predict the appropriate RM
techniques to use. While utilising the information obtained from PESTLE and FIR, CBR makes use of data from
previous projects such as the frequency of risk occurrence, to adequately facilitate strategic decision making on the
appropriate risk technique to employ [3]. Managing risk and uncertainty (MARIUM) is a tool to be used throughout
the life cycle of the project. It has been designed to help manage hazard and risk. The purpose of MARIUN is to
promote creative and innovative thinking by management within risk scenarios [26]. The International Organisation
305
for Standardisation (ISO) [27] has developed a systematic approach to RM. Organisations can now benefit from a wellestablished toolbox for RM.
This study was undertaken by conducting a survey of the related literature as well as conducting an empirical study
using a quantitative approach. The population sample for this study was limited to 62 medium to large general
contractor (GC) members of the East Cape Master Builders Association (ECMBA). For this study a Likert type scale
was used for the questionnaire. The scale ranges from 1-5, 1 being not important / strongly disagree / never addressed
/ limited and 5 being very important / strongly agree / addressed to a major extent / extensive. An Unsure option was
added to the five-point scale. Descriptive statistics in the form of frequencies and a mean score (MS), a measure of
central tendency, were computed from the data gathered. The MS ranges from 1.00 (lower limit) to 5.00 (upper limit).
20 of a potential 62 respondents responded, which equates to a 32.3% response rate.
4. The results
Respondents indicated that the risk component of inadequate management is ranked as a more than important to
very important / very important factor to mitigate in order to limit the risk of fatalities and injuries as the MS is > 4.20
to 5.00.
Respondents perceive unforeseen challenges and risks to be between important to more than important / more than
important in terms of aspects to manage within the internal environment as the MS is > 3.40 to 4.20.
Respondents indicated that external economic activity involving construction material price increase, exchange
rate fluctuations and rising import costs are all between important to more than important / more than important in
terms of factors that affect percentage profit, as their MSs are > 3.60 to 4.20.
Respondents agree to strongly agree / strongly agree with the statement inadequate risk analysis during pre-tender
planning results in late completion of a projects as the MS is > 4.20 to 5.00.
Respondents agree to strongly agree / strongly agree with the statement inadequate planning results in late
completion of projects as the MS is > 4.20 to 5.00.
The respondents concurrence is between neutral to agree / agree in terms of the statement Client orientate variations
result in late completion of projects as the MS is > 3.60 to 4.20.
The respondents concurrence is between disagree to neutral / neutral in terms of the statement all risks can be
evaluated at procurement phase as the MS is > 2.60 to 3.40.
The respondents concurrence is between neutral to agree / agree in terms of the statement an investigation of the
political, environmental, social, technical, economic and legal environment relative to a project will increase the
possibility of identifying risks and mitigating unforeseen risks as the MS is > 3.60 to 4.20.
5. Conclusions
The construction industry exists within a globalised market with various variables contributing to risk and the
uncertainty of risk. A construction project is therefore exposed to a vast amount of risk through project initiation to
project close-out. Due to the possibility of risks occurring during the project life cycle, the abilities of managing the
team to identify these risks at an early stage and implementing methods to control or mitigate these risks is crucial in
terms of achieving a successful outcome. The study focused on the link between RM practices and the various risks
that result in a negative impact for project stakeholders. The research from this study determined that it is essential for
RM to be implemented to improve cash flow, financial stability, client satisfaction and organisation image. Contracting
firms need to implement RM at project and organisational levels via technical ability, clear organisational maturity
and a proven RM strategy and capabilities from concept stage to the end of the project.
6. Recommendations
Contractors need to receive education and training with regards to RM systems, or make allowance for a RM
professional to conduct a risk analysis of the project. RM should not just entail listing possible future occurrences. RM
needs to involve proactive decision making by competent management professionals. In terms of high risk projects the
tender price should make provision for a RM professional as well as include a percentage for contingencies that serves
306
as a provision for unforeseen risk occurrences. It is vital for the contracting firm to price for H&S as preliminaries in
the tender documents to ensure they can resource H&S. Further research should consider combining scenario planning
philosophies and systems into a practical RM model for large construction projects.
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308
Review of methods of determining the life cycle cost

of buildings
Edyta Plebankiewicz, Krzysztof Zima, Damian Wieczorek *
Institute of Construction and Transportation Engineering & Management, Tadeusz Kociuszko Cracow University of Technology
Warszawska 24 St., 31-155 Krakw
Abstract
The article presents an overview of mathematical models which help to compute life cycle costs of a building and to select
the most advantageous variant. A simple example illustrates cost calculation for a chosen object applying the deterministic model
with fuzzy sets and the AHP. The criteria assumed in the AHP method proved that the variant that is the most advantageous is
the one which was evaluated by other methods as the least beneficial. The deterministic method presented here, as well as the one
based on fuzzy sets, allows to determine only the financial viability aspect. However, the AHP method, which allows
to additionally apply other evaluation criteria, has some drawbacks too. Three different models are assigned different values of
criteria in order to present a problem deterministic model with fuzzy sets and the AHP. A solution to this problem could be
developing a hybrid method which would incorporate the advantages of the methods described and limit the flaws.
Keywords: AHP method; cost; fuzzy logic; LCC
1. Introduction
The investor selecting a variant of the solution for a construction project primarily takes into account the costs
of construction implementation. The solution that is chosen fulfils the investors quality requirements while
generating the lowest possible costs of labour, materials and, at the same time, as short as possible implementation
time. Yet as early as in the 1970s, as the depletion of conventional energy sources and the rise in energy costs
became apparent, cost calculations began to include other elements apart from the initial investment expenditures.
This was the source of life cycle costs (LCC) concept. The notion is also reflected in the existing legislation. EU
rules applied by individual countries put an increasing emphasis on the selection of solutions generating low total
costs in the life cycle of products and facilities. However, there exist no relevant guidelines related to a consistent
methodology of such calculations.
The type of the object generates different types of costs which eventually influence the final outlay. It is worth
remembering that, especially in the case of buildings rather than products, appropriate cost calculation is remarkably
complex. Usually, it needs to include a decades-long period of the use of a building which is comprises elements
of varying shelf life. Moreover, developments in technology and their costs are the source of such problems
as reliable estimation of repair and renovation value. The changes in energy costs also make it hard to reliably
estimate the costs of the use of a building within a greater time frame.
The basic problems involved in the calculation of LCC include the following:
* Edyta Plebankiewicz. Tel.: +0-048-12-628-2330
E-mail address:eplebank@izwbit.pk.edu.pl
309
specifying the stages of an object life cycle and their duration;

establishing the type and scope of costs specified in each individual stage;
assuming the means (a mathematical tool) which allows to calculate LCC in the most precise way possible.
The first two elements have been researched for years. Numerous studies in this field can be found, for instance,
in [2, 4, 5, 9, 10, 11].
In this article, the authors concentrate on the last problem listed, that is the one involving mathematical tools
enabling a precise cost calculation. An overview of existing mathematical models is presented. An easy example
illustrates an application of the chosen mathematical models to the calculation of costs for a chosen object. This
allows to evaluate the possibilities using mathematical tools for selecting the variant which is the most advantageous
from the point of view of the investor.
2. Mathematical models
Table 1 summarizes the chosen mathematical models prepared for the purpose of calculating life cycle costs
of buildings.
Table 1. Approaches and cost elements in reviewed cases related to LCCA of buildings; source: own work based on [1, 2, 3, 4, 5, 6, 7, 11]
REFERENCE
STUDIED
APPROACH
COST ELEMENTS
CASE
Aye et al., 2000
Commercial
office buildings
MAIN GOAL
OF ANALYSIS
Deterministic, a study based

on economic feasibility using
Initial
property,
costs
associated
with
building,
To compare and identify best financial

life-cycle alternative among four
discount rate for future costs
energy and other operating and

disposal costs
different preferred solutions
To determine optimal cost solution
to reflect time values of

money
Marszal &
Multi-storey,
Deterministic, using present
Investment,
Heiselberg, 2011
residential,
Net Zero
value method and equivalent

annual costs
replacement and demolition

(including
profit
from
renewable energy systems)
out of different alternatives
Plebankiewicz,
2014
Municipal
buildings
Deterministic,
based on
analysis net present value
Initial cost
building
To compare alternatives and choose

one best, meets environmental
and efficiency of investment

analysis,
including
environmental issues
and construction) and all other
Energy building
operation,
of
place and
(design
and economic requirements
costs (maintenance, servicing,

operation, repairs, renovation
and demolition)
Ammar et al.,
Construction
Fuzzy set theory and the
Initial, annual, futures, salvage
The model uses equivalent annual cost
2013
objects
equivalent
annual
cost
method along with the Day
StoutWarren
(DSW)
value
as an evaluation criterion to choose

among
competing
alternatives
with different service life
Analytical
hierarchy
processes (AHP) and case
Initial, maintenance, pavement

upgrading, pavement end of
The research via questionnaire, model

building,
analytical
hierarchy
studies
life, social, environmental
processes (AHP) and case studies has

identified, evaluated and then
processed highway sustainability
algorithm and
method
to
the
vertex
evaluate
competing alternatives
Goh & Yang,
2010
Highway
construction
related cost elements.

Sobanjo, 1999
Buildings
Fuzzy
sets-based
facilities
methodology for life-cycle

cost analysis of facilities
Initial,
sale/demolition,
maintenance
rehabilitation,
A conceptual methodology has been
operating,
presented
to
illustrate
how
the uncertainties introduced due
to subjective estimating of cost
variables, typically based on expert
opinions, can be handled in life cycle
310
cost analysis of facilities

Yi & Wen-jie,
2009
Power Plant
AHP method
initial, operation, maintenance,

disposal
and environmental
Develop the external environmental

cost into the whole life cycle cost
for the electric power plants,
and make preliminary analysis
and research of the LCC of four
power generation pattern
Sieglinde et al.,
2000
Heat Pump
Techniques
with
for
dealing
uncertainty
deterministic
techniques:
sensitivity
analysis;
breakeven analysis; input
estimate
using
Purchase
residual
and
installation;
value;
annual
Answers the following questions:

- Which of the input values,
electricity; annual O&M; repair
if changed, would have the greatest

effect on analysis results?
- What effect would
changes
in the input values have on the range

of analysis results?
expected
values
- What would happen if this or that

input value were different?
Sieglinde et al.,
Heat Pump
2000
Techniques
for
dealing
with uncertainty probabilistic

techniques: input estimate
using
Purchase
and
installation;
Monte Carlo simulation uses a simple
residual
value;
annual
electricity; annual O&M; repair
technique of sampling the probability

distributions of uncertain input values
probability
to
obtain a
close
approximation
distributions; Monte Carlo
to the true probability distribution
simulation
of a measure of worth.
3. Example applications of chosen mathematical models

For the purpose of comparison of the chosen methods of a building LCC calculation, a 5-storey multi-family
residential building was selected. A number of variant implementations were considered in relation to, among others,
various costs and profits. A 30-year life cycle was assumed, after which the building was to be demolished. The basic
data concerning the particular variants are presented in Table 2.
The authors wanted to show, that it is possible to compare different building constructions with a set of three
methods. The basic data concerning the particular variants are presented in Table 2. Investments costs data were
adopted on basis of aggregate prices bulletins, used in project economic analysis in terms of cost. The data on
operating costs, cost of demolition and plot sale and all profits are responsible to polish market prices from 1st quarter
of 2015, while the renovation costs data were taken from bulletin of modernization and repairs prices.
Table 2. Data used in the analysis
Multifamily residential building,
5-storey, in traditional technology
Multifamily residential
building 5-storey, amenity, in
Multifamily residential building,

5/9-storey, monolithic technology
traditional technology
Investment costs:
Variant 1
Variant 2
Variant 3
Residential building in traditional

technology
Amenity building in traditional

technology
Residential building in monolithic

technology
13 445 333 PLN
7 974 938 PLN
36 895 982 PLN
Operating costs:
210 374 PLN per year
92 512 PLN per year
Renovation costs:
513 470 PLN every 5 years
227 432 PLN every 5 years
1 298 184 PLN every 5 years
750 190 PLN after 30 years of use
454 860 PLN after 30 years
3 965 411 PLN after 30 years of use
Cost of demolition and plot

sale:
Profits (utility system service
of use
25 637 470 PLN
14 323 710 PLN
51 115 710 PLN
1 610 030 PLN per year
area and flat sale):

Profits (rent):
311
3.1. Deterministic method

One of the methods is the deterministic one based on analysis net present value and efficiency of investment
analysis, including environmental issues (Life Cycle Net Present Value). This method allows not only to evaluate
the efficiency of the investment on the basis of life cycle costs but also to compare the investment alternatives
and the choice of one that is the closest to the requirements of a given project from both the environmental
and economic perspective. The results most frequently presented in this method include a statement of investment
and operational costs, as well as the operating income realized in the course of the project, discounted cash flow
and cumulative discounted cash flows at the selected discount rate.
With these assumptions, the LCNPV value is calculated as follows:
n
LCNPV =
(1 + r )
CFi
i =0
(1)
where: CF cash flow during a year; i, n number of years (taking into account the life cycle), i subsequent
year, r discount rate.
Table 3 presents the results of calculations for the 3 building variants analysed.
Table 3. Results obtained via the deterministic method
LCNPV (30 years of use; 6%
Variant 1
Variant 2
Variant 3
11 008 891,62 PLN
5 217 975,36 PLN
20 719 835,71 PLN
return rate)
According to LCNPV, all variants are advantageous (positive value of LCNPV), Variant 3 is significantly the
most beneficial as there the value of cumulative discounted cash flows is almost twice as high as in variant 1.
3.2. Fuzzy sets-based method
Another method is a fuzzy-based life-cycle cost model that accounts for uncertainty in a manner that
disadvantages commonly encountered in probabilistic models are alleviated. The developed model utilized fuzzy set
theory and interval mathematics to model vague, imprecise, qualitative, linguistic, and/or incomplete data. The model
incorporates the equivalent annual cost method along with the DayStoutWarren (DSW) algorithm and the vertex
method to evaluate competing alternatives.
The developed fuzzy-based LCC model is proposed in the following steps:
1. Express uncertain variables as fuzzy quantities, using user defined membership functions satisfying normality
and convexity. (Figure 1)
A(X)
1.0
1.0
(x-L)/(M1-L)
(x-U)/(M2-U)
cut interval
0.0
L
M1
M2
Figure 1. Trapezoidal membership function with - cut
312
2. Select a value for -cut, such that 0 1.0.

3. Find the interval of the discount rate corresponding to the selected value of in step 2.
4. For each competing alternative, find the intervals of the parameters associated with cost data corresponding to
the selected value of . These include initial cost, annual costs, values and timings of future costs, salvage value,
and service life.
5. Use the vertex method to calculate the corresponding intervals of discounting factors using Eqs. (2) and (3),
and Eq. (4) to calculate the corresponding intervals of the capital recovery factor.
= 1/(1 + )
(2)
Where: PWFij = present worth factor of anirregular future cost; r = discount rate; t ij = time at which the irregular
future cost has been incurred;
= 1/(1 + )
(3)
Where: PWFi = present worth factor of salvage value; Ti = service life of alternative i;
(1+)
= (1+) 1
(4)
Where: CRFi = capital recovery factor that converts the NPVi into its EACi
6. Use Eq. (5) to compute the NPW and Eq. (6) to compute the corresponding EAC based on the rules of interval
calculations.
= + =1
(5)
= +
(6)
= ( + )/2
(7)
Where: initial cost (IC), future costs (FCs). salvage value (SV).
annual operating and maintenance costs (ACs),

7. Repeat steps 4 to 6 for all alternatives being considered.
8. Repeat steps 2 to 7 for other values of -cuts.
9. For the defuzzification process the area compensation method will be used. Compute the R value (eg. 7)
for each alternative based on its EAC membership function.
Where: Al and Ar are the areas bounded by the left and right curves of the fuzzy set A and the vertical axis
10. Rank alternatives according to their R values.
In this method the cost data, discount rate and building life cycle have either the trapezoid or triangular (e.g.
renovation costs) membership functions. Example data for variant 1 are included in Table 4. Values L, M1; M2; U
as in Figure 1.
Table 4. Data assumed for Variant 1 in the fuzzy sets-based method
Investment costs:
Operating costs (yearly):
Renovation costs:
M1
M2
13 445 333 PLN
14 789 866 PLN
16 268 853 PLN
17 895 738 PLN
210 374 PLN
231 411 PLN
254 552 PLN
280 008 PLN
513 470 PLN every 5
564 817 PLN every 6
621 299 PLN every 6
683 429 PLN every 7
years
years
years
years
313
Cost of demolition and plot
750 190 PLN after 30
3 536 610 PLN after
3 890 271 PLN after 40
years of use
35years of use
years of use
years of use
25 637 470 PLN
28 201 217 PLN
31 021 339 PLN
34 123 473 PLN
371 908 PLN
409 099 PLN
450 009 PLN
495 009 PLN
Life cycle
30
35
40
50
sale:
Profits (utility system service
4 279 298 PLN after 50
area and flat sale):

Profits (rent) yearly:
The results are summarized in Table 5.

Table 5. Results obtained in the fuzzy sets-based method
Variant 1
A1
EAC Results for = 0.30
R
765 292
Variant 2
A2
A1
1 233 491
359 394
999 391
Variant 3
A2
598 809
479 101
A1
A2
1 696 885
2 209 853
1 953 369
As in the previous method, variant 3 proves the most advantageous.

3.3. AHP
The method of a hierarchical problem analysis (the Analytic Hierarchy Process, AHP) was devised by Thomas L.
Saaty and is a multi-criteria decision analysis method. It is applied to finding solutions for multi-criteria decision
problems. Specifying the importance of criteria or variants is performed by pairwise comparison on a 9-step scale.
The scale ranges from 1/9 for least valued than, to 1 for equal, and to 9 for absolutely more important than
covering the entire spectrum of the comparison [8].
The AHP method consists of two phases:
1. creation of a hierarchical structure (State the problem, Broaden the objectives, Identify the criteria that
influence, Structure the problem in a hierarchy of different levels)
2. performing evaluation within the hierarchical structure (Compare elements in pair in the corresponding level
and calibrate them on the numerical scale, Perform calculations to find the maximum Eigen value, consistency index
CI, consistency ratio CR, and normalized values for each criteria or variants).
Five major factors can be considered in the LCC calculations, which are computed on the following formula:
= + + + +
(8)
where LCC represented the Life Cycle Cost, Ci indicates the initial cost, Co refers to the operation cost, Cm is the
maintenance cost and Cd indicates the demolition cost and Crs as resale costs. A list of the costs for particular variants
and evaluation criteria are presented in Table 6.
Table 6. A list of the costs for particular variants and evaluation criteria
Criterion
Variant 1
Variant 2
Variant 3
Initial costs
13 445 333 PLN
7 974 938 PLN
36 895 982 PLN
Operation cost (annually):
210 374 PLN
92 512 PLN
573 259 PLN
Maintenance cost
2 567 350 PLN
1 137 160 PLN
6 490 920 PLN
Cost of demolition and sale of

land
3 215 100 PLN
1 516 200 PLN
6 997 785 PLN
Resale costs
29 141 378 PLN
17 590 940 PLN
55 857 740 PLN
314
The relative significance of each two elements was estimated and the weights of each matrix were calculated.
The calculation used a 1-9 judgment scales table, separately constructing the following matrices of relative
significance, among each element with respect to the upper element. Estimation of the relative significance of each
two elements in the matrix and the process of normalization of the criterion value is shown in Table 7; as an example,
criterion Ci, initial costs, is presented.
Table 7. Matrix of relative significance transformed to the normalized value an example for Ci
The hierarchy general raking table is shown in Table 8, and the results of the matrix consistency check is
presented in Table 9.
Table 8. Hierarchy general ranking.
GP
C1
C2
C3
C4
C5
Wg - weights
0,242
0,107
0,115
0,044
0,493
W1
0,283
0,243
0,267
0,283
0,180
0,251
W2
0,643
0,669
0,669
0,643
0,071
0,539
W3
0,074
0,088
0,064
0,074
0,748
0,210
SUM
1,242
1,107
1,115
1,044
1,493
Table 9. The consistency check in the hierarchy general ranking for all criteria.
GP
C1
C2
C3
C4
C5
3,097
3,011
3,045
3,097
3,052
CI
0,048
0,005
0,023
0,048
0,026
RI
0,890
0,890
0,890
0,890
0,890
CR
0,054
0,006
0,025
0,054
0,029
The consistency check in the hierarchy general ranking was calculate using the following formula:
CR =
CI
RI
< 0.1
(9)
where:
CR - Consistency Ratio (measure how consistent the judgments have been relative to large samples of purely
random judgments)
CI - Consistency Index calculated from (max-n)/(n-1)
RI - random index (corresponding index of consistency for random judgments).
If the CR is much in excess of 0.1 the judgments are untrustworthy because they are too close for comfort to
randomness. Therefore, the consistency check succeeds, all CR value are less than 0.1.
With the established criteria in the AHP method, variant 2 proved to be the most advantageous option, although
the previous methods: deterministic and fuzzy sets-based, evaluated it as the least beneficial.
3.4. Comparison of the methods
The examples presented above illustrate the way the three chosen methods operate in the calculation of the life
cycle costs of a building. The argument in favour of the deterministic method is the fact that it includes
the variability of money value in time in the analysis of the investment profitability and that it incorporates
315
the profits (cash flows) from the whole planned lifetime of the investment project into forecasting calculations.
On the other hand, the methods drawbacks result from flaws inherent to discount methods; that is, difficulties
in calculating real expenditures, cost values and profits within a life cycle, the choice of an appropriate discount rate
and assuming a constant expected return rate for the subsequent periods of life of the investment. Usually, life cycle
tends to be long, yet the longest period of time is considered, the greater uncertainty about the results.
The drawbacks of the deterministic methods are partly eliminated by the methods based on fuzzy logic. The latter
help to represent the discount rate used, the value of cash flows and the length of the life cycle in the form of fuzzy
values with the related membership function. This significantly diminishes the subjectivity of evaluations. However,
the comparison of variants is also based solely on financial data.
The method that allows to include criteria other than financial ones is the AHP. Its main asset is the application
of the hierarchical structure which organizes the problem and thus enables its better comprehension. The method
makes it possible to compare both the measurable criteria and those non-measurable; moreover, pairwise comparison
of criteria is much easier. The method allows to control the compliance of comparison matrices, due to which greater
errors in the evaluation of the importance of particular criteria can be avoided. The AHP method has a vast range
of applications to decision making problems which require scheduling and prioritizing of solutions. Its drawbacks
include the relativity of expert opinions in specifying weights, especially when they use the 9-step comparison scale,
basic for the AHP, and the long time required by the expert evaluation. Another problem is caused by
the incompatibility of matrices resulting from the lack of logical consistency of comparisons and the change
of the original ordering of variants when an additional criterion is added or when an existing criterion is eliminated
(Rank inversal).
4. Summary
The times when decisions are related to investment costs only are drawing to a close. More and more frequently
when choosing a variant it becomes apparent that the costs and profits in the whole life cycle need to be considered
too. Yet even though the methods of computing LCC have been developed for a number of years, there is still
no single method that would reliably provide information which variant is the most advantageous for the investor.
Both the deterministic method and the fuzzy sets-based one include only the financial profitability aspect. On the
other hand, the AHP method, though it allows to use a variety of other criteria, has its flaws too.
Devising a hybrid method that would combine the advantages of all the described methods but limit their flaws
could be a valuable solution. The authors are currently working on such a method which will take into account both
life cycle costs and other evaluation criteria, including the risk inherent to construction projects.
References
[1] Ammar, Mohammad, Tarek Zayed, and Osama Moselhi. "Fuzzy-based life-cycle cost model for decision making under subjectivity." Journal
of Construction Engineering and Management 139.5 (2012): 556-563.
[2] Aye, Lu, et al. "Environmentally sustainable development: a life-cycle costing approach for a commercial office building in Melbourne,
Australia." Construction Management & Economics 18.8 (2000): 927-934.
[3] Goh, Kai Chen, and Jay Yang. "Incorporating sustainability measures in life-cycle financial decision making for highway construction."
Proceedings of New Zealand Sustainable Building Conference-SB10. 2010.
[4] Marszal, Anna Joanna, and Per Heiselberg. "Life cycle cost analysis of a multi-storey residential net zero energy building in Denmark."
Energy 36.9 (2011): 5600-5609.
[5] Plebankiewicz, Edyta. "Kierunki dziaa zmierzajcych do obniania kosztw w cyklu ycia budynkw miejskich." W A. Halicka (red.),
Budownictwo na obszarach zurbanizowanych: Nauka, praktyka, perspektywy. Lublin: Politechnika Lubelska. (2014).
[6] Sieglinde, K. Fuller, Amy S. Boyles. "Life-cycle costing workshop for energy conservation in buildings: Student manual. " (2000): Supersedes
NISTIR. 5165-99
[7] Sobanjo, J. O. "Facility life-cycle cost analysis based on fuzzy set theory. "Proceedings of the Eighth International Conference
on Durability of Building Materials and Components, Vancouver, Canada. Vol. 3. 1999.
[8] Vaidya O. S. , Kumar S., Analytic hierarchy process: An overview of applications, European Journal of Operational Research 169 (2006) 1
29.
[9] Wang, Weimin, Radu Zmeureanu, and Hugues Rivard. "Applying multi-objective genetic algorithms in green building design optimization."
Building and environment 40.11 (2005): 1512-1525.
[10] Wong, Ing Liang, Srinath Perera, and Philip C. Eames. "Goal directed life cycle costing as a method to evaluate the economic feasibility
of office buildings with conventional and TIfaades." Construction Management and Economics" 28.7 (2010): 715-735.
[11] Yi, Huang, and Huang Wen-jie. "Analysis of the Life Cycle Cost of the Power Plants Based on Analytic Hierarchy Process Method."
Information Management, Innovation Management and Industrial Engineering, 2009 International Conference on. Vol. 4. IEEE, 2009.
316
Mark-up size estimation in railway projects using the integration of

AHP and Regression Analysis Techniques
Gul Polat*, Seyda Baytekin, Ekin Eray
Istanbul Technical University, Istanbul, Turkey
Ictas Construction Co., Ankara, Turkey
Istanbul Technical University, Istanbul, Turkey
Abstract
The construction industry is commonly characterized by high level of competition. Since the large majority of the contractors win
jobs through the bidding process and the owners predominantly select the contractors, who offer the lowest bid price, estimating
the bid price accurately is critical for winning the contract and achieving business continuity. The bid price mainly consists of two
components, which are: the base estimate and the bid mark-up. In general, the bid mark-up is estimated as the percentage of the
base estimate based on the estimators intuitions and past experiences. While the base estimate is found to be more or less same
by competitor contractors, the offered bid prices greatly differ due to the variations in the bid mark-up size estimations. The bid
mark-up size is affected by several factors. Therefore, determining the appropriate bid mark-up size is a complex decision
problem. The main objective of this study is to propose an integrated approach, which may assist contractors in estimating the bid
mark-up size more accurately and systematically. The main steps in the proposed approach include: 1) identifying the factors that
may affect the bid mark-up size and categorization of these factors and developing a decision hierarchy of the mark-up size
estimation problem (i.e., identifying the main criteria and sub-criteria), 2) determining the weights of the main criteria and subcriteria in the mark-up size estimation problem using the Analytic Hierarchy Process (AHP) approach by top managers
considering the long-term strategies of the company, 3) identifying the importance levels of the main criteria and sub-criteria for
the projects for which the company management is willing to offer bids, 4) determining the overall risk score of the projects in
question by incorporating the weights and importance levels of the main criteria and sub-criteria, 5) estimating the bid mark-up
size using the regression analysis, and 6) measuring the performance of the developed regression model. The proposed approach
was applied in a contracting company, which is specialized in railway projects. Actual data of 10 railway projects completed in
foreign countries within the last five years were collected from the top managers and estimators of the studied company. It was
found that the bid mark-up size can be accurately estimated by the proposed approach.
Keywords: Analytic hierarchy process, bid mark-up, case study , railway projects, regression analysis.
1.
Introduction
In the bidding environment, contractors should win new contracts in order to achieve their business continuity.
Since owners generally tend to select the contractors, who offer the lowest bid price, estimating the bid price
accurately is critical. The bid price mainly comprises the direct costs (e.g., the costs of laborers, materials and
equipment) and indirect costs (e.g., field supervision cost) of the project in question. The bid mark-up consists of
general overhead cost, profit, and contingency. In general, the bid mark-up is estimated as the percentage of the base

E-mail address:polatgu@itu.edu.tr
317
estimate based on the estimators intuitions and past experiences. While the base estimate is found to be more or less
same by competitor contractors, the offered bid prices greatly differ due to the variations in the bid mark-up size
estimations. Therefore, determination of the right amount of bid mark-up is very important for contractors.
Determining the right amount of bid mark-up is a complex decision problem as it is affected by several factors.
The aim of this study is to propose an integrated approach, which may help contractors in estimating the bid mark-up
size more accurately and systematically. In the proposed approach, the analytical hierarchy process (AHP) method is
used to determine the weights of the factors that affect the bid mark-up size and the regression analysis method is
employed to estimate the bid mark-up size considering the weights of the factors and the importance levels of these
factors for the projects for which the contractors are willing to offer their bids. The proposed approach was applied in
a contracting company, which is specialized in railway projects. Actual data of 10 railway projects completed in
foreign countries within the last five years were collected from the top managers and estimators of the studied
company. It was found that the bid mark-up size can be accurately estimated by the proposed approach.
2.
Research Methodology
The main steps in the proposed approach include: 1) identifying the factors that may affect the bid mark-up size
and categorization of these factors and developing a decision hierarchy of the mark-up size estimation problem (i.e.,
identifying the main criteria and sub-criteria), 2) determining the weights of the main criteria and sub-criteria on the
mark-up size estimation problem using the Analytic Hierarchy Process (AHP) approach by top managers considering
the long-term strategies of the company, 3) identifying the importance levels of the main criteria and sub-criteria for
the projects for which the company management is willing to offer bids, 4) determining the overall risk score of the
projects in question by incorporating the weights and importance levels of the main criteria and sub-criteria, 5)
estimating the bid mark-up size using the regression analysis, and 6) measuring the performance of the developed
regression model.
2.1 The AHP Method
The Analytic hierarchy process (AHP) is one of the most commonly used multi criteria decision making method.
It was first developed by Thomas Saaty in 1980 [1]. There are four main steps in this method [2-3]. In the first step,
the decision hierarchy is established by identifying the problem goal, selection criteria and possible alternatives. In
the second step, decision maker(s) compare the importance of the selection criteria in pairs by using the nine-point
rating scale developed by Saaty (1980) [1]. Saaty's rating scale is represented in Table 1. In the third step, the
weights of the selection criteria are calculated by dividing each element in the pair-wise comparison matrices to the
sum of its own column. After that, arithmetic mean of each row is calculated. The result of this calculation represents
the weights of the selection criteria. In the last step, consistencies of the decision maker(s) judgments are measured.
For this purpose, Consistency Ratios (CRs) of the pair-wise comparison matrices are calculated. If the CR is less
than 0.1, it can be concluded that the decision maker(s) judgments are consistent. Otherwise pair-wise comparisons
should be re-made until the judgments become consistent.
Table 1. Saatys Rating Scale
Importance Level
1
3
5
7
9
2-4-6-8
Definition
Equal Importance
Somewhat more important
Much more important
Very much more important
Absolutely more important
Intermediate values
Explanation
Two factors contribute equally to the objective.
Experience and judgment slightly favor one over the other.
Experience and judgment strongly favor one over the other.
Experience and judgment very strongly favor one over the other.
Experience and judgment absolutely favor one over the other.
When compromise is needed.
2.2 Simple Regression Analysis

Regression analysis is a statistical method, which explains the cause and effect relationships between the
dependent and independent variables by establishing a linear equation [4]. A typical simple regression equation
between the dependent variable (Y) and the independent variable (X) is shown in Equation 1:
= +
318
(1)
Where X represents the independent variable, represents the predicted Y value for the X value, and a and b
represent the regression coefficients.
2.3 Performance Measurement of the Proposed Approach
In the literature, several criteria have been proposed to evaluate the performances of developed models. In this
study, correlation coefficient (R), coefficient of determination (R2), mean absolute percentage error (MAPE), and
root mean square error (RMSE) were used to measure the performance of the developed regression model.
Correlation coefficient (R) examines the direction and strength of the relationship between variables [5]. Coefficient
of determination (R2) measures the level of accuracy of the regression equation [6]. Mean Absolute Percentage
(MAPE) is the average of the percentage absolute errors. It can be calculated using Equation 2.
1

=
100
(2)
=1
where xi represents the actual value, yi represents the predicted value, and n represents number of the variables.
Root-mean-square error (RMSE) is a statistical measure of the differences between the values actually observed
from the thing being modelled or estimated and the values predicted by a model or an estimator.
1
= ( )2
(3)
where xi represents the actual value, yi represents the predicted value, and n represents number of the variables.
3.
Case Study
The proposed approach was applied in a contracting company, which is mainly specialized in railway projects.
The studied construction company has been working in the construction industry for 15 years, has 650 employees,
has completed the projects with the cost of $ 3.4 billion, submitted bids for the projects with the cost of $ 1.2 billion
in 2013, and the hit rate was 17% in 2013.
3.1 Identification of the Factors That May Affect the Bid Mark-Up Size in Railway Projects and Development of
the Decision Hierarchy
In the literature, there was no study focusing on the identification of the factors that may affect bid mark-up size
in railway projects. Therefore, an extensive literature review about the factors affecting bid mark-up size in
construction projects was conducted and numerous factors were identified. Then, the validity of these factors in
railway projects was discussed with the tendering engineers working in the studied company. As a result, it was
concluded that 35 factors may affect bid mark-up size in railway projects [7-17]. These factors were categorized into
6 main groups (i.e., Fi). The main and their constituent sub-factors (Fiy) are presented in the first column of Table 2.
It should be noted that these factors may vary from company to company depending on the specialization area, size,
financial status of the company, the market conditions, the economic conditions, etc.
Table 2. Factors affecting bid mark-up in railway projects
Main and Sub-Factors
F1. Project-related factors
F1.1 Size of the project
F1.2 Type of the project
F1.3 Type of the railway
F1.4 Duration of the project
F1.5 Weather and soil conditions
F2. Contract- related factors
F2.1 Type of contract
F2.2 Strict contractual terms and specifications
F2.3 High penalties in case of delay
F2.4 Guarantees & insurance & bonds
Weights* (%)
32.00
2.24
7.68
17.28
3.52
1.28
17.00
4.25
1.70
1.53
0.51
319
F2.5 Exchange risk

F2.6 Inflation risk
F2.7 Fluctuations in labor and material prices
F3. Bid documents-related factors
F3.1 Type of awarding
F3.2 Quality of the bid documents and specifications
F3.3 Uncertainties in the design documents
F4. Company-related factors
F4.1. Lack of necessary equipment that are needed for the project
F4.2. Difficulty in providing necessary materials and equipment in the host country
F4.3 Financial status of the company
F4.4 Company experience in similar types of projects
F4.5 Company' willingness to win the contract
F4.6 Company's headquarters expenses
F4.7 Possibility of creating long-term relationships with other owners by the project in question
F4.8 Possibility of increasing company's share in national and international markets by the project in question
F5. Country-related factors
F5.1 Geographical distance and cultural differences
F5.2 Bureaucratic difficulties in the host country
F5.3 Poor legal system in the host country
F5.4 Language barriers
F5.5 Travel costs of workers and other employees
F5.6 Difficulties of getting permits in the host country
F5.7 Political risks in the host country
F5.8 Security risks in the host country
F5.9 Low rate of investment
F5.10 Possibility of winning similar projects in the host country
F6. Competitor-related factors
F6.1 Number of the competitors in the market
F6.2 Expertise levels of the competitors
0.68
6.29
2.04
4.00
3.08
0.44
0.48
25.00
13.92
2.08
0.63
0.63
4.14
0.45
1.53
1.62
18.00
0.72
1.08
0.36
0.36
2.52
1.44
0.72
1.26
5.40
4.14
4.00
0.44
3.56
*The values are obtained from the AHP calculations.

3.2 Determination of the Weights of the Main and Sub-Factors Using the Analytical Hierarchy Process (AHP)
Having determined the factors that may affect the bid mark-up size in railway projects and developed the decision
hierarchy of the problem, the weights of the main factors and sub-factors in the mark-up size estimation problem
using the Analytic Hierarchy Process (AHP) approach by top managers considering the long-term strategies of the
company. Super Decision software program was used for AHP calculations and the results are presented in the
second column of Table 2. Based on these findings, "Type of the railway" (F1.3) has the highest importance
(17.28%) on the mark-up size estimation problem. "Lack of necessary equipment that are needed for the project"
(F4.1) (13.92%), and Type of the project" (F1.2) (7.68%) have also high importance. On the other hand, Poor legal
system in the host country (F5.3) (0.36%), and Language barriers (F5.4) (0.36%) are two the factors that have
very low impact on this problem.
3.3 Identification of the Importance Levels of the Factors for the Projects for Which the Company Management
is Willing to Offer Bids
Four tendering engineers were asked to rate the importance level of 35 factors for 10 international railway
projects that were constructed by the studied company in the last 5 years on a scale of 0-5, where 0 represents no
importance and 5 represents the highest importance. The general characteristics of 10 international railway projects
are presented in Table 3.
Table 3. General characteristics of the international railway projects that were constructed by studied company
Characteristics of the projects
Project type
High-speed rail line
Intracity rail system
Intercity rail system
Branch line
Line type
Ballasted track
Embedded in concrete lines
Freq.(%)
10
20
70
0
70
30

Employer
Public sector
Private sector
Duration of the contract
<12 months
12-24 months
>24 months
No. of the bidder
320
Freq.(%)
70
30
10
50
40

Total cost of the project
0-20 Million TL
21-40 Million TL
41-200 Million TL
201-350 Million TL
Does the company provide the
material?
Yes
Freq. (%)
10
0
70
20
50
Country
Saudi Arabia
Gabon
Bulgaria
Mongolia
Iraq
Role in the project
Prime contractor
Joint-venture company
Subcontractor
60
10
10
10
10
30
50
20
1-5
>6
% of advance payments
0% - 9%
10 % - 14 %
Direct cost of the project
0-20 Million TL
21-40 Million TL
41-200 Million TL
201-350 Million TL
70
30
No
Provider of project financing
Employer
Contractor
Are infrastructure works included
in the project?
Yes
No
Is the construction work under traffic?
Yes
No
10
90
10
20
60
10
50
80
20
20
80
50
50
3.4 Determination of the Overall Risk Score of the Studied Projects By Incorporating the Weights and
Importance Levels of the Main Criteria and Sub-Criteria
After identifying the importance levels of 35 factors for the studied 10 projects, the overall risk scores of the
studied projects were calculated. For this purpose, each factors weight obtained from the AHP calculations was
multiplied by the importance level of this factor determined by four tendering engineers for the project in question
and then the sum is taken.
3.5 Estimation of the Bid Mark-Up Size Using the Regression Analysis
After calculating the overall risk scores of the studied projects, a simple regression analysis was conducted
among the overall risk scores of the projects and the actual mark-up size allocated for the studied projects. In this
analysis, the overall risk scores of the projects are defined as the independent variable and the actual mark-up size
allocated for the studied projects are defined as the dependent variable. Simple regression analysis was carried out
via Statistical Package for the Social Sciences (SPSS) software program. The regression analysis yielded the formula
presented in Equation 4.
= 0.174 + 1.235
(4)
In this equation, Y is the estimated mark-up size and X is the overall risk score of the project.
By using Equation 4, the estimated mark-up sizes for the studied international railway projects were calculated.
The estimated mark-up sizes for the studied projects are presented in Table 4 with the projects actual mark-up size
and calculated overall risk scores.
Table 4. Results of the simple regression analysis
Project No
1
2
3
4
5
6
7
8
9
10
Overall risk score

3.6191
3.4652
3.4255
3.3752
3.0908
3.0708
3.0494
2.9754
1.6538
1.6475
Actual Mark-up size

1.946
1.802
1.798
1.795
1.793
1.793
1.773
1.705
1.540
1.516
Estimated Mark-up size

1.86
1.84
1.83
1.82
1.77
1.77
1.77
1.75
1.52
1.52
3.6 Performance Measurement of the Developed Regression Model

In order to measure the prediction performance of the developed regression model, correlation coefficient (R),
coefficient of determination (R2), mean absolute percentage error (MAPE), and root mean square error (RMSE) were
calculated. The results are shown in the Table 5.
Table 5. Performance of the regression model
Coefficient of correlation (R)
Coefficient of determination (R2)
321
0.954
0.911
MAPE
1.677
RMSE
0.0366
Coefficient of correlation (R) was calculated as 0.954, which means that there was a linear relationship between
the actual mark-up size and the overall risk scores of the projects. Coefficient of the determination (R2) was
calculated as 0.911, which means that the overall risk scores of the projects highly explain the differences between
actual mark-up sizes and estimated mark-up sizes of these projects. MAPE measures the accuracy of the model.
Since MAPE was calculated as 1.677%, which is less than 10%, the proposed model can be accepted as successful.
In this model, RMSE was calculated as 0.0366, thus it can be stated that the error rate of the model is satisfactory.
4.
Conclusions
Since there are several factors that may affect bid mark-up estimating the right size is not an easy task. In this
study, an integrated approach was proposed to help construction companies in estimating the bid mark-up size more
accurately and systematically. The proposed approach consists of 6 main steps, which are; 1) identifying the factors
that may affect the bid mark-up size and categorization of these factors and developing a decision hierarchy of the
mark-up size estimation problem (i.e., identifying the main criteria and sub-criteria), 2) determining the weights of
the main criteria and sub-criteria in the mark-up size estimation problem using the Analytic Hierarchy Process
(AHP) approach by top managers considering the long-term strategies of the company, 3) identifying the importance
levels of the main criteria and sub-criteria for the projects for which the company management is willing to offer
bids, 4) determining the overall risk score of the projects in question by incorporating the weights and importance
levels of the main criteria and sub-criteria, 5) estimating the bid mark-up size using the regression analysis, and 6)
measuring the performance of the developed regression model. The case study revealed that the bid mark-up size can
be accurately estimated by the proposed approach.
References
[1] T. L. Saaty, The Analytic Hierarchy Process, McGraw Hill International, New York, 1980.
[2] J. E. De Steiguer, J. Duberstein, V. Lopes, The Analytic Hierarchy Process as a Means for Integrated Watershed Management. Proceedings of
the 1st Interagency Conference on Research on the Watersheds, US Department of Agriculture, Agricultural Research Service, Benson,
Arizona, (2003) 736-740.
[3] I. Palcic, B. Lalic, Analytical Hierarchy Process as a Tool for Selecting and Evaluating Projects. International Journal of Simulation
Modelling, 8 (2009) 16-26
[4] A.F. zeki, Trk Yklenicilerinin Uluslararas Teklif Aamasnda Kullanabilecei Bir Sre Maliyet Modeli, Master Thesis, Istanbul
Technical University, stanbul (2007).
[5] E. Uysalol, Uluslararas naat Firmalarnn Teklif Karar Verme Srecini Etkileyen Faktrlerin Aratrlmas Ve Adaptif A Tabanl Bulank
karm Sistemi Tahminleme Yntemi le Bir Karar Verme Modeli Oluturulmas, Master Thesis, Istanbul Technical University, stanbul
(2011).
[6] M.Dzcan, Uluslararas halelerde Risk Priminin Saptanmasnda Bulank Mantk Yaklam, Master Thesis, Istanbul Technical University,
stanbul, (2010).
[7] A.Gen, Uluslararas naat Projelerinde Katk Paynn Bulank Mantk le Modellenmesi, Master Thesis, Istanbul Technical University,
stanbul, (2012).
[8] I. Ahmad, I. Minkarah, Questionnaire Survey on Bidding in Construction, Journal of Management in Engineering ASCE, 4 (1988) 229-243.
[9] A. A. Shash, Factors considered in tendering decisions by top UK contractors. Construction Management & Economics, 11 (1993) 111-118.
[10] D. Drew, M. Skitmore, The effect of contract type and size on competitiveness in bidding, Construction Management and Economics, 15
(1997) 469-489.
[11] A. Fayek, Competitive Bidding Strategy Model and Software System for Bid Preparation, Journal of Construction Engineering and
Management, 124 (1998) 1-10.
[12] M. Wanous, A.H. Boussabaine, J. Lewis, To bid or not to bid: a parametric solution, Construction Management and Economics, 18 (2000)
457-466.
[13] D. Drew, M. Skitmore, H.P. Lo, The effect of client and type and size of construction work on a contractor's bidding strategy, Building and
Environment, 36 (2001) 393-406.
[14] M.F. Dulaimi, H.G. Shan, The factors influencing bid mark-up decisions of large and medium size contractors in Singapore, Construction
Management and Economics, 20 (2002) 601-610.
[15] S. Lee, L. Chang, Bid-markup determination for microtunneling projects, Tunnelling and Underground Space Technology, 19 (2004) 151163.
[16] M. Liu, Y.Y. Ling, Modeling a Contractor's Markup Estimation, Journal of Construction Engineering and Management, 131 (2005) 391-399.
[17] I. Dikmen, M.T. Birgnl, A.K. Gr, A case-based decision support tool for bid mark-up estimation of international construction projects,
Automation in Construction, 17 (2007) 3044.
322
An integrated approach using AHP-ER to supplier selection in

railway projects
Gul Polat*, Ekin Eray
Gul Polat, Istanbul Technical University, Istanbul, Turkey
Ekin Eray, Istanbul Technical University, Istanbul, Turkey
Abstract
Success in the construction projects can be simply described as finishing the construction work on time, within the budget and
with the desired quality. Achieving the delivery of the right amount of materials on the right time and with the desired quality
plays a critical role on the project success. Moreover, the cost of materials constitutes approximately 40% of the overall project
budget. Therefore, selecting the right supplier for the right material is crucial. In the literature, there are several studies dealing
with the supplier selection problem. These studies can be categorized into two main groups, which are; 1) the studies that aim to
investigate the criteria that may be considered in the supplier selection process and to determine these criteria importance levels,
and 2) the studies that aim to propose various tools, methods and methodologies for selecting the right supplier. Each of these
previous studies has considerably improved the supplier selection process. The aim of this study is to propose an integrated
approach, which integrates analytic hierarchy process (AHP) and evidential reasoning (ER), to help construction companies in
selecting the most appropriate supplier in their projects. In the proposed approach, the AHP method is used to find the weights of
the selection criteria and the ER method is used to rank the alternative suppliers. The proposed approach is also applied to a
problem of selecting the rail supplier for an intercity railway project in Saudi Arabia. In the case study, five different rail suppliers
are ranked according to eight evaluation criteria by using the proposed approach. The findings revealed that the proposed
approach can easily be employed by construction companies.
Keywords: Analytic hierarchy process, case study, evidential reasoning, supplier selection.
1. Introduction
The main responsibility of the suppliers in construction projects is to deliver the requested amount of materials on
the right time, with the desired quality, and within the estimated budget. Any problem that occurs during the material
delivery process, e.g., delivering wrong amount of material, delivering materials that do not meet quality
requirements, delivering materials later than needed, etc., may cause severe delays and cost overruns in the projects.
Moreover, the cost of materials constitutes approximately 40% of the overall project budget.
Since successful completion of a construction project is highly dependent on working with the right supplier,
selecting the right supplier, who is the responsible for delivering the requested materials, is very important. Thus,
supplier selection process should be made based on sound analyses rather than just project managers subjective
judgments.
In the construction management literature, a great number of studies can be found that deal with the supplier
selection problem. Numerous articles that focus on this subject have been published since the 1960s. These studies
E-mail address:polatgu@itu.edu.tr
323
can be categorized into two main groups; 1) the studies that aim to investigate the criteria that may be considered in
the supplier selection process and to determine these criteria importance levels, and 2) the studies that aim to
propose various tools, methods and methodologies for selecting the right supplier.
Studies in the first group are generally based on a study, which was published by Dickson in 1966 [1]. Dickson
(1966) [1] identified 23 different supplier selection and evaluation criteria, and carried out a questionnaire survey
among 273 purchasing agents and managers in the United States and Canada. According to the findings of this study,
quality, delivery, and performance history were found as the three most important supplier selection criteria,
respectively. Following the study of Dickson, several studies were carried out in different industries and in those
studies the criteria offered by Dickson (1966) [1] were used. In the construction industry, Ho et al. (2007) [2],
Schram and Morais (2012) [3], Patil and Adavi (2012) [4] aimed to investigate the criteria that may be considered in
the supplier selection process and they proposed 29, 9 and 11 criteria for supplier selection problem, respectively.
In the literature, there are several studies that offer different decision making techniques for the supplier selection
problem. Ghodsypour and Brien (1996) [5] proposed the integration of AHP and Linear Programming. Liu et al.
(2000) [6] employed Data envelopment analysis. Chen et al. (2006) [7] proposed the Fuzzy TOPSIS method.
Dagdeviren and Eraslan (2008) [8] used the PROMETHEE method. Guan et al. (2013) [9] proposed the integration
of fuzzy matter-element model and AHP methods.
The aim of this study is to propose an integrated approach to help construction companies in selecting the most
appropriate supplier for their projects. The integrated approach includes two different multi-criteria-decision-making
methods, which are analytic hierarchy process (AHP) and Evidential Reasoning (ER). In the proposed approach the
AHP method is used for calculating the weights of the selection criteria, and the ER method is used to rank the
alternative suppliers.
2. Principles of the AHP and the Evidential Reasoning Methods
2.1. The AHP Method
The Analytic hierarchy process (AHP) was developed by Thomas Saaty, and has become one of the most
commonly used multi criteria decision making methods [10]. The AHP method consists of four main steps, which
are; development of the decision hierarchy, establishment of the pairwise comparison matrix, calculation of the
weights of the criteria, and calculation of the consistency ratio [11-12].
Step 1: Problem hierarchy is established by identifying the problem goal, selection criteria and possible
alternatives. Several levels (i.e., main criteria, sub-criteria, etc.) can be added to the decision hierarchy in order to
represent the decision problem in details.
Step 2: Pairwise comparisons are made after developing the decision hierarchy. Decision maker(s) compare the
importance of the selection criteria in pairs according to the goal of the decision problem using the nine-point rating
scale developed by Saaty (1980) [10]. Saaty's rating scale is represented in Table 1. If there are more than one
decision maker in the problem, than their judgments in the pairwise comparison matrices should be aggregated using
the geometric mean.
Table 1. Saatys Rating Scale
Level of
importance
1
3
5
7
9
2-4-6-8
Definition
Equal Importance
Somewhat more important
Much more important
Very much more important
Absolutely more important
Intermediate values
Explanation
Two factors contribute equally to the objective.
Experience and judgment slightly favor one over the other.
Experience and judgment strongly favor one over the other.
Experience and judgment very strongly favor one over the other.
Experience and judgment absolutely favor one over the other.
When compromise is needed.
Step 3: After completing the pairwise comparison matrices, the weights of the criteria are calculated. In order to
calculate the weights, each element in the pairwise comparison matrix is divided to the sum of its own column. Then,
the arithmetic mean of each row is calculated. The values obtained from this calculation represent the weights of the
criteria.
Step 4: The last step in the AHP method is to calculate the Consistency Ratio (CR) in each pairwise comparison
matrix. CR measures how consistent the decision maker's judgments are. If CR is less than 0.1, then the judgments of
324
the decision maker(s) can be accepted as consistent. On the other hand, if CR is greater than 0.1, the decision
maker(s) are requested to re-make the pairwise comparisons until the judgments become consistent.
2.2. The Evidential Reasoning Method
Evidential Reasoning (ER) method was first developed by Lowrence, Garvey and Strat in 1986 [13]. This method
is different from other multi-criteria-decision making methods as it is mainly based on Dempster-Schafer theory of
evidence and decision theory. Both quantitative and qualitative data can be used in this method. Belief structure and
belief decision matrix are employed in the ER method, which enable decision maker(s) to model the uncertainties
inherent in information [13-14].
Steps of the ER method are as follows [14]:
Step 1: Problem hierarchy is created by defining the assessment criteria and alternatives. In this step, a belief
decision matrix is defined by using the criteria weight and utility. Different types of data can be used when
evaluating the alternatives according to the assessment criteria such as precise numbers, interval numbers, belief
structures, etc.
Step 2: In this step, different types of evaluation data are transformed to a common framework using rule or utility
based information transformation techniques in order to make comparison and aggregation.
Step 3: The ER algorithm is employed to aggregate all type of information. In this step, the alternatives are ranked
considering the weights of the assessment criteria and the evaluations of alternatives according to these criteria.
3. A numerical application of the proposed approach
The proposed approach was applied to a rail supplier selection problem for an intercity railway project, which was
built between Jubail and Dammam cities in Saudi Arabia. The length of the railway project was approximately 85
kilometers, the estimated cost of the project was 50.000.000, and the anticipated project duration was 18 months.
Due to the nature of the construction industry, supplier selection criteria may vary from project to project as each
project has its own characteristics. In order to determine which of the potential supplier selection criteria should be
taken into account in the selection of the rail supplier in the studied project, interviews with four tendering engineers,
who were in charge of supplier selection process in the contacting company, were carried out. Based on the
interviews with these decision makers, it was found that eight selection criteria, namely quality of the product (C1),
delivery time (C2), relationship with the supplier (C3), unit price of the product (C4), flexibility in payment
conditions (C5), communication with the supplier (C6), production capacity (C7) and technical competence of the
supplier (C8), were taken into account during the railway supplier selection process. These decision makers also
stated that there were five alternative rail suppliers in the shortlist for the studied project. The decision hierarchy is
presented in Figure 1.
Goal
Rail Supplier Selection
C1
C2
A1
C3
C4
A2
C5
A3
C6
A4
C7
C8
A5
Criteria
Alternatives
Figure 1: The decision hierarchy of rail supplier selection problem
After developing the decision hierarchy, a questionnaire, which includes two sections, was designed. In the first
section of the questionnaire, the decision makers were asked to compare the supplier selection criteria in pairs using
the Saaty's rating scale shown in Table 1. In the second section of the questionnaire, the decision makers were asked
to evaluate the alternative rail suppliers according to each assessment criterion using the 9 point scale, where 1
denotes for Very Bad and 9 denotes for Very Good. The 9 point scale used to evaluate the alternative suppliers is
325
Table 2. 9 Point scale used for supplier evaluation

Linguistic Variable
Numerical value
Very Bad (VB)

Very Bad-Bad (VB-B)
1
2
Bad (B)
Bad-Average (B-A)
Average (A)
3
4
5
Average-Good (A-G)
Good (G)
Good-Very Good (G-VG)
6
7
8
Very Good (VG)
Since there were more than one decision maker, group decision making techniques were used in the AHP
calculations. In order to aggregate the judgments of the decision makers, geometric mean of their evaluations was
used.
3.1. Determining the weights of the criteria using the AHP Method
After aggregating the decision makers' judgments using the geometric mean, the AHP method was used for
calculating the weights of the criteria using Super Decision software program. The results of the AHP method are
presented in Table 3. The consistency ratio of this matrix was calculated and found as 0.03, which is lower than 0.10.
Thus, the pairwise comparison matrix was found to be consistent.
Table 3. Pairwise comparison matrix and weights of the criteria
C1
C2
C3
C4
C5
C6
C7
C8
C1
1.00
C2
1.48
1.00
C3
2.63
5.18
1.00
C4
0.56
0.50
0.15
1.00
C5
1.46
1.73
0.33
2.63
1.00
C6
2.06
5.18
1.00
6.19
3.31
1.00
C7
1.86
2.11
1.19
3.35
1.68
0.71
1.00
C8
1.41
1.28
0.31
1.41
0.31
0.27
0.36
1.00
Weight
0.15
0.17
0.05
0.26
0.10
0.04
0.06
0.17
CR:0.03
According to the results presented in Table 3, "unit price of the product" (C4) has the highest weight (26%) in the
rail supplier selection problem in the studied project. "Delivery time" (C2) (17%), "technical competence of the
supplier" (C8) (17%), and "quality of the product" (C1) (15%) have also high weights. On the other hand,
"relationship with supplier" (C3) (5%) and "communication with supplier" (C6) (4%) have the low impact on this
problem.
3.2. Calculating the ranking of the alternative suppliers using the ER method
Four decision makers (DMs) evaluated the alternative rail suppliers according to 8 assessment criteria using the 9
point evaluation scale shown in Table 2. Evaluation results of the decision makers are presented in Table 4.
Table 4. Evaluation matrix of the suppliers
DM # Alternatives
DM-1
DM-2
A1
A2
A3
A4
A5
A1
A2
A3
Assessment Criteria
C1
C2
C3
C4
C5
C6
C7
C8
A-G
A
G
A-G
G
VG
B-A G-VG
VG
G
B-A
B-A
B-A
B-A
G
VG
G-VG A-G
B
A
B
B-A
B-A G-VG
G-VG
A
G
G
G-A
A-G
A
A-G
G
G-VG
A
B-A
B
A
G-VG
A
G
B
G-VG A-G
A-G
VG
A
G
VG
G
G-VG VB-B B-A VB-B G-VG G-VG
VG
A-G
B
A
G
A
B-A
A-G
326
DM-3
DM-4
A4
A5
A1
A2
A3
A4
A5
A1
A2
A3
A4
A5
A-G
B
A-G
G
A-G G-VG B-A
A
A-G G-VG
A
B-A
G
B-A G-VG
A
A-G
B
G-VG A-G
G
VG
B
G
VG
A
A
B
B-A
B-A
G
G-VG
G-VG A-G
B
A-G
A
B-A
A
G-VG
G
B
G
G
A-G G-VG B-A
A-G
A-G G-VG B-A
A
A
B
G
A-G
G
B-A
G
G
G-VG G-VG B-A
G
VG
G
B-A
B-A
A-G
B-A
A-G G-VG
A-G
A-G
B
A-G
A-G
B-A
B
G
G
B-A
A-G G-VG G-VG
G
A
A-G
A-G G-VG B-A
A
A-G
B
G
A
In this study, IDS-Intelligent Decision System for Multiple Criteria Assessment software program was used in
order to rank the alternative suppliers using the ER method. In this method, first, the assessment criteria and
alternatives were identified and the decision hierarchy was established. Second, the alternatives were evaluated on a
9 point evaluation scale presented in Table 2. The ER technique uses belief degrees to solve decision making
problems. Data gathered from the decision makers were as a type of belief structures (e.g., 2 decision makers can
evaluate an alternative as Good, while 8 other decision makers can evaluate the same alternative as Average,
then this type of assessment can be expressed as {(Good, 0.20), (Average, 0.8)} as a belief structure). For example,
belief degree of the first alternative supplier (A1) for product quality criterion (C1) is observed from Table 4 as
{(A-G, 0.50), (G, 0.50)} and belief degree of the third alternative supplier (A3) for the same criterion is {(A-G,
0.25), (G-VG, 0.50), (VG, 0.25)}. After imputing the belief degrees of the alternatives, criteria weights obtained
from the AHP method (see Table 3) were defined. Data input system of the IDS program is presented in Figure 2.
Figure 2: Data input system of the IDS program
Having identified all data regarding the weights of the criteria and evaluations of alternative suppliers according
to assessment criteria, ranking of the alternatives was calculated. Ranking results of the alternatives are shown in
Table 5. According to the ranking results, the first supplier alternative 1 (A1) is suggested as the best rail supplier,
which was followed by supplier alternatives A4, A3, A2 and A5, respectively, for the studied railway project.
Table 4. Evaluation matrix of the suppliers
Alternatives
Average score
Ranking
A1
A2
0.6439
0.6113
1
4
A3
0.6175
A4
A5
0.6373
0.5840
2
5
327
After obtaining the ranking results of the supplier selection problem in the studied project, the findings were
discussed with the decision makers. They stated that they had been planning to work with either the first supplier
alternative (A1) or the fourth supplier alternative (A4), and they would work with the first supplier alternative (A1)
based on the findings of this study. Actually, they chose the first supplier alternative (A1) in the studied project.
After the completion of the project, the decision makers stated that they did not experience any serious problems
when they worked with the first supplier alternative (A1). The meeting with the decision makers revealed that the
proposed approach worked properly for the supplier selection problem and it could easily be employed by
construction companies.
4. Conclusion
In this study, an integrated approach that employs the AHP and ER methods was proposed to help construction
companies in the supplier selection process. The proposed approach was applied to the rail supplier selection problem
in an intercity railway project, which was built in Saudi Arabia. In the studied project, 5 different rail suppliers were
evaluated according to 8 assessment criteria. In the proposed approach, the AHP method was used to calculate the
weights of the assessment criteria and the ER method was used to rank the supplier alternatives based on the weights
of the assessment criteria and the evaluation results of the alternatives. Based on the findings of the ER method, the
first supplier alternative (A1) was found to be the most appropriate rail supplier, while the fifth supplier alternative
(A5) was found to be the worst rail supplier for the studied intercity railway project. When these findings were
discussed with the decision makers, they stated that these findings were very reasonable, as they had been planning to
work with either the first supplier alternative (A1) or the fourth supplier alternative (A4). In the studied project, they
actually worked with supplier # 1 (A1) and did not experience any serious problems. In future studies, the fuzzy AHP
method can be used instead of the AHP method in order to incorporate the uncertainties inherent in the evaluation
process.
Acknowledgments
This research was supported by Istanbul Technical University (Scientific Research Project No. 37970).
References
[1] G.W. Dickson, An analysis of vendor selection systems and decisions, Journal of Purchasing, (1966) 5-17.
[2] C. Ho, P.M. Nguyen, M.H. Shu, Supplier Evaluation and Selection Criteria in the Construction Industry of Taiwan and Vietnam, Information
and Management Sciences, 18 (2007) 403-426
[3] F. Schramm, D.C. Morais, Decson Support Model for Selectng and Evaluatng Supplers in the Constructon Industry, Pesquisa Operacional,
32 (2012) 643-662
[4] S. Patil, P.R. Adavi, A Survey Study Of Supplier Selection Issues In Construction Supply Chain, International Journal of Engineering
Research and Applications (IJERA), 2 (2012) 1806-1809
[5] S.H. Ghodsypour, C. OBrien, A decision support system for supplier selection using an integrated analytic hierarchy process and linear
programming, Int. J. Production Economics (1998) 199-212
[6] J. Liu, F.Y. Ding, V. Lall, Using Data Envelopment Analysis to Compare Suppliers for Supplier Selection and Performance Improvement,
Supply Chain Management An International Journal, 5 (2000) 143-150
[7] C.T. Chen, C.T. Lin, S.F. Huang, A fuzzy approach for supplier evaluation and selection in supply chain management, Int. J. Production
Economics. 102 (2006) 289301
[8] M. Dadeviren, E. Eraslan, Promethee Sralama Yntemi le Tedariki Seimi, Gazi niv. Mh. Mim. Fak. Der., (2008). vol 23, No 1, 69-75
[9] J. Guan, Z. Zhang, Y. Wu, Using Fuzzy Matter-element Model and Triangular Fuzzy AHP Method to Select the International Construction
Project Material Suppliers, Applied Mechanics and Materials, 357-360 (2013) 2277-2281
[10] T. L. Saaty, The Analytic Hierarchy Process, (1980) McGraw Hill International, New York.
[11] J. E. De Steiguer, J. Duberstein, V. Lopes, The Analytic Hierarchy Process as a Means for Integrated Watershed Management. Proceedings of
the 1st Interagency Conference on Research on the Watersheds, US Department of Agriculture, Agricultural Research Service, Benson,
Arizona, (2003) 736-740.
[12] I. Palcic, B. Lalic, Analytical Hierarchy Process as a Tool for Selecting and Evaluating Projects. International Journal of Simulation
Modelling, 8 (2009) 16-26
[13] J.D. Lowrance, T.D. Garvey, T.M. Strat, A Framework for Evidential Reasoning System, Proceedings of the 1986 AAAI Conference, (1986)
896-903,
[14] M.R. Bazargan-Lari, An evidential reasoning approach to optimal monitoring of drinking water distribution systems for detecting deliberate
contamination events. Journal of Cleaner Production 78 (2014) 1-14.
328
Subcontractor selection using genetic algorithms

Gul Polata, Bars Kaplanb, and Befrin Neval Bingolc
a
Associate Professor (Istanbul Technical University, Istanbul, 34469, Turkey)

b
Graduate Student (Istanbul Technical University, Istanbul, 34469, Turkey)
c
Research Assistant (Istanbul Technical University, Istanbul, 34469, Turkey)
Abstract
In the construction industry, subcontracting is a very common practice. Nowadays, most of the general contractors tend to sublet
the large portions of construction works to subcontractors and they only act as construction management agencies. In other words,
while subcontractors carry out the actual production work, general contractors organize and coordinate the subcontractors and
control their works in terms of time, cost and quality. In the construction industry, since the general contractors are responsible to
the owners for the works carried out by the subcontractors, the general contractors should select the most appropriate
subcontractors for the work packages that constitute the entire project. In the literature, there are a great number of studies that
focus on subcontractor selection practices in the construction industry. These studies can mainly be categorized into two groups,
which are; 1) the studies that aim to identify the subcontractor selection criteria and their importance levels, and 2) the studies that
aim to propose tools, techniques and/or methodologies for subcontractor selection. The common point of the studies in the second
category is that they all focus on selecting the most appropriate subcontractor for one work package in the project. For instance, if
the case is the airport construction project, the construction of car park may be one work package. In this study, selection of
subcontractors for the all work packages in a construction project is made using genetic algorithm technique considering time,
cost and quality performances. A real-life construction project is selected as a case study and the actual data regarding alternative
subcontractors are collected. The subcontractors for all work packages were selected successfully using the genetic algorithm
technique.
Keywords: case study; genetic algorithms; subcontractor selection; time-cost-quality trade-off.
1. Introduction
Nowadays, most of the general contractors tend to sublet the large portions of construction works to
subcontractors, and they only act as construction management agencies [1-6]. In other terms, they just control and
coordinate the works of subcontractors and are responsible for site organization. In construction projects, especially
in building projects, approximately 90% of the construction work is carried out by subcontractors [7]. There are
several reasons behind this high level of subcontracting, which are; (1) complexity of the construction projects, (2)
need for expertise in certain work packages, (3) need for skilled labor to carry out several construction activities, (4)
need for specialized equipment, (5) utilization of specialized subcontractors for shortening time, increasing quality
and decreasing cost, (6) solving cash flow and project financing problems, and (7) sharing risks with subcontractors
to protect themselves from uncertainties and unstable conditions of the market [8-11]. Even though actual production
works are performed by subcontractors, the general contractor is fully responsible for the works of the subcontractors
to the owner.
329
Since the success of a general contractor in a construction project mainly depends on the performances of the
subcontractors [15], selecting the right subcontractor for the right job is critical for not only for the successful
completion of the project in question but also for the reputation and business continuity of the general contractor
[2,10,14,16,17]. In the literature, there are a great number of studies that focus on subcontractor selection practices in
the construction industry. These studies can mainly be categorized into two groups, which are; 1) the studies that aim
to identify the subcontractor selection criteria and their importance levels [e.g., 1,2,5,10,11,14,17], and 2) the studies
that aim to propose tools, techniques and/or methodologies for subcontractor selection [e.g., 2,12,13].
The common point of the studies in the second category is that they all focus on selecting the most appropriate
subcontractor for one work package in the project. However, in real life, general contractors usually divide
construction projects into major work packages and sublet most/all of these work packages to the subcontractors,
who are selected through bidding or negotiation. Since the overall performance of the project is directly affected by
the performances of the subcontractors, who undertake different work packages in the construction project, the
interactions between all subcontractors should be considered during the subcontractor selection process. There are
only limited studies [18,19], which consider the subcontractor selection process as a whole and take into account the
interactions between the subcontractors, who are in charge of carrying out different work packages in the project,
during the subcontractor selection process.
The main objective of this study is to develop a multi objective optimization model to assist general contractors in
selecting the most appropriate subcontractors for all work packages based on time-cost-quality performances using
the genetic algorithm. The proposed model enables general contractors to select the optimal subcontractor
combination for all work packages by considering the interactions between the subcontractors and their impacts on
the overall project performance in terms of time, cost and quality.
2.1. Genetic Algorithms
Genetic algorithm (GA) was first developed by John Holland in the early 1970s [20,21]. It starts with creating an
initial population, which represents a set of solution for the problem and uses a process similar to biological
evolution for improving initial solutions [22]. Each individual represents a candidate solution in the form of a string
called chromosome, and each chromosome consists of genes, which contain a set of values of decision variables.
There are four main steps in GA: (1) creating an initial population, (2) selecting the best individual based on the
fitness function of the optimization problem, (3) applying crossover to generate new individuals for the next
generation, and (4) utilizing mutation on the new individuals to obtain diversification in the next generation [23]. The
control parameters of genetic algorithm were studied using with different test problems by several researchers (See
Table 1).
Table 1. Proposed control parameter values for genetic algorithm .
Control Parameter
Population Size
Crossover Rate
Mutation Rate
De Jong [24]
50-100
0.60
0.001
Schaffer [25]
20-30
0.75-0.95
0.005-0.01
Grefenstette [26]
30
0.95
0.01
There are different types of genetic algorithms such as VEGA, WBGA, NPGA, NSGA and NSGA-II. In this
study, NSGA-II algorithm is used to provide general contractors with non-dominated optimal solutions from which
they can select the best compromise solution based on the objectives of the construction project in question.
2.2. Case Study
This study deals with subcontractor selection problem of a trade center project, which was built in Samandira,
Istanbul, Turkey in 2014. The owner of the project is one of the largest healthcare groups doing business in Turkey.
The estimated construction cost was 15,869,770.00 TL, the total construction area was 2,000 m2, the anticipated
duration for the project was 500 days, and the contract type was turn-key. The owner of the project gave permission
for using the actual data of the case study in this research. The general contractor of the studied project divided the
tasks into 20 main work packages (i.e., A,,U) and aimed to sublet all these work packages to subcontractors. The
330
predecessor and successor relationships between these work packages are presented in the network diagram in Figure
1. In the studied project, the general contractor evaluated the subcontractors in terms of their cost, time and quality
performances. The general contractor requested bid submittals from three subcontractor candidates (i.e., Option_j)
for each work package. The bid submittals included the duration and bid price offered for the work package. The
general contractor subjectively assessed the quality performances of the subcontractor candidates. The duration, bid
price and quality data obtained for all subcontractor candidates of 20 work packages are given in Table 2.
Figure 1. Work packages network diagram.
20 work packages, which are included in the studied project, are as follows; A: Excavation works, B: Insulation
works, C: Core construction works, D: Brick laying, E: Facade works, F: Elevator assembly, G: Plaster works, H:
Mechanical works, I: Electrical works, J: Screed works, K: Plasterboard works, L: Epoxy coating, M: Marble coating
works, N: Indoor insulation works, O: Ceramic tiles works; P: Door assembling, R: Painting works, S: Furniture and
sanitary work, T: Carpet works, and U: Landscaping.
Table 2. Time, Cost, Quality Performances of Subcontractor Options According to the Work packages.
Work
Packages
A
B
C
D
E
F
G
H
I
J
K
L
M
N
O
P
R
S
T
U
Subcontractor Option_1
Duration Bid Price
(days)
(TL)
90
2,700,800.00
60
369,700.00
120
3,269,500.00
30
185,400.00
120
912,200.00
90
554,400.00
30
236,400.00
120
1,268,500.00
120
1,039,500.00
20
267,200.00
50
395,500.00
20
175,700.00
15
123,000.00
15
88,800.00
20
148,300.00
15
142,900.00
45
225,500.00
20
281,200.00
20
1,386,300.00
60
175,500.00
Quality
(%)
74
79
71
87
90
85
72
77
82
70
88
74
77
86
88
79
81
95
87
91
Duration Bid Price
(days)
(TL)
95
2,680,700.00
68
362,500.00
130
3,190,800.00
33
180,200.00
125
889,900.00
95
550,800.00
33
233,700.00
130
1,270,200.00
125
1,090,100.00
27
262,900.00
55
390,400.00
18
172,200.00
14
120,800.00
13
92,200.00
18
152,600.00
16
137,700.00
42
230,000.00
25
278,600.00
26
1,340,100.00
55
180,200.00
Quality
(%)
70
77
69
86
85
83
70
85
89
75
92
68
72
91
91
75
77
90
82
85
Duration Bid Price
(days)
(TL)
100
2,590,000.00
72
354,800.00
140
3,050,900.00
35
173,600.00
130
877,400.00
100
549,600.00
36
231,900.00
135
1,310,000.00
130
1,100,700.00
32
259,600.00
60
388,200.00
15
168,400.00
13
118,600.00
12
95,000.00
16
155,000.00
19
136,300.00
35
232,100.00
30
265,800.00
32
1,288,400.00
50
182,000.00
Quality
(%)
68%
75%
65%
83%
80%
80%
69%
95%
93%
78%
94%
65%
69%
94%
95%
68%
73%
87%
79%
82%
3. Implementation of the developed multi objective optimization model in the case study
In the studied project, the general contractors main objective is to work with the most appropriate combination of
subcontractors, which offers the minimum project duration and cost and maximum quality. Equation (1) represents
the fitness function of the problem.
331
f Minimization ( f T , f C ,
1
)
fQ
(1)
In the first phase of the optimization algorithm, the total duration of the project was determined. In order to
calculate the total duration of the trade center project, the critical path method (CPM) was used. In this method, the
longest path from the starting node (i.e., Start) to the ending node (i.e., Finish) in the network is equal to the project
duration. According to the network diagram presented in Figure 1, there are 14 alternative paths (see Table 3). The
lengths (i.e., durations) of all paths were calculated by taking the sum of the durations of the work packages in these
paths and the longest one is considered as the total project duration. Since the combination of subcontractors changes
in each run of the model, the critical path also changes. Therefore, the total project duration was re-calculated in each
run.
Table 3. Potential paths in the studied trade center project.
Paths
Path #1
Path #2
Path #3
Path #4
Path #5
Path #6
Path #7
Work packages included in the path

A-C-D-H
A-C-D-I
A-C-D-E-U
A-C-F-R-S-T
A-C-D-G-J-M-P-R-S-T
A-C-D-G-J-L-P-R-S-T
A-C-D-G-J-K-N-O-P-R-S-T
Paths
Path #8
Path #9
Path #10
Path #11
Path #12
Path #13
Path #14
Work packages included in the path

A-B-D-H
A-B-D-I
A-B-D-E-U
A-B-F-R-S-T
A-B-D-G-J-M-P-R-S-T
A-B-D-G-J-L-P-R-S-T
A-B-D-G-J-K-N-O-P-R-S-T
After determining the total duration of the project using the CPM, the total cost of the project was calculated.
Since the owner applied penalty in the case of delay and incentive payment in the case of early finish in the studied
trade center project, the total cost of the project dependent on the total project duration (T) and the due date of the
project (D) . The total cost of the project was calculated using Equation (2).
m
i =1
C =
i =1
i =1
+ IC T + [T D ] ; if T > D
ij
+ IC T I [D T ] ;
ij
+ IC T ;
j =1
ni
C
j =1
ni
C
j =1
if T < D
if T = D
ij
ni
(2)
where C is the total cost of the project, Cij is the bid price offered by the subcontractor option j for the work
package i, m is the number of total work packages, ni is the number of subcontractor options for the work package i,
IC is the daily indirect cost, is the daily penalty cost, T is the total duration of the project, D is due date of the
project, and I is the daily incentive cost. The due date of the trade center project (D) was 500 days and the daily
indirect cost was 500 TL. If the project finishes earlier than the due date (i.e., T < D), the general contractor would
receive incentive payment, which is 750 TL/day. In addition to that, the general contractor would pay penalty cost if
the project finishes later than the due date schedule (i.e., T > D). The penalty cost was 1,000 TL/day. The overall
quality of the trade center project was determined using Equation (3).
m
Q=
w q
i
(3)
i =1
where Q is the overall quality of the project, wi is the weight of work package i on the overall quality of the
project, qj is the quality performance of the selected subcontractor for work package i. In this project, the weight of
each work package was considered to be equal.
332
4. Findings and Discussion

Previous studies on Time-Cost-Quality trade-off problem in construction projects [19, 27, 28] were investigated
in order to select the most suitable control parameters for the generated algorithm. According to these studies, the
control parameters of NSGA-II were set in the following ranges; population size: 200-300, the crossover rate: 0.50.85, and the mutation rate ranges: 0.02-0.55. The parameters of the NSGA-II algorithm were set as follows:
population size: 200, mutation rate: 0.02 and crossover rate: 0.85. In this study, the SolveXL software program was
used. Six different solutions, which represent Pareto optimal front are presented in Table 4.
Table 4. Pareto optimal subcontractor combinations.
Project performance
Time (day)
Cost (TL)
Quality (%)
1
1-3-1-1-3-2-1-2-1-1-1-1-1-3-3-1-1-1-1-1
468a
14,117,600.00a 82a
2
3-1-3-1-2-1-1-2-1-1-3-3-1-3-3-1-3-1-2-1
504
13,811,000.00
81.2
3
1-3-1-1-2-3-1-3-2-1-1-2-2-3-3-1-3-1-1-2
458b
14,212,400.00
81.7
4
3-3-3-3-3-3-1-1-1-1-1-3-3-1-1-2-3-3-3-1
523
13,711,500.00c 77.7
5
1-1-1-1-1-1-1-3-3-3-3-1-1-3-3-1-1-1-1-1
490
14,284,500.00
84.6d
6
3-3-3-1-2-1-1-2-1-1-1-1-1-3-3-1-3-1-1-1
488
13,835,900.00
81.4
* Each solution is represented by a sequence that indicates the selected subcontractor option for each work package.
a Best compromise; b Minimum Time; c Minimum Cost; d Maximum Quality.
Solution
Optimal subcontractor combinations*
If the priority was given to the minimization of total project duration (i.e., Time: 458 days), then the subcontractor
combination indicated in the third solution should be selected by the general contractor. If the priority was given to
the minimization of the total cost of the project (i.e., Cost: 13,711,500.00 TL), then the subcontractor combination
indicated in the fourth solution should be selected. If the priority was given to the maximization of the quality of the
project (i.e., Quality: 84.6%), then the subcontractor combination indicated in the fifth solution should be selected.
On the other hand, if the general contractor gives equal priority to time-cost-quality (i.e., Time: 468 days, Cost:
14,117,600.00 TL, and Quality: 82%), then the subcontractor combination indicated in the first solution should be
selected. While considering the estimated cost (i.e., 15,869,770.00 TL) and the anticipated duration (i.e., 500 days)
for the trade center project, the best compromise solution (i.e., Time: 468 days, Cost: 14,117,600.00 TL, and Quality:
82%) obtained from NSGA-II algorithm is quite satisfactory. Thus, it can be concluded that the subcontractor
combination (i.e., subcontracting plan for the project A:1 , B:3, C:1, D:1; E:3; F:2; G:1; H:2; I:1; J:1; K:1; L:1;
M:1; N:3; O:3; P:1; R:1; S:1; T:1; U:1) indicated in the first solution is the best compromise solution, which
satisfies all objectives simultaneously. In the studied project, the company management preferred to work with the
subcontractors identified in the first solution and did not experience any serious problems.
5. Conclusion
In this study, selection of subcontractors for the all work packages in a construction project was made considering
time, cost and quality performances. A real-life trade center project was selected as a case study and the actual data
regarding alternative subcontractors were collected. The most appropriate subcontractors, who would carry out work
packages in the case study, were selected successfully using the genetic algorithm based multi objective optimization
model. The proposed model enabled the general contractor to select the optimal subcontractor combination for all
work packages by considering the interactions between the subcontractors and their impacts on the overall project
performance in terms of time, cost and quality. In the literature, the studies on the subcontractor practices mainly
focus on two aspects, which are identifying the criteria considered in the subcontractor selection process and
developing tools or methods for selecting the subcontractor, which will be in charge of one work package (e.g.,
insulation works), among different alternative subcontractors considering several criteria. The main contribution of
this study is to propose a multi-objective optimization model, which uses the main objectives (i.e., Time, Cost, and
Quality) of contract requirements to select the most appropriate subcontractors for each work package that constitute
the entire project simultaneously. The interaction between the subcontractors of the entire project is also taken in
consideration in this model. Therefore, the main contractors select the subcontractors based on the contract
requirement or their targets for the project in question.
333
Acknowledgements
The authors would like to thank The Scientific and Technological Research Council of Turkey (TBTAK) for
their financial support [Project number: 114M130].
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334
Highway projects: Low prices in public bids

Renata Schneiderova Heralova*
Renata Schneiderova Heralova, Czech Technical University in Prague, Faculty of Civil Engineering, Thakurova 7, 16629 Prague 6, Czech
Republic
Abstract
Highways and roads are an important part of every country public assets, allowing movement between communities. As well as
other types of infrastructure, roads infrastructure require a proper procurement process. The research shows that prices achieved
in public bids are lower than those expected by contracting authorities. Public owners are restricted to the public bidding
procedures, especially the provision of to use low bid price in the Public Procurement Act. Often public owner have the concerns
about contractor with the lowest sum. Contractors are repeatedly requested to explain the reasons for the low price. This leads to
time extension of the bid process. The lack of contracts for construction work and the addition competition to win may be the
reason of low prices. The incorrect calculation of the estimated contract price on the side of the contracting authority could be
another reason. The cost analysis of two sections of highway clearly showed the incorrect cost estimates of contracting authority.
The difference is primarily due to significantly lower rates of indirect costs and profit, achieved rebates when buying building
materials, and lower cost of the plant. The author summarizes the possible causes of the incorrect estimates of expected value and
at the same time proposes methods to better estimates the contract price. The public sector may use the results of study to identify
the ineffectiveness of procurement in the area of infrastructure projects in the Czech Republic. The proposed procedures should
improve the efficiency of procurement and provide better cost estimates by the public agency.
Keywords: Bid; highway estimates; proposed cost; unit price.
1. Introduction
Highway constructions in the Czech Republic are procured using public contracts financed by the state budget.
Public owners, such as government agencies, have to use specific procurement methods. The contracting authority
must proceed according to the Public Procurement Act. The contracting authority defines the scope of the project,
usually with a detailed set of plans, specifications and detailed quantity take-offs. The contracting authority requires
detailed cost estimates as part of proposals. Contractors submit unit price; the contractor with the lowest sum should
be selected for award. Bid contracts generally are awarded solely on price. The contracting authority may require
prospective contractors to submit documentation of their qualifications for review; this is known as prequalification
of contractors. The contracting authority selects the contractor submitting the proposal that is ranked highest based on
the owners evaluation criteria (typical criteria include price, project duration, expertise of project management team,
contractors experience with similar projects), and negotiates a contract price.
The prices achieved in public tenders are lower than those expected by contracting authorities today. The bid
prices reach only 60% - 70% of the anticipated price determined by the contracting authority. This situation seems to
be big problem. The contracting authorities are worried to select the contractor with the lowest sum because of this
* Renata Schneiderova Heralova. Tel.: +420 606612346..

E-mail address:heralova@fsv.cvut.cz
335
difference. During the last few years, Czech Republic became a place where this issue had been thoroughly tested in
practice in many sectors. One of the main problems with an abnormally bid tender price is the proper identification of
the low tender price practices without affecting the competition. Contractors may offer advanced solutions allowing
for significant reduction of prices.
The issue of abnormally low tenders prices became a problem for many public procurement markets in Europe.
In autumn 2013, the European Bank for Reconstruction and Development (EBRD) organized a special conference
dedicated to this problem.
2. Abnormally low tender price (ALT)
An abnormally low tender (ALT) is not defined in Czech or EU legislation, nor specified by Czech case law.
Czech legislation only sets forth applicable procedural rules for when an ALT is identified. Although vague, the legal
concept of an ALT was introduced by the legislator to protect contracting authorities against undesirable practical
consequences, such as:
the failure to complete the public tender,
the use of cheap and poor quality material to reduce the price and
an increase in the tender price due to the extra work.
The ALT concept also has significant procedural aspects related to various claims, objections and disputes.
Application of the concept falls under the full discretion of the particular evaluation committee assessing the tenders.
The following questions are relevant. How can it be ascertained that a tender contains an abnormally low tender
price? How can contracting authorities avoid an ALT?
2.1. Verification of an ALT
Whether a tender is abnormally low depends on a final decision of the evaluation committee, which may carry out
market research or make use of authorized experts for the assessment.
To identify an ALT, it is necessary:
To assess the tender price in relation to the subject matter of the given public contract,
To account for the specifics of the given industry, circumstances and conditions under which the public contract
would be fulfilled and
To consider a notice from other tenderers on ALTs.
The main reason for this approach is that the ALT concept is not subject to any numerical criteria or specific
guidelines.
If an ALT is identified, the tenderer may not be automatically excluded. First, the contracting authority must
request, in writing, details of the relevant elements of the tender and verify the collected data based on the tenderers
explanations. The request for clarification must be sufficiently precise; otherwise, the Czech Office for the Protection
of Competition (Office) may impose various sanctions in the framework of its administrative supervision.
If the tenderer does not provide an explanation, or it is considered as unfounded by the evaluation committee, the
tenderer shall be in principle excluded.
As shown, the Czech contracting authorities have full discretion to decide what constitutes an ALT. Without
objective numerical criteria, the discretion of the contracting authorities can result in unpredictable decision-making
based on double standards. Contracting authorities may have different interpretations of what constitutes an ALT in
identical cases.
2.2. The impact of the Directive 2014/24/EU
Difficulties with the verification of ALTs were supposed to have been largely solved by the original draft of the
Directive Nr. 2014/24/EU (Directive). This Directive must be transposed into national legal orders by 18 April 2016.
The original draft Directive set forth the following three numerical indicators to calculate an ALT. The cumulative
existence would require that the contracting authority ask the tenderer to explain the tender price if:
336
it is more than 50% lower than the average of other bids,

it is more than 20% lower than the second-lowest bid and
at least five bids have been submitted.
After some modifications, these criteria were completely omitted from the final wording of the Directive and
replaced with a general provision. This new Directive has failed to shed light on the verification of an ALT.
2.3. Avoiding ALT
To avoid ALTs, contracting authority must properly determine the expected value of the public contract or set a
threshold as to what constitutes an ALT in the given case.
The expected value of the public contract must be determined by means of:
information on public contracts of the same kind,
information gained via market research of the relevant market or
other such objective measure in another suitable form (eg, expert opinion).
Based on the expected value, the contracting authority will make an assessment of realistic expenditures of the
tenderers and sets an ultimate limit. An explanation of the tender is then mandatory. Some public owners decided to
establish a threshold of 20% - 30% of the estimated contract value or the arithmetic average of the offers. The
contracting authorities will ask then the bidder to provide an explanation of the offered price because it is lower than
the indicated threshold.
This does three things. First, it motivates tenderers to submit only tenders that reflect the market prices in order to
be discharged from the obligation to provide the contracting authority with explanations. Second, it eliminates the
possibility of potential exclusion of the tenderers from the tender. And third, it protects the contracting authority
against the potential procedural risks mentioned above.
3. Expected value of the public contract
As mentioned, the contracting authority must properly determine the expected value of the public contract. The
author recommends providing detailed cost estimate. The data on public contracts of the same kind, in-house
databases, published estimating databases, current and accurate pricing data should be used.
Cost estimating is the process of analyzing a specific scope of work and predicting the cost of performing the
work. The accuracy of the estimate is a function of how well the specific scope of work is defined. Cost estimating
involves collecting, analyzing, and summarizing all available data pertaining to a project. The data may consist of a
rough concept of the gross area or volume of a project, or it may be a set of detailed plans and specifications. Cost
estimates are developed and updated throughout the design and construction phases of a project. The estimate may
be based on an estimated gross cost per component or element of work, or it may be based on individual labor,
material, equipment, or subcontractor estimated costs for each. The accuracy of the cost estimate will depend on the
completeness of design documents. Conceptual cost estimates are developed using incomplete project
documentation, for example, during programming and schematic design. Detailed cost estimates are prepared based
on fully developed construction drawings and specifications.
4. The methodology of determining the essential costs

4.1. The principle of the proposed methodology:Unit rates
Unit rates are usually a combination of rates for labor, plant, materials and subcontractors. The direct costs and
the minimum unit price are calculated based on the commonly used calculation schema. Preliminaries (the site cost
of administering project and providing general plant, site staff, facilities and site-based services and other items) are
included in these rates. The absolutely necessary cost (minimum price) means the price, which usually reaches the
level of direct cost per cost unit, while also covering indirect cost (overhead, preliminaries) in the necessary amount.
337
Also profits are included in unit rate. In-house databases, published estimating databases (URS Prague, RTS,
Callida), current and accurate pricing data is to be used.
The break down sheet figures was designed to determine the essential costs of the construction work. The break
down contains a description of the item, a clear definition in terms of technology, design, materials, and scale. Also,
a recap of the various cost elements is provided in the calculation breakdown, ie. direct costs (materials, labor, plant
and equipment, other direct costs) and indirect costs (overheads) and profit. The important part of the break down is
a detailed calculation of direct costs in the breakdown of wages, materials and plant. Indirect costs are fixed by
overhead rates costing.
The model of calculation is given in Fig.1
Fig. 1. Example of calculation of item
4.2. The verification of the methodology

The methodology was tested in determining the essential costs of selected items for the motorway bids. The
contracting authority used expected value for public bids and ones that were significantly different from the bids of
other tenders. The expected value was estimated using in-house database of the contracting authority. Expert opinion
using proposed methodology was requested from the author and her team. The cost analysis of two sections of
highway clearly showed the incorrect cost estimates of contracting authority. The difference is primarily due to
significantly lower rates of indirect costs and profit on the side of tenderers, lower cost when buying building
338
materials, and lower cost of the plant. The differences in the direct costs of up to 30% can be explained by lower
material costs (from tenders resourcing), using plant with high performance and using previously written-off plant/
equipment etc.
Table 1 shows the cost estimates of contracting authority vs. minimum price estimates.
Table 1. An example of In-house vs. minimum price estimates.
Nr.
Item identification
Direct cost
(EUR)
14,55
11372.03
millin road asphalt
12110.03
topsoil removal
1,69
12373.05
digging soil
1,67
56313
roadway layer from mechanically

solidifiedaggregates 150 mm
21452.01
Minimum price
(EUR)
15,85
In-house database
(EUR)
36,79
Difference
1,84
4,07
221%
1,82
7,07
388%
2,37
2,58
5,29
redevelopment layer from crushed

aggregate
2,78
3,03
22,29
56314.01
roadway layer from mechanically

solidifiedaggregates 200 mm
2,65
2,89
6,82
224324
pilots reinforced concrete C25 / 30
55,63
60,60
122,50
202%
224365
reinforcement steel pilot 10505
519,63
566,03
960,71
170%
264142
pilots drilling for 1200mm
41,17
44,85
82,14
183%
232%
205%
735%
236%
5. Conclusion
The contracting authority must provide a better estimate for the expected value of the public contracts. The author
recommends providing detailed cost estimate for each tender. The current and accurate pricing data should be used.
Second, the data from in-house databases should be verified. In-house databases prices of selected items were 40% 635% higher than the minimum cost calculated using proposed methodology.
The public sector should use the results of study to identify ineffectiveness of procurement in the area of
infrastructure projects in the Czech Republic. The proposed procedures should improve the efficiency of
procurement.
References
[1] Bordass, B. (2000): Cost and value: fact and fiction, Building Research & Information, 28 (5/6): 338-352
[2] Jwala R. Sharma, Mohammad Najafi, and Syed R. Qasim. Preliminary Cost Estimation Models for Construction, Operation, and Maintenance
of Water Treatment Plants. J. Infrastruct. Syst. 2013, 19(4), 451464.
[3] Rajeev Ruparathna and Kasun Hewage. Review of Contemporary Construction Procurement Practices. J. Manage. Eng. 2013,
10.1061/(ASCE)ME.1943-5479.0000279 , 04014038.
[4] Hromada, E.: Construction of Traffic Infrastructures: Causes of Low Effectiveness. Procedia Engineering. Amsterdam: Elsevier.Vol. 77. 2014.
ISSN 1877-7058.
[5] Hromada, E., Heralov, R., Johnston, H.: Cost Structure of the Highway Projects in the Czech Republic. Procedia Engineering. Amsterdam:
Elsevier. Vol. 77. 2014. ISSN 1877-7058.
[6] Schneiderov Heralov, R.: Life Cycle Cost optimization within decision making on alternative designs of public buildings In: Procedia
Engineering. Amsterdam: Elsevier. 2014, vol. 2014, no. 85, p. 454-463. ISSN 1877-7058.
[7] Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive
2004/18/EC
339
Industry independent project portfolio selection criteria

Zoltan Sebestyen*, Tamas Toth
Budapest University of Technology and Economics, Magyar tudsok krtja 2. QA307, Budapest 1117, Hungary
Abstract
One of the most relevant questions in any industry to decide which project to build, to program or to perform. The market is full
of options tailored to the capability of organizations, choosing the right project is a vital element of their way to success of failure.
It is behind the debate that the process of constructing or programming any deliverable right is important, but the stepping stone to
managing them must be outlined. The novelty of the paper is an integrated project prioritization model, which includes both
financial and non-financial criteria. The conceptual idea is to integrate the financial element with the most widely used nonfinancial points of view that are already applied, tested and published in the relevant literature separately.
Keywords: project prioritization; project selection; project ranking criteria
1. Introduction
The ubiquitous project portfolio approach has a significant impact on modern organizations. Handling the fast
growing number of projects has become one of the most important tools for achieving organizations strategic goals,
and as Olsson (2008) and Teller and Kock (2012) argue, in a project portfolio environment the practice of single
project management (SPM) has been increasingly loosing sufficiency, while project portfolio management (PPM) is
recognized as one of the most crucial challenges of organizations. In our article, we use the definition based on the
approaches of Archer and Ghasemzadeh (1999) and Martinsuo and Lehtonen (2007) to project portfolio. In this term
the portfolio is a group of rival projects striving for sparse resources carried out under a single sponsorship and
management of an organization in line with the strategy. Recently, the portfolio-wide perspective of project portfolio
management goes well behind single project management that focuses only the processes of one project, and ignores
synergistic effects with the others.
Project portfolio management is about managing multiple projects, programs, sub-portfolios, and operations as a
group to achieve strategic objectives (PMI, 2013). The first step of PPM is project portfolio selection (adding, taking
out, and prioritizing projects) including periodic activities that involved in selecting from available projects meeting
the organizations objectives according to constraints (see e.g. Archer and Ghasemzadeh, 1999). Thus, as Nowak
(2013) argues, project portfolio management is a recurring dynamic and interactive decision process, where the
portfolio must be constantly updated and revised. The result of this process is a constantly available well-selected and
ranked set of projects.
In the literature there are two distinct directions of research on selecting project portfolios (Nowak, 2013). In the
first group there are articles providing general recommendations with few systematic procedures especially addressed
to practitioners. The second group includes quantitative decision support techniques dedicated to researchers mainly.
* Corresponding author. Tel.: +36-1-4634221; fax: +36-1-463-1606.
E-mail address:Sebestyen@mvt.bme.hu
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However, it is behind debate in both sides that for selecting the right projects at the right time multiple criteria should
be taken into account and recently a significant number of literature become available on methodological tools for
this (Gutjahr et al., 2010; Anagnostopoulos and Mamanis, 2010; Kremmel et al., 2011; Elazouni and Abido, 2011).
These sources provide complex, formal mathematical solutions for multiobjective cases in project portfolio selection,
but besides the thorough operational issues, the criteria selection is left out of scope. These techniques employ
sophisticated computation tools, but the models suggested often oversimplify the problem.
The emerging important question is what quantitative and qualitative criteria must be considered and how to
include them in a portfolio selecting system that will be suitable for both the practitioners and the researchers.
2. Ranking Criteria for Project Portfolios
Ranking by net present value (NPV) is a common practice that results in the sorting out the financially weakest
projects from the portfolio. However, the standard method for NPV calculation often focuses only easily calculable
events and processes, thus the more subtle details and benefits of the project may be missed out of the assessment.
Our view is that project ranking should look beyond the NPV by setting up a more sophisticated criteria system.
To establish a sound system the development of a well-structured hierarchy seems necessary.
2.1. Financial Criteria (FI)
In the mainstream perfect market framework of finance, the only criterion is the Net Present Value (NPV) that
shows the added value of a business idea. If there are infinite resources, and no market frictions, then all projects
with positive NPV is undertaken. If the resources are scarce, e.g. there is a limited budget, and then project ranking is
needed. The simplest project ranking method is the ranking by the NPV/CAPEX ratio, referred as Profitability Index
(PI), indicating the project financial value expected to generate by one unit of the investment.
A projects Profitability Index can be given as the ratio of the NPV and the actual capital expenditures (CEXP,i ).
Ranking by PI is obvious: the higher the PI is the higher the project must be prioritized.
2.2. Strategic Criteria (STI)
Business strategies often declare quantifiable but hardly monetizable objectives (e.g., increase of market share,
improvement of business performance). Literature review suggests that the project portfolio management serves as
an important and effective tool for strategy implementation. Moreover all the project portfolio management process
must be subordinated to the strategy of the organization (Archer and Ghasemzadeh, 1999; Martinsuo and Lehtonen,
2007; Voss and Kock, 2012; Teller and Kock, 2013). Meskendahl (2010) examined the interference of the strategy,
the project portfolio management, and the success to draw together strategy formulation and implementation.
Although the existing research shows a positive relationship between isolated concepts, he claimed the lack of
coherent and integral framework from strategy to success. Therefore, Meskendahl conceptually extended the current
research in portfolio management by strategic orientation. Killen et al. (2012) conducted research on the application
of strategic management theories to project management and project portfolio management. These research
experiences outline the successful application of strategic management theories highlighting the advantages as well
as the challenges of adopting theories from strategic management for PM and PPM research. Their paper makes
primary contributions to the PM, PPM, and strategic management fields, and as a conclusion, it provides an obvious
evidence of benefits that can be obtained by the application of strategic management approaches to PM and PPM
research. PM and PPM are defined as subsets among management and strategic management research rather than as
separate domains. As it is an adequate statement for project management, project portfolio management must be
aligned as well to strategy, therefore a strategic element is taken into consideration for evaluating, prioritizing, and
selecting projects properly. Since there is a positive correlation between the strategy-conform portfolio selection and
project portfolio performance (Mller et al., 2008), we suggest strategy criteria to be included into the project
ranking exercise. Projects with higher alignment with the strategy should be ranked higher than those more
independent of the strategy.
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2.3. Stakeholders Criteria (SHI)

Business projects owned by enterprises normally have many stakeholders. Success or failure largely depends on
the projects conformity with the expectations of the society and local communities, as well as with the prevailing
political regimes and legislation. Another key success factors may include the cooperativeness of business partners
and the quality of the available services and suppliers.
In the recent literature review the significance of stakeholders appeared. Unger, Gemnden and Aubry, (2012)
outlined the importance of stakeholders in project portfolio management. Project portfolio management offices
(PPMOs) are centralized units and subsets of project management offices (PMOs) responsible for the organizations
portfolio focusing on the demands of various stakeholders. [T]he tasks of PPMOs may be derived from these key
stakeholders' requirements and their need to delegate management obligations (Unger, Gemnden and Aubry, 2012,
p608). Also, PPMOs have to guarantee the implementation of stakeholder interests and needs besides the
organizational goals. Their comprehensive role-based research outlining organizational issues basically stemmed
from the stakeholders demand. Beringer, Jonas and Kock (2013) refer to the stakeholder behavior and stakeholder
management as key success factors within portfolio management. Their empirical study project portfolios
investigating the effect of portfolio-internal stakeholders on project portfolio success pointed out a clear impact of
stakeholders. Even the latest version of PMBoK (2013) extended the set of knowledge areas with the project
stakeholder management. Although the literature expresses the significance of the stakeholders in their
methodologies only implicitly the underlying models do not take sufficient note of that. Agreeing with the literature
above emphasizing the importance of stakeholders, we also state that it must be a determinative and fundamental
element in portfolio selection. We go further than the referred sources, and think that the criterion of stakeholder is
worth pulling out from the large conceptual criteria set and treating independently in the ranking model.
Creating a lobby map accommodating all the stakeholders affecting the project is especially crucial for
large-scale and complex projects. Negligence or undervaluation of stakeholders interests may result in
serious difficulties in the projects implementation phase, or as a worst case, may lead to the premature
end of the project. Projects with wider acceptance from stakeholders should be ranked higher than those
with non-compliance or resistance to them.
2.4. Learning Criteria (OLI)
Long-term business success may depend on whether the organization is capable to learn from its own previous
projects and is able to turn the lessons learned into future potential benefits. For instance, Gutjahr et al. (2008, 2010)
built models for project portfolio selection, paying specific attention to competence development. Their model is
based on the gains from the increment of desirable competences. The tools proposed are rather sophisticated
(nonlinear mixed-integer program, greedy heuristics, metaheuristics, etc), however, they seek an optimal staff
assignment, and criteria from other fields are left out. Killen et al. (2012) conducted a research on PPM and also
outlined the significance of knowledge and learning. Although strategic management theories are applied with
recognizing the significance of learning for project and portfolio management, the criteria set is limited (e.g. lack of
financial thinking). In the work of Purnus and Bodea (2014) criteria related to project opportunity including
experience that leads to a competitive advantage for a successful portfolio project management emerged. They built a
large and complex set of criteria. For a more practical model, some less significant criteria can be left out (i.e.
contractual conditions), and some of them can be merged (financial criteria can handle the important risk-related
questions). The opportunity for learning gained during a project is always a challenge to quantify, but it is obviously
to be considered to ensure future benefits. Projects from which we learn more contain more exploitable potential and
should be ranked higher than those without learning.
3. Utilization of the Proposed Ranking Criteria
The main steps of a general PPM process (portfolio setup, evaluation, prioritization, selection, execution etc.)
were integrated with more phases by e.g. Teller et al. (2012). This research, however, mainly concentrate on the
mathematical implementation and realization with bi-criteria or multi-criteria analyses. Ballestero and Romero
(1996) provided a solution with defining a bi-criteria utility function for portfolio problem to average investors.
Gutjahr et al. (2010) formulated a multi-objective optimization model including employee competences and their
evolution, and Anagnostopoulos and Mamanis (2010) developed a three-objective portfolio optimization model with
342
discrete variables considering further financial components. For the complex ranking problem we studied, however,
the AHP (Saaty, 1977) provides a flexible, multiobjective method that involves even the hierarchy of criteria.
The focus of our investigation is to provide an integrated ranking model combining financial parameters with
additional non-financial elements important for managing portfolios. The proposed ranking method is based on the
four criteria groups discussed above resulting in the overall Criteria Indices: FI Financial Index, STI Strategy
Index, SHI Stakeholder Index, OLI Opportunity for Learning Index.
Based on the criteria above the overall Project Priority Index (PPI) is as follows:
PPI i = FI i + STI i + SHI i + OLI i
+ + + =1
(1)
where , , and are the respective group weights also to be defined by the management preferences. Only those
highest PPI projects can enter in the project portfolio, whose summarized capital expenditures (CEXP,i ) do not exceed
the CAPEX budget defined by strategy.
4. Summary and Conclusions
Based on an extensive literature review dealing with project portfolio ranking we suggest setting up Financial,
Strategic, Stakeholder and Opportunity for Learning Criteria groups. In line with this categorization we attempted to
define the ranking criteria for the petroleum exploration. We believe that the negligence of the systematic review of
criteria impact may jeopardize business sustainability and closes the gates to organizational development on the long
run. Since our criteria definitions can reflect to the special characteristics of businesses in any industry, we will
continue this research with an illustration presenting how to implement this model in corporate environment.
References
[1] Anagnostopoulos, K.P., Mamanis, G.A. (2010). A portfolio optimization model with three objectives and discrete variables. Computers &
Operations Research, 37, 12851297.
[2] Archer, N.P., Ghasemzadeh, F. (2004). Project Portfolio Selection and Management. In: Morris, P.W.G., Pinto, J.K. (Eds.), The Wiley Guide
to Managing Projects. John Wiley & Sons Inc., New York, 237255.
[3] Archer, N.P. Ghasemzadeh, F. (1999). An integrated framework for project portfolio selection. International Journal of Project Management,
17(4), 207216.
[4] Ballestero, E., Romero, C. (1996). Portfolio Selection: A Compromise Programming Solution. Journal of the Operational Research Society,
47, 13771386.
[5] Beringer, C., Jonas, D., Kock, A. (2013). Behavior of internal stakeholders in project portfolio management and its impact on success.
International Journal of Project Management, 31(6), 830846.
[6] Elazouni, A., Abido, M. (2011). Multiobjective evolutionary finance-based scheduling: Individual projects within a portfolio. Automation in
Construction, 20, 755766.
[7] Ghasemzadeh, F., Archer N.P. (2000). Project portfolio selection through decision support, Decision Support Systems, 29, 7388.
[8] Gutjahr W, J., Katzensteiner, S., Reiter, P., Stummer, C., Denk, M. (2010). Multi-objective decision analysis for competence-oriented project
portfolio selection. European Journal of Operational Research, 205, 670679.
[9] Gutjahr, W.J., Katzensteiner, S., Reiter, P., Stummer, C., Denk, M., (2008). Competence-driven project portfolio selection, scheduling and
staff assignment. Central European Journal of Operations Research, 16(3), 286306.
[10] Killen, C.P. Jugdev, K, Drouin, N, Petit, Y. (2012). Advancing project and portfolio management research: Applying strategic management
theories. International Journal of Project Management, 30(5), 525538.
[11] Kremmel, T., Kubalk, J., Biffl, S. (2011). Software project portfolio optimization with advanced multiobjective evolutionary algorithms.
Applied Soft Computing, 11, 14161426.
[12] Martinsuo M., Lehtonen, P. (2007). Role of single-project management in achieving portfolio management efficiency. International Journal
of Project Management, 25(1), 5665.
[13] Meskendahl S. (2010). The influence of business strategy on project portfolio management and its success A conceptual framework.
International Journal of Project Management, 28(8), 807817.
[14] Mller, R., Martinsuo, M., Blomquist, T. (2008). Project portfolio control and portfolio management performance in different contexts.
Project Management Journal, 39(3), 2842.
[15] Nowak, M. (2013). Project Portfolio Selection Using Interactive Approach. Procedia Engineering, 57, 814822.
[16] Olsson, R. (2008). Risk management in a multi-project environment: an approach to manage portfolio risks. International Journal of Quality
& Reliability Management, 25(1), 6071.
[17] PMI, (2013). A Guide to the Project Management Body of Knowledge (PMBOK Guide), 5th Ed. Project Management Institute, Newton
Square, Pennsylvania, USA
343
[18] Purnus, A., Bodea, C.N. (2013). Considerations on Project Quantitative Risk Analysis. Procedia - Social and Behavioral Sciences, 74, 144
153.
[19] Saaty, T. (1977). A scaling method for priorities in hierarchical structures. Journal of Mathematical Psychology, 15(3), 234281.
[20] Teller J., Kock, A. (2013). An empirical investigation on how portfolio risk management influences project portfolio success. International,
Journal of Project Management, 31(6), 817829.
[21] Teller J., Unger, B. N., Kock, A, Gemnden, H. G. (2012). Formalization of project portfolio management: The moderating role of project
portfolio complexity. International Journal of Project Management, 30, 596607.
[22] Unger, B. N., Gemnden, H. G., Aubry, M. (2012). The three roles of a project portfolio management office: Their impact on portfolio
management execution and success. International Journal of Project Management, 30, 608620.
[23] Voss, M., Kock A. (2013). Impact of relationship value on project portfolio success Investigating the moderating effects of portfolio
characteristics and external turbulence. International Journal of Project Management, 31(6), 847861.
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Assessing the clients risk management performance in construction

procurement and contracting: Case studies
Alfredo Serpella, Ximena Ferradab, Rodolfo Howarda
a
Department of Construction Engineering and Management, Pontificia Universidad Catlica de Chile, Santiago, Chile
b
School of Civil Construction, Pontificia Universidad Catlica de Chile, Santiago, Chile
Abstract
Today we are facing an increasingly uncertain world that can pose a threat to any business, but also an instance to leverage and
generate new opportunities. Risk Management (RM) understands that present decisions and actions can influence the future, by
identifying opportunities and threats. This paper addresses these issues with regards to the procurement and contract management
of construction services in the mining industry, considering that this industry has not yet established a systematic framework for
the application of RM in these functions. This situation results in lack of knowledge about RM performance and gaps in
procurement and contracting, making an evaluation and monitoring system of this function a needed methodology. With such a
system, gaps in RM can be identified, improvement actions recommended and performance controlled. Then, a prototype
evaluation system has been constructed based on maturity models where the evaluation is based on: 1) a knowledge-based system
that is able to propose actions to overcome current limitations of the RM function, and 2) a monitoring approach that is able to
show the evolution of the RM function with the goal of improving it continuously. The maturity model and the prototype system
used for the evaluation are described and results from two case studies corresponding to two mining companies are discussed.
Also, main conclusions obtained from their analysis are presented. The prototype system has been validated through these cases
and it might become the basis for the construction of a more functional system that could improve RM in procurement and
contracting management in the future. The prototype has been considered as a useful tool by mining companies because it
establishes a framework for RM in the management of procurement and contracting processes, can generate a systematic
evaluation of RM in this area, and is of easy access and use.
Keywords: computer prototype; knowledge-based system; maturity models; procurement and contracting; risk management.
1. Introduction
Nowadays there exists a global tendency to externalize the procurement of goods and services, and the mining
industry is not the exception. In studies and interviews with Chilean mining companies, these companies estimate
that the external procurement of goods and services involves around 70% to 90% of the total annual operational
expenses of the company. It is important to consider that a report by the Chilean Mining Council (Consejo Minero)
that integrates the 17 largest Chilean mining companies indicates that the operational annual expense of these
companies in 2010 reached the amount of US$ 15,110 millions [1].
At the same time, the majority of these companies have not been able to adjust their processes and systems
appropriately to deal with the challenges associated to this situation, like: 1) an increase of the number of contracts,
their complexity, diversity and interdependency; 2) a high competitive pressure and the need to maintain long-term
stable relationships with suppliers and collaborators; 3) the involvement of a very high quantity of resources, both
human and monetary; and 4) the increase of the uncertainty around suppliers performance, which represents a real
threat for the mining business.
345
In front of this scenario, the own participants of Chilean mining companies state that there is not a systematic
vision of risk management (RM) inside the companies that help to manage uncertainty in the area of procurement and
less of a formal reference to support risk management in this important function. As stated by Hillson [2]
organizations that wish to implement a formal approach to RM or to improve the existing one, need a framework
against which to contrast their current practices.
This paper presents a research aimed to contribute to create a framework for implementing or improving risk
management practices in procurement activities in mining companies by proposing a knowledge-based system. The
research developed a computer prototype that was applied to two mining companies that were used as case studies. In
the next sections a brief background of the research is presented as well as the definition of the research problem and
methodology. Also, the characteristics of the knowledge-based system are discussed and the computer prototype is
described. Finally, the main conclusions of the research are presented.
2. Background
This section presents a discussion of the main fields of knowledge that were applied to develop the risk
management framework: risk management maturity models and knowledge-based systems.
2.1. Risk management maturity models
A maturity model is a form of evaluation that provides a systematic framework to conduct benchmarking and
performance improvement in a particular area [3], leading the organization strategically and linking to continuous
improvement [4]. It has been shown that organizations improve their level of project management maturity
experience lower costs, increase the predictability of their schedules and improve quality. Also, there is a positive
relationship between high levels of maturity in project management and an increased performance of their projects
[5].
The development of a RM maturity model for procurement management in mining companies is relevant, because
the development of a complete risk management process tends to be more useful when projects involve significant
resources, are unique, have a long planning horizon, are large, are highly complex involving several organizations, or
may be affected by political issues [6] as is the case with most of mining projects.
Several risk management maturity models have been proposed in the literature. Jia et al. [7] report that maturity
models associated with risk management are proposed by [2] and [8]. Other models are proposed by [9] and [10].
The latter presents a different approach, describing in detail the characteristics of each maturity level according to the
stages of risk management raised by the PMI [11].
2.2. Knowledge-based systems
They are computer programs that simulate the processes of problem solving of human experts in specific fields. In
its simplest form, a knowledge-based system consists of a knowledge base and an inference engine [12]. A
knowledge-based system offers several advantages such as to improve the accuracy of decisions in less time, and to
retain and store tacit knowledge from experts/individuals with experience, allowing easy access and knowledge
sharing [13, 14].
The reasons for building a knowledge-based system usually have to do with the need for a solution of knowledge
management i.e., an operation within the organization requires expertise that is not available often enough, or is not
fully exercised. The most common problem is experience that is not sufficiently available or experts may simply be
too busy to answer all queries that require their expertise. Alternatively, experts can be frequently be used in routine
cases, not optimizing the use of their knowledge [15].
Knowledge is an important resource for risk management because there are many activities that need experience
and knowledge to be resolved, like risks identification and risk responses, for example.
3. Research problem
In general, it has been observed that there are different proposals of generic models for managing risk, but none
focused on the RM in the procurement management (PM). Additionally, interviews with managers of the PM in
346
mining companies and in the review of the literature show that there is not a development of an evaluation system for
risk management in this area, and even less, the developing of an automated platform for evaluation and monitoring.
With the above background and those raised in the theoretical framework, this research proposes a method for
assessing the maturity level of procurement risk management in an organization in order to propose actions for
improvement, based on a computational prototype to evaluate and monitor the evolution of the key factors of RM in
the PM. Thus, by using computational tools, we seek to create a system for evaluating and monitoring the maturity
level of RM in PM in a simple and practical way by carrying to practice the identification and characterization of the
key factors of this area of project management.
The research was conducted in four main phases as follows: (1) to define the maturity model of RM in the PM, (2)
to develop a measuring instrument associated to the proposed model, (3) to design and develop a knowledge-based
and computational prototype system, and (4) to carry out a case study in two mining companies.
The first phase was carried out through literature review, critical analysis of existing maturity models, and
structuring of the proposed model, which was validated with contributions of RM experts. The second phase was
realized starting from the results of the first phase and the measuring instrument consists in a questionnaire that was
validated using a pilot study with professionals from one mining company and then calibrating the questionnaire
using their feedback regarding the consistency between the answers and the current reality of the company in the
application of RM in PM.
To design and develop the knowledge-based system the framework proposed by [14] was used as a reference, to
which a stage of validation and verification system has been added. The process applied was as follows: (1) to
establish the structure of the knowledge-based system, (2) to construct the knowledge-based system, with computer
representation of the basic rules of knowledge, (3) to construct the prototype and to integrate the knowledge-based
system, (4) to test the prototype in some organizations to validate and verify the system, and (5) to adjust the system
and incorporating the obtained recommendations.
In phase four, case studies were applied. As proposed by [16], this method reflects the nature of the investigation,
because the research question is how or why, contemporary events are addressed, and events under research cannot
be controlled. In addition, the case study can be used when the objective is to make a thorough investigation of
certain process preserving the overall vision of the phenomenon, and no intention to establish a generalization in the
statistical sense exists [17], which are the own characteristics of this research. As a result of case studies, responses
to the questionnaires allowed knowing the level of maturity of risk management in the PM, and results were
statistically analyzed. In parallel, the internal consistency was measured by Cronbach's Alpha coefficient statistic
[18].
5. Main research results
As reported by Howard and Serpell [19], this research initially provided the maturity model used for evaluating
risk management in PM and its associate levels of evaluation with five categories. To find about the most appropriate
characteristics that a maturity model should have, the maturity-evaluating questionnaire proposed previously by
Wolbers [20] was applied to 68 contract administrators of an important Chilean mining company to test the
questionnaire and its consistency.
After obtaining the answers, maturity results were shown to contract administrators who reacted informing that
maturity results showed an over estimation of the organizations reality in most of the evaluated factors. Also, other
limitations were mentioned by the same respondents regarding the questionnaire structure and the kind of questions
(using a Likert-like scale of 7 levels, many open questions that were less responded by a majority of the contract
administrators, a very long questionnaire that required a long time for answering it, the lack of control questions and
a paper format that did not help with the process). All these issues were considered in the development of a new
questionnaire.
This new questionnaire was applied in a pilot study to 12 professionals from different Chilean mining companies.
With this feedback final adjustments were made and the questionnaire was calibrated correctly. Figure 1 shows the
maturity model used as the base for the questionnaire as reported by [19] and included in the final system prototype.
347
Consciousness
about risk
management
Management
support
Collaboration and
communications
within and between
work teams
Process
formality
Motivation of
implementation
Expert
knowledge
News about risk

management in the
organization
Recognition of the
benefits and
importance of risk
management
Change
resistance
Documentation of
the process and
availability of
information
Training and
development of
skills
Involvement of key
stakeholders
Application of risk
management
Resources
allocation
Responsabilities
Available
technologies
Performance
evaluation of risk
management
Personnel
experience
Risk identification
Risk analysis
Risk response
Risk monitoring
Distribution and
development of
knowledge
Figure 1 Maturity model key factors and its dimensions.
5.1. The RM system prototype

The prototype of the knowledge-based system aims to become a support system for decision-making, by capturing
data, processing it and delivering a diagnostic of the maturity of the risk management function in procurement
management and proposing an action plan to increment the maturity continuously, considering that this function is a
key process in the mining industry as was discussed above. Figure 2 shows the main components of the prototype.
User
Interface
Procedures
and Context
Data Base
KNOWLEDGE-BASED SYSTEM
Inference
Engine
Knowledge
Base
Work
Memory
Figure 2 System architecture of the risk management prototype
As shown in the figure, the main components of the system are: 1) a knowledge base that contains the necessary
knowledge domains to solve problems codified in terms of rules; 2) the working memory that contains the data input
by the user when answering the maturity questionnaire; and 3) the inference engine that uses the input, processes it
and compares with the knowledge base, producing in this way the diagnostic.
348
The procedure for application of the prototype follows the next steps: 1) The RM manager sends an invitation for
participation to all persons related to procurement management; 2) The personnel answer the questionnaire through
Internet and the total number is checked; 3) If the number is very low, then the invitation is repeated until enough
people respond the questionnaire; 4) Answers are recovered, input, and processed by the prototype and used to obtain
a diagnostic of the current maturity of RM in PM; 5) Check for the existing gaps and recommend actions to improve
the identified gaps.
The figure 3 shows a screen of the prototype when informing the user about the results of the diagnostic of the
risk management function in PM.
Figure 3 Prototype Diagnostic section
Once the diagnostic is delivered, the system provides a new screen that is called Identification of Gaps that shows
if some gaps exist or not and then provide recommendations for each dimension to improve the maturity level of the
RM function in PM. Figure 4 displays this screen.
Figure 4 Identification of gaps
349
5.2. Case studies

The evaluation was applied to two mining companies. One is a company that extracts mineral once the other is a
supplier of goods and services to them. In the first company, the six persons that work in the area answered the
questionnaire while in the second company 15 out of 20 persons did. Table 1 shows a summary of the results of these
applications.
Table 1. Results of the maturity evaluation in two cases
Factor
Company A (scale 1-5, being

5 the highest maturity)
Company
B
General maturity
Organizations culture
Process structure
Experience and importance of RM in PM
Application of the RM process
6. Conclusions
The main conclusion is that it is possible to improve the risk management as applied in procurement management
by helping companies to evaluate their RM status and then, to improve the existing situation by applying
recommendations given by the system or by experts. A system like this makes RM transparent and offers an
understanding of the main RM factors to be addressed by decision makers in this area.
References
[1] Consejo minero, (2010), Informe Social, Ambiental y Econmico (Social, environmental and economic report). Recovered from:
http://www.consejominero.cl/home/doc/ CONSEJO_INFORME2010.pdf
[2] D. Hillson (1997). Towards a Risk Maturity Model. The International journal of Project & Business Risk Management, 1(1), 35-45.
[3] C. Demir and I. Kocabas (2010). Project Management Maturity Model (PMMM) in educational organizations in Procedia - Social and
Behavioral Sciences. Vol. 9, 2010, pp. 1641-1645.
[4] Brookes, N. and Clark, R. (2009). Using Maturity Models to Improve Project Management Practice. POMS 20th Annual Conference. POMS,
May 1 to May 4 2009, Orlando, Florida USA.
[5] Korbel, A. and Benedict, R. (2007) Application of the Project Management Maturity Model to drive Organizational Improvement in a State
Owned Corporation. Recovered from: http://www.aipm.com.au/documents/3G/Korbel_Benedict_PMMM-driving-Org-Imp.pdf
[6] Chapman, C. and Ward, S.C. (2002) Managing project risk and uncertainty: A constructively simple approach to decision-making,
Chichester, UK: John Wiley & Sons.
[7] Jia, G., Chen, Y., Xue, X., Chen, J., Cao, J., and Tang, K. (2011). Program management organization maturity integrated model for mega
construction programs in China. International Journal of Project Management, v 29, n 7, p 834-845.
[8] Yeo, K., and Ren, Y. (2009). Risk Management Capability Maturity Model for Complex Product Systems (CoPS) Projects. System
Engineering, 12(4), 275-294.
[9] INCOSE - International Council on Systems Engineering (2002) Risk Management Maturity Level Development, Risk Management
Research and Development Program Collaboration, Abril. Recovered from: http://www.pmi-switzerland.ch/fall05/riskmm.pdf
[10] Crawford, J. K. (2002). PM Solutions Project Management Maturity Model: Providing a Proven Path to Project Management Excellence.
New York, EE.UU: Marcel Dekker.
[11] PMI - Project Management Institute (2008) A Guide to the Knowledge Management Body of Knowledge, Pennsylvania, EE.UU: Project
Management Institute, Inc. 4th. edition.
[12] Xu, L., Liang, N. and Gao, Q. (2001) An integrated knowledge-based system for grasslands ecosystems. Knowledge-Based Systems, Volume
14 (5) Elsevier Aug 1.
[13] Liao, S. (2003). Knowledge management technologies and applications- literature review from 1995 to 2002, Expert Systems with
Applications, vol.25, pp. 155-164.
[14] Karningsih, P.D., Kayis, B. and Kara, S. (2010) Development of SCRIS: A Knowledge Based System Tool for Assisting Organizations in
Managing Supply Chain Risks, Advanced Information Networking and Applications Workshops (WAINA), 2010 IEEE 24th International
Conference, pp. 55,60, 20-23 April.
[15] Kingston, J. (2004) Conducting feasibility studies for knowledge based systems. Knowledge-Based Systems 17, 157164.
[16] Yin, R. (2003) Case Study Research: Design and Methods. Second Edicin. Sage Publications.
[17] Arzaluz S. (2005) La utilizacin del estudio de caso en el anlisis local (The utilization of the case study in local analysis), Revista Regin y
Sociedad, vol XVII, no 32.
350
[18] Knortz, G. (2009). Ph.D. Thesis. A case study: assessing the validity and Reliability of the multidimensional Sports personship orientation
scale among college athletes. University of Vermont.
[19} Howard, R., & Serpell, A. (2012). Procurement management: analyzing key risk management factors. RICS COBRA 2012, September 11-13,
Las Vegas, USA pp. 1461- 1469.
[20] Wolbers, M. (2009). Bachelors Tesis. Application of risk management in public works organizations in Chile. University of Twente and
Catholic University of Chile.
351
Modelling approach for value-based project risk monitoring

in the construction sector
Tamas Toth, Zoltan Sebestyen*
Abstract
Although risk management in the construction sector has become an integral part of project management insomuch that its
application is required even by standards (e.g. the Practice Standard for Project Risk Management by PMI, 2009.), yet it is usually
left to project managers to define the required processes in detail and only a few relevant methodological literature are available to
provide further theoretical content. Known practices still can be developed in many parts, since in the current approaches it is
especially difficult to reflect to e.g. a phenomenon that individual risks with the progress of construction typically decline and
then disappear.
This article focuses on value-based risk monitoring, where the primary purpose is to detect and monitor risks related to the
project, and if necessary, to start action plans in order to avoid losses. In a construction project, in order to maintain a value-based
risk management process, a continuous valuation method is necessary which is able to capture the value of the building in its
current state. In finance, conventional approaches typically tie the current value to the market value based on the contracts in force
often not observable especially in the early stages of construction. In contrast, controlling approaches are built on an inverse
concept, as they address only realized payments and book value, while market value is ignored.
Our aim is to develop and provide an evaluation method which is able to determine the current market value of a construction
project in the construction phase based on data from both value-based risk analysis and controlling systems. The suggested
method provides data for a more sophisticated risk monitoring process for the participants.
Keywords: construction project; project controlling; risk management; owners value
1. Introduction
In the construction sector there is an obvious need for an effective project risk-monitoring and controlling system
conducive to the business success of the projects. Reviewing the relevant scientific literature, we can find approaches
to risk management with emphasis on enhancing the number of criteria, providing a fortified mathematical
background and applicability in practice. We believe that if the above-mentioned conditions are combined, an
advanced project risk management system can be defined. To develop a project risk monitoring system we used the
value-based financial risk management approach (Toth and Sebestyen, 2014). In the value-based financial risk
management process critical values of parameters are specified in the planning phase, and the occurrence of those
values need to be collected continuously in the subsequent phases. The critical values are calculated based on the
market value of the project just before its launch. Our hypothesis is that a project risk monitoring model that operates
not only in the planning phase, but also in the development phase and the operation and maintenance phases can also
* Corresponding author. Tel.: +36-1-4634221; fax: +36-1-463-1606.
E-mail address:Sebestyen@mvt.bme.hu
352
be elaborated if the current value of the project can also be expressed. The key for a much more sophisticated risk
monitoring system is to update the critical values continuously.
2. The need for a continuous holistic risk management method
In the project management literature, risk is defined as a measure of the probability and consequence of not
achieving project goals (see, e.g. Kezner, 2003; Beck, 2004; PMI, 2013), where project goals are typically related to
the implementation of construction (time, cost, quality) as a deliverable. Construction project management literature
tends to concentrate on specifying risk classes that jeopardize these project goals and focus on how to manage risks
based on those classes. For example, Tserng, & al., (2009) recently presented an advanced ontology-based
categorization of risk classes. Risk has become increasingly understood conceptually as the likelihood of an event
occurring within a project (Baloi, & Price, 2003; Purnus, & Bodea, 2013), although an event continued to cover a
wide range of meanings. The principal methods of risk measurement have spread from other scientific fields to
project management applications (for a summary see, e.g., KarimiAzari et al., 2011).
Although advanced risk management methods are highly supported by mathematical tools (Pajares and LopezParedes, 2011; Naeni and Salehipour, 2011; Aliverdi et al., 2013; Acebes et al., 2014, Batselier and Vanhoucke,
2015), they do not develop the risk monitoring process and methods in detail. Some of these works include
sophisticated mathematical methods for risk management; however, the ownership approach is still missing from the
criteria.
The challenge is not only to provide an integrated, holistic risk management method taking owners value into
consideration supported with proper mathematical models, but also to operate the project risk evaluation system
continuously throughout the whole life cycle of the project. Continuous data collection and feedback are key issues
for such a monitoring and controlling system. Although a combined evaluation method presented by Tth and
Sebestyn (2014) is able to determine the market value of a construction project in the planning phase, there are
controlling issues left unanswered focusing on the need of relevant data for keeping the project risk evaluation
system updated constantly in the development phase.
Obviously, an effective project monitoring and controlling system is fundamentally important in project-based
organizations. As Hazir (2014) highlights, a project monitoring and control system focuses on minimizing deviations
from project plans, identifying and reporting the status of the project, comparing it with the plan, analyzing the
deviations, and implementing the appropriate corrective actions. We agree that an effective system should clearly
define the monitoring policy and the intervention and control policy (prevent, intervene and correct). In project
management mature monitoring techniques and analytical models are employed for earned value management,
optimization tools, and decision support systems. In these above-mentioned areas of project management, continuous
monitoring is well defined and widely used, however, without an owners approach. In the field of risk management
it does not even exist. We attempt to deduce one because it would be beneficial to operate a project risk management
system at a highly developed level as well. In our opinion an integrated project risk management system is able to:
evaluate risk enhanced with the concept of owners value,
provide a practical, easy-to-use model with a significant mathematical background, and
continuously monitor and control the project in terms of its risks to start action plans.
The novelty of this paper is that it provides a continuous monitoring process in an integrated project riskassessment framework for construction projects.
With the suggested project risk monitoring method, the extended time horizon of assessment embeds a
continuously operated monitoring and controlling process that updates the environmental and project variables, and
produces forecasts for intervention not only in the development phase, but also in the operation and maintenance
phases.
3. Modelling approach for risk monitoring
As stated above, a starting point to conduct this research is an integrated risk management framework defined by
Toth and Sebestyen (2014). Figure 1 shows the value-based financial risk management process of a project.
The aim of risk monitoring is to check the occurrence of the critical values of parameters finalized in the planning
phase in accordance with the financial model within the same contractual framework. Although the financial model
353
is definite and permanent, if there were no significant changes in the contracts earlier, the current value of the project
is changing continuously because of the time value of money. To understand the problem, consider the changing of
the value of a construction project.
Let us define the value-driving parameter (xn,t) as an arbitrary variable that can have any effect on the financial
position of the owners of the construction project. n = (1,,N) refers to the nature of the parameter, and t = (1,,T)
refers to the given time period in years. All value-driving parameters are expectations.
Planning
Operation and maintenance
Development
y
Contract
amendment
?
Contract
amendment
?
Definitive
financial model,
risk assesment,
break-even
points, action
plans
Monitoring
Monitoring
Project
closure
Critical
parameters
?
Critical
parameters
?
y
Start action
plan
Start action
plan
Figure 1. Risk monitoring in the value-based financial risk management process.
Based on these value-driving parameters, the expected annual cash flows to the owners (CFt = s(x1,t,xn,t,,xN,t))
in year t can be calculated showing the expected change in the value of the owners equity related to the business
idea for that period. Figure 1 illustrates the cash-flows of an office project with rental utilization against time.
PVt
Development
Planning
Operation and maintenance
PV3
PV2
PV1
PVT-1
NPV3
NPV2
NPV0 NPV1
0
PVT
CF4 CF5 CF6
CF-0
CF1 CF2
CFT-1 CFT
CF3
Figure 2. Cash-flows, present values, and net present values at the end of years.
354
Based on the theory of capital budgeting, the value of the project right before the first investment amount paid is
the sum of the discounted cash flows, called net present value (NPV).
T
NPV =
t =0
CFt
(1 + r ) t
(1)
The discount rate (r) refers to the minimum rate of return requirement on the capital invested by the owners. As
the critical value of the NPV is zero, the harmful value of each value-driving parameter, called the economic breakeven point, (B(xn)) can be expressed as follows:
T
NPV =
t =0
s(x1,t ,..., xn,t (1 + B( xn )),..., xN ,t )

=0
(1 + r )t
(2)
B(xn) expresses the changes of xn parameter that occurs evenly in every year, which makes the projects net
present value equal zero. That is, a larger change in the value of xn makes the project destructive.
Thereafter the function of risk analysis is to determine the probability that changes in parameter xn are larger than
B(xn). If the probability density function of f(xn)) is known, then by integrating over minus infinity to B(xn), the
probability (P) that the value-driving variable is less than the break-even point can be determined.
P( < an B ( xn ) ) =
B ( xn )
f(x
(3)
)dxn
This approach works well in time 0, both owners value and risks can be determined, but in later years problems
of interpretation regarding the potential of offsetting cash flows arise. The exact time when the NPV is calculated is
essential. Financial theory says that costs that we do not have any impact on at a given time become insignificant
regarding the determination of the value. These costs are called sunk costs by financial theory. (For example, the
costs in the planning phase denoted with CF-0 in figure 2 are required for preparing project appraisal, but are usually
excluded from all analyses, because by then they have sunk.) Thus, once investment started, the current value of the
project is determined by the present value (PV) of future cash flows. Figure 2 shows that at the end of the first year
investment CF1 becomes sunk. At that point, the following cash-flows can be earned for less investment, and PV
increases with the sunken CF1. To calculate NPV1 we need the actual value of the construction. The problem is that
in the development phase it is usually very difficult to assign apparent market value to the investment, because there
is no feedback on market price. In this phase the project is usually unfinished and many contracts are still in force, so
the project could only be sold at high transaction costs.
Note that the risk monitoring method presented in this article applies to a stable contractual environment. If there
is a change in the structure of the project, a full revaluation is needed including the risk assessment processes. The
possibility of automatic risk monitoring is examined in this environment, which is continuous from a contractual
point of view.
On the time range of the project let us set time 0, which indicates the investment decision. The actual year is
designated with t. To find the value of a construction project, it can be assumed that according to the plans (and
contracts) other enterprises could produce the status of the building in the given year at similar costs as well.
Following this, the current value is tied to the costs spent, the elapsed time, and the expected cash flows of
subsequent phases. It is assumed, therefore, that the current value can be synthesized by the values of two phases: on
the one hand, from the present value (CF t ) of realized cash flows calculated in time t, and on the other hand, from
the latter cash flow expectations:
PVt ' =
PVt ' =
T
CFt
CF t
+
t
t
t =0t ' (1 + r)
t =1 (1 + r )
0 s(x
1,t ,..., x n ,t ,..., x N ,t )
t = 0 t '
(1 + r) t
(4)
T
+
t =1
s(x1,t ,..., xn ,t ,..., x N ,t )

(1 + r ) t
355
where x n,t comes from factual data of events already occurred. Technically, there is inverse discounting in the
years that passed, since here the values of t are negative.
On this basis, the calculation of the thresholds of risk analysis is to be reinterpreted, as
the value-drivers of completed sections are no longer subject to change:
PVt ' =
s(x1,t ,..., xn ,t ,..., x N ,t ) T s(x1,t ,..., xn,t (1 + B( xn )),..., x N ,t )

+
=0
(1 + r)t
(1 + r )t
t =0t '
t =1
0
(5)
After that, the determination of the probability of harmful events can be calculated using formula (3), however,
compared to the basic concept, the distance between B(xn ) and xn increases over time, and thus the probability of
harmful event n decreases. This phenomenon reflects that getting closer to the end of construction the chance of the
occurrence of any changes that would jeopardize shareholder value decreases.
The first part of formula (4) corresponds with the plan-fact analysis of controlling tasks, thus, this model does not
mean extra responsibility for the management. Still, risk monitoring is much more sophisticated in this way than risk
monitoring built on non-updated critical values set before the beginning of the project.
4. Conclusions
In project management sophisticated monitoring techniques and analytical models are employed for earned value
management, optimization tools and decision support systems, but as our literature review showed, not for the
continuous risk monitoring system. Although some of the employed risk management methods focus on advanced
mathematical tools, they leave out either the ownership approach from the criteria, or the applicability of continuous
usage. This research is based on a value-based risk management approach that includes the concept of owners value
and provides the mathematical background. In this paper we define an algorithm to facilitate continuous monitoring.
Our formalized, integrated risk management model describes the rather pragmatic phenomenon of the decrease of
risk, while the applicability of the process that we proposed in figure 1 is maintained. The model does not mean extra
responsibility for the management, but risk monitoring is far more sophisticated in this way than risk monitoring built
on non-updated critical values set before the beginning of the project.
References
[1] Acebes, F., Pajares, J., Galan, J.M., Lopez-Paredes, A. (2014). A new approach for project control under uncertainty. going back to the basics.
International Journal of Project Management 32, 423434.
[2] Aliverdi, R., Naeni, L.M., Salehipour, A. (2013). Monitoring project duration and cost in a construction project by applying statistical quality
control charts. International Journal of Project Management 31, 411423.
[3] Beck M. (2004). Obstacles to the Evolution of Risk Management as a Discipline: Some Tentative Thoughts. Risk Management, 6(3), 1321.
[4] Baloi, D., Price, A. D. F. (2003). Modeling global risk factors affecting construction cost performance. International Journal of Project
Management 2(4), 261269.
[5] Batselier, J., Vanhoucke, M. (2015). Construction and evaluation framework for a real-life project database, International Journal of Project
Management 33, 697710.
[6] Hazr, . (2014). A review of analytical models, approaches and decision support tools in project monitoring and control, International
Journal of Project Management. In Press, Corrected Proof, Available online 26 September 2014
[7] KarimiAzari, A., Mousavi, N., Mousavi, S. F., & Hosseini, S. (2011). Risk assessment model selection in construction industry, Expert
Systems with Applications, 38(8), 91059111.
[8] Kerzner, H. (2003). Project management, A systems approach to planning, scheduling and controlling. New York: John Wiley and Sons.
[9] Naeni, L.M., Salehipour, A. (2011). Evaluating fuzzy earned value indices and estimates by applying alpha cuts. Expert Systems with
Applications 38, 81938198.
[10] Pajares, J., Lpez-Paredes, A. (2011). An extension of the EVM analysis for project monitoring: the cost control index and the schedule
control index. International Journal of Project Management 29, 615621.
[11] PMI, (2013). A Guide to the Project Management Body of Knowledge (PMBOK Guide) (5th Ed). Project Management Institute, Newton
Square, Pennsylvania
[12] PMI, (2009). Practice Standard for Project Risk Management. Project Management Institute, Newton Square, Pennsylvania
[13] Purnus, A., Bodea, C. N. (2013). Considerations on Project Quantitative Risk Analysis, Procedia - Social and Behavioral Sciences 74, 144
153.
[14] Toth, T, Sebestyen, Z. (2014) Integrated Risk Management Process for Building Projects. Procedia Engineering 85, 510-519
[15] Tserng, H. P., Yin, S. Y. L., Dzeng, R. J., Wou, B., Tsai, M. D., & Chen, W. Y. (2009). A study of ontology-based risk management
framework of construction projects through project life cycle. Automation in Construction 18(7), 9941008.
356
A method for estimating contingency based on project complexity

Ali Touran, Jucun Liu
Professor, Department of Civil and Environmental Engineering, Northeastern University, Boston, MA 02115. a.touran@neu.edu
Graduate student, Department of Civil and Environmental Engineering, Northeastern University, Boston, MA 02115. liu.juc@husky.neu.edu
Abstract
Large transportation projects have been afflicted by poor cost estimates and large cost overruns. This paper uses transit projects in
the United States as an example to develop a probabilistic methodology for establishing sufficient contingency. Contingency is a
reserve budget for coping with risks and uncertainties and to help keep the projects on budget. The premise of the proposed
methodology is that accuracy of cost estimate is affected by project complexity. Also, there is an inherent underestimate in cost
estimates because the estimator estimates components costs based on the modes (most likely values) of cost distributions and
then adds up these modes to arrive at total cost. In fact, the means of these cost categories have to add up to the mean of the total
cost. The paper first suggests a correction for this error and then develops a methodology for establishing the level of complexity
for the project, and based on these steps, develops a method for calculating an adequate contingency budget.
In order to establish the contingency budget, first, a rating system is used to determine the complexity of the project. It is assumed
that the more complex projects are harder to estimate accurately, and the likelihood of cost overrun is higher for these projects.
Coefficient of variation is used as an indication of level of uncertainty in the cost and is assumed to be a function of complexity.
The rating system scores projects according to pre-determined factors that we believe contribute to projects complexity. Then
different coefficients of variations are assigned in accordance with projects complexity scores. It is shown that project
contingency can be computed based on the coefficient of variation and the desired confidence level specified by the user. A
validation is performed using a set of actual project costs.
Keywords: Complexity, Contingency, Cost uncertainty, Probabilistic, Transit projects.
1. Introduction
Large transportation projects have been fraught with cost overruns all over the world [2]. In a Transportation
Research Board (TRB)-sponsored project, Booz.Allen [1] analyzed a number of U.S. Transit projects and suggested
several reasons for cost overruns. These included scope creep, optimistic original cost estimates, insufficient
contingency, delays in project startup time, and items left out of the original cost estimates. In addition to these,
Flyvbjerg contends that political pressure by project champions may cause underestimation of project costs and
overestimation of its benefits [4]. Since early 2000s federal government in the United States started using
probabilistic approaches to validate transportation project cost estimates and to establish contingency budgets to
ensure adequate funding for these projects. In this approach a risk workshop is convened where experts in various
areas help to identify project risk factors and then provide a range of possible costs for these risk factors. The
outcome is a distribution for the total risks (or the total project cost depending on the approach) which will be used in
establishing project budget based on a desired confidence level. One of the main issues in this approach is that the
ranges established can be affected by the bias of the estimator. In other words, if the estimator is also a champion for
the project, his or her risk estimates tend to be on the low side. Because of this issue, in many transit projects, the
357
range for the total costs was completely eclipsed by the actual costs because the actual project costs exceeded the
most pessimistic cost range.
This paper proposes an approach that minimizes the effect of bias in the calculation of total costs. Our area of
emphasis in this paper is transit projects in the United States. The approach is general however, and with appropriate
modification can be applied to projects in other parts of the world. The premise of the proposed methodology is that
the estimator estimates components costs based on the modes (most likely) of the cost distributions and then adds up
these modes to arrive at total cost. In this approach it is assumed that any significant cost component is a random
variable rather than a deterministic value. The estimator only considers one realization of this component when
estimating. It seems reasonable to assume that the estimator is using the most likely value or the mode of the cost
distribution, the same way that a scheduler in PERT approach estimates activity duration based on its most likely
value [8]. The estimator eventually adds up these modal values to arrive at a total cost estimate. The issue is that
means of these cost categories have to add up to the mean of the total cost. The sum of the modes does not equal to
the mode of the sum. The paper first suggests a correction for this error by considering the probability distribution of
cost components and then develops a methodology for establishing an adequate contingency budget.
1.1. Standard Cost Categories (SCC) for Capital Projects
According to the Federal Transit Administration (FTA) [3], all transit projects requesting federal support will
have to submit a cost estimate for their project according to the format called the Standard Cost Categories (SCC).
Standard Cost Categories is a consistent format for reporting, estimating and managing of capital costs for New
Starts projects since 2005. It is believed the information collected from this format across the country could be
beneficial to FTA in future cost estimate, because it allows cost comparison among transit projects and will allow the
cost anomalies to be identified more easily.
Based on FTAs Standard Cost Categories (SCC) for Capital Projects, a transit projects cost is broken down into 10
categories (Table 1).
Table 1. Standard Cost Categories for Capital Projects (FTA)
SCC
Category
10
Guideway & Track Elements (Route Miles)
20
Stations, Stops, Terminals, Intermodal (Number)
30
Support Facilities: Yards, Shops, Admin. Bldgs
40
Sitework & Special Conditions
50
Systems
60
Row, Land, Existing Improvements
70
Vehicles (Number)
80
Professional Services (Applies To Cats. 10-50)
90
Unallocated Contingency
100
Finance Charges
The traditional way the estimators use can be explained as following. When faced with a new transit project,
estimators will examine what items are needed. For every detailed component, such as procurement of steel,
concrete, etc, estimators usually keep a record of previous prices. Then from these historic records, estimators
normally choose a value for use in the cost estimate. Given the uncertainty of costs especially in the future, it can be
assumed that cost components are random variables following certain distributions. Past research shows that the cost
for a detailed component in construction costs follows a lognormal distribution ([9] and [10]). This is intuitively
acceptable although it has been verified quantitatively in previous research. Costs are positive and bounded on the
lower side (cannot have negative cost), while at times the possibility of assuming very large costs are not unrealistic,
hence a lognormal distribution makes sense. As the cost estimate is done deterministically, the estimator picks the
most likely value of each cost to generate his or her estimate. In other words, the estimator is working with the
modes of cost distributions [9]. The use of mode is well understood in the industry. For example, in PERT
scheduling, the scheduler models uncertainty in project activity durations by providing pessimistic, most likely
358
(mode), and optimistic estimates of duration [8]. Furthermore, while in highway projects, because of the large
number of projects, it is possible to use the mean values of unit prices for former projects from Departments of
Transportation webpages, this is not possible for transit projects as there is no detailed unit prices available for transit
projects and the number of projects are much fewer compared to highways. Furthermore, even in highway projects,
the State DoTs usually only use the lowest bids in calculation of the listed average unit prices on their webpages and
that creates a bias in the estimate of the mean of the distribution.
Normally, the base cost of a transit project (excluding contingency and finance charges) can be divided into 8
categories from SCC10 to SCC80 as presented in Table 1. These 8 categories contain numerous sub-phases and these
sub-phases may contain even more sub-components. The lognormal assumption discussed above is only valid when
the most detailed category is concerned. At each detailed stage, estimators normally choose the most likely value for
each item, i.e., the mode.
2. Basic Error in Total Cost Estimate
According to central limit theorem, when summing several lognormal distributions, the sum will converge
towards a normal distribution, assuming independence between distributions. When summing distributions together,
the mean after summation will simply be the sum of means of each lognormal distribution. However, the same
cannot be said about the value of modes. Therefore as the summation of distributions proceeds, the mode of the final
normal distribution will not be equal to the sum of modes of those original lognormal distributions. As the estimator
is working with modes, the total cost is assumed to be the most likely cost of the project. Errors occur in this process
as there is a difference between mode and mean of a lognormal distribution. The next section describes the correction
of this error.
The mean, mode and variance of a lognormal distribution are:
m=
E(x) =
(1)
2
+
2
Var(x) =(
(2)
1)
2+ 2
(3)
where and are mean and standard deviation of the underlying normal distribution, and m is the mode of the
lognormal distribution. Now, if n lognormal random variables are summed up, we have:
Sum of modes = mi =
=1
(4)
Sum of means = T = sum of E(x) = E(x) =
Then the difference between sum of modes and T :

= T - mi = =1 +
2
2
=1
=1
2
2
(5)
(6)
From Equations (2) and (3), 2 and can be obtained.

2=ln 1 +
Var(x)
E(x)2
2
=ln(m) +
= ln[1 + c. o. v 2 (x)]
(7)
(8)
In Eq (7), c.o.v is coefficient of variation which is the ratio of standard deviation over mean.
Using Eqs (7) and (8) we have:
= ln( ) + 2 = ln[ (1 + . . 2 )]
E(x) =
2
+
2
(9)
ln(1+..2)
ln 1+.. 2 +
2
3
2 2
= (1 + . . )
359
(10)
= Expected value mode = (1 + . . 2 )2
=1
= =1
[ (1 + . .
2 )2
(11)
(12)
Where is the difference between the total estimate (m) and the total expected value. The increase in cost
estimate needed to bring the estimate to the mean total cost is calculated from Eq (13).
Increase =
3
[1+.. 2 2 1]m
= (1 + . . 2 )2 1
(13)
It can be seen that using the proposed approach, as long as projects have the same c.o.v, their percent increase will
remain the same. This finding actually will help the future process of creating charts for estimators to use because
c.o.v is the only determining factor.
3. Effect of Complexity on Project Cost
It can be argued that c.o.v is a representation of a projects cost uncertainty. At least part of cost uncertainty (or
the inaccuracy of cost estimates) can be attributed to the complexity of the project. Complexity of a project can
originate from several aspects. Everything from scope to construction can influence a projects complexity. Gidado
[5] suggests that there seems to be two perspectives on project complexity in the industry: the managerial aspect,
which involves the planning of bringing together numerous parts of work; and the operative and technical aspect.
Wood and Ashton [11] suggest that high number of trades involved and long timescale will increase projects
complexity. Hartmann, et al [6] discussed factors which can increase the complexity of a subway project. In this
report, existing heavy traffic, having several construction components underground, public concern, tight site
conditions, and multiple contractors all make the project complex.
In this research, we studied 28 transit projects completed in the past three decades in the United States and
identified nine criteria to represent a projects complexity ([1] and [7]). After further analysis, these criteria were
further refined because it was felt that there were several criteria that correlated with others and double-counted a
projects complexity score. Eventually, the following five criteria were selected for measuring a projects
complexity: (1) Project Changes, (2) Duration of Project, (3) Multiple Contracts, (4) Underground Work/Complexity
of Stations and (5) Utility Relocation. Each transit project in the database was rated according to these five criteria
and each project was identified as having a low, medium, or high level of complexity. For a detailed description of
this process please refer to [7]. Table 2 shows the ratings (scores) that were used for assessing the complexity of
projects. Complexity score could be an integer between 1 and 5 and the c.o.v was selected as 0.1, 0.2, or 0.4
depending on the complexity.
Table 2. Project complexity score vs c.o.v
Score
Coefficient of Variation
Complexity
0-1
2-3
4-5
0.1
0.2
0.4
Low
Medium
High
4. Estimating Contingency
For this research, we define contingency as the percentage that has to be added to the base estimate to arrive at the
desired project budget (Eq 14).
=
()
()
360
100%
(14)
By re-writing Eq (14) and some manipulation, Eq (15) can be transformed into Eq (16) [7].
Contingency =
[ ()]+[ () ]
(15)
3
= . . (1 + . . 2 )2 + [(1 + . . 2 )2 1]
(16)
In Eq (16), Z is the statistic for a standard normal distribution [(x-)/]. Using different values for Z one can
establish a desired confidence level for project budget. Figure 1 shows the outcome of this analysis. For example, if
after careful consideration of project characteristics, the level of complexity of the project is determined to be
medium, and if the owner is comfortable with a budget that ensures project completion within budget with a
likelihood of 80% (a figure that is typically used in transportation projects in the United States), then they need to
adjust the base estimate (estimators prepared estimate without any contingencies) by a factor of 1.239. A confidence
level of 90% would require an adjustment of 1.332. An important factor to consider is that these values will depend
on the level of scope definition. The less the scope is developed, the higher the uncertainty. Figure 1 values are
produced based on information at the end of final design.
Figure 1 Percent Contingency vs Confidence Level for Projects with medium Complexity (c.o.v =0.2) at the end of Final Design
5. Validation of Model Results

In order to test the validity of the model results, we reviewed the 28 transit projects in the database. For each
project, the base cost was estimated. For this purpose, the estimate at the end of final design was reduced by 10%
(the assumed contingency as the actual value of contingency was not reported) to arrive at base cost estimate for the
project. This is assumed to be the sum of modes of project components. For each project, the level of complexity was
established and then using charts similar to Figure 1 (depending on project complexity), the contingency percentage
as defined in this paper was established for various confidence levels.
Table 3 gives the results of this analysis. For example, the analysis shows that applying the contingency
percentage as suggested by this paper, 78.6% of projects (22 out of 28 projects) would have not exceeded their
established budgets. This number is arrived by assuming a confidence level of 75%. Table 3 shows that there is
reasonable agreement between the model output and the actual project performance. Because there were only 28
361
projects in the database, percent of projects with no overrun are more discrete compared to the continuous function
that defines the confidence level resulting from the application of the model.
Table 3. Percentages of projects having no overrun
Confidence level
Percentage of projects having no overrun
75%
67.9%
80%
85%
90%
78.6%
85.7%
85.7%
6. Conclusion
A probabilistic method is presented to help in establishing capital budgets by considering the inherent
underestimation of cost in traditional estimating approach and also the project complexity. A desired confidence
level can be selected by the project owner and a budget calculated. The approach also helps remove the estimators
bias in estimating project costs.
References
[1] Booz.Allen & Hamilton (2005). Managing Capital Costs of Major Federally Funded Public Transportation Projects, Booz-Allen & Hamilton
Inc., Mclean, VA.
[2] Dantata, N.A. (2005), Cost overruns in federally funded transit projects, MS Thesis, Northeastern University, Boston, Massachusetts.
[3] Federal Transit Administration (FTA) (2011), Standard Cost Categories (SCC) for Capital Projects, FTA, Washington, D.C.
[4] Flyvbjerg, Bent, Mette S. Holm, and S. Buhl. (2002). Underestimating Costs in Public Works Projects, Journal of American Planning
Association, Vol. 68, No. 3, 279-295.
[5] Gidado, K. I. (1996). Project complexity: The focal point of construction production planning, in Construction Management and Economics,
Vol. 14, U. K.: Taylor and Francis, pp. 213-225.
[6] Hartmann, T., Goodrich, W., Fischer, M., and Eberhard, D. (2007). Fulton Street Transit Center Project: 3D/4D Model Application Report,
Stanford Univ., Stanford, CA. TR-170.
[7] Liu, J. (2015). A new methodology for establishing adequate budget for capital projects, MS thesis, Northeastern University, Boston,
Massachusetts.
[8] Moder, J. J., C. R. Phillips, and E. W. Davis (1983), Project Management with CPM, PERT and Precedence Diagramming, 3rd Ed., VNR,
New York, NY.
[9] Moret, Y. (2011). Modeling cost and time uncertainty in rail line construction, Ph.D. Thesis, Dept. Civil. Eng., M.I.T, Boston, MA.
[10] Touran, A and Wiser, E. (1992). Monte Carlo Technique with Correlated Random Variables, J. Constr. Eng. Manage., Vol. 118, pp. 258272.
[11] Wood, H L and Ashton, P. (2009). Factors of complexity in construction projects, In: Dainty, A. R. J (Ed) 25th Annual ARCOM
Conference. Albert Hall, Nottingham, UK, Association of Researchers in Construction Management.
362
A system for tender price evaluation of construction project based on

big data
Yongcheng Zhang*, Hanbin Luo, Yi He
Abstract
Tender price evaluation of construction project is one of the most important works for the clients to control project cost in the
bidding stage. However ,the previously underutilization of project cost data made the tender price evaluation of new projects lack
of effective evaluation criterion, which brings challenge to cost control. With the improvement of companies information
technology application and the advent of big data era, the project cost-related data can be completely and systematically recorded
in real time, as well as fully utilized to support decision-making for construction project cost management. In this paper, a system
for tender price evaluation of construction project based on big data is presented, aiming to use related technique of big data to
analysis project cost data to give a reasonable cost range, which contributes to obtaining the evaluation criterion to support the
tender price controls. The paper introduced the data content, data sources, data extraction, data storage and data analysis of the
system respectively. A case study is conducted in a metro station project to evaluate the system. The results show that the system
based on big data is significant for tender price evaluation in construction project.
Keywords: System; Bid price evaluation; Construction project; Big data
1. Introduction
It is of great significance for clients construction projects success to carry out construction cost management
during bidding stage. The clients want to make projects be built with limited economic resources; while the bidder is
in pursuit of maximum economic efficiency [1,2]. Therefore, during the construction project bidding phase, clients
evaluate bids submitted by bidders, which we called bid evaluationmainly considered on the basis of economic
standards and technical standards.. Evaluation of the technical standards often can get perfect results with the support
of experienced technical experts. However, as for evaluation on economic bid, due to the technical dependency of
project cost, and market-related prices and other characteristics in economical bid there exists some limitations in
current economic evaluation, including mainly focusing on evaluating the total price and unbalanced quote as well as
difficulty in assessing the price of engineering projects subheadings [3]. Previously, the method of limiting score
within the bidding price was used in bid evaluation, which setting control range for bid prices which participate in
rating (typically + 3% to -8%). The bidder whose bid price beyond this range will lose qualification for bid
evaluation and bid wining. This evaluation method adds to the risk of revealing base price [4]. At present, reasonable
low price bid evaluation method is used in China[5]. Therefore, how to evaluate the reasonableness of the tender
quoted price has become an important issue for successful bidding. Solution to this problem is to make full use of
* Corresponding author. Tel.: +86-18086482233; fax: +86-027-87557124.
E-mail address:cquzhych@126.com
363
previous project cost data, conducting data mining analysis and providing a reference for bid evaluation of new
construction projects. Before the advent of the era of big data, construction project cost data did not get deserved
attention, which was reflected in that the project cost data was frequently narrowly thought as the project cost report
data. Data storage formats and storage media are different, as well as serious data partitioning, etc. From the
perspective of big data, the concept of project cost data should be generalized, including engineering basic
information data, engineering construction cost data and engineering technology scheme data etc. And the types of
these data include documents, forms and other types. Considering from the amount and updates of data, project cost
data has typical features of big data: large, emerging quickly, multi-sourced and heterogeneous [6,7]. Big data
technologies application in the Internet, medicine and other fields can provide reference for construction cost
management[8,9]. At present, it is rare to see introduction of relevant storage and analysis technology of big data
based on traditional relational database for conducting cost control during bidding phase in construction cost
management field [10,11,12].
The main purpose of this article is to use big data technologies to study quoted price evaluation in cost control
during construction bidding phase. The project cost data collection, extraction, storage, transmission and analysis are
carried out and engineering subheadings reasonable price range is obtained in this paper, which is reasonable to
evaluate the bidder's tender price, and the decision support system platform was developed.
2. Big data and related technology
2.1 Big data
With the all-round development of network and hardware facilities such as sensor and server, the era of big data
has already come. Big Data technologies promote many firms to integrate their needs, creating unimaginable
economic benefits, and achieving great social value with high commercial potential. Different industries use big data
to generate great value and benefits, which shows unprecedented social potential not just the data itself. As for
academia, Nature has launched a special issue of Big Data in 2008[13]. In February 2011,Science launched the
special issue Dealing with Data, mainly discussing the problems of big data scientific and explaining the importance
of big data science [14].
As for big data, it has not yet come up with an accepted definition. The definition of 3V is more representative
that considering big data should meet three characteristics: volume, variety and velocity. In addition, the definition of
4V is put forward by other person to trying to add a new feature on the basis of 3V.International Data Corporation
(IDC) has agreed that the data should also have a quality of value[15].The value of big data often exhibit
characteristics of rarefaction. By the use of new processing mode, big data has more decision-making power and
insight to optimize processes to achieve high growth rates and process vast amounts of diverse information assets.
Big Data can be defined as a social process that collect large-scale data within a reasonable time and become more
effective decision-making to help users. Table 1 is comparison between typical big data application.
Table 1 comparison between typical big data application
Application
Examples
Number of users
Response time
Data scale
Reliability
Accuracy
Internet of things
Mobile data
Social network
Sensor network
Mobile phone
Facebook
High frequency
trading
Bioinformatics
Large
Very large
Very large
Fast
Fast
Fast
TB
Tb
PB
High
High
High
High
High
High
Large
Very fast
GB
Very high
Very high
Small
Slow
TB
Moderate
Very high
Finance
Scientific
2.2 Big Data technologies

Reflecting the great value of big data requires coordination of multiple technologies. File system provides the
support to bottom storage. In order to manage the data, it needs to establish a database system on the file system. By
establishing indexes and providing efficient data query functions, useful knowledge is extracted from big data by
using analysis techniques in the database.
364
Cloud Computing is a large data base platform and supporting technology, involving a lot of technologies and
algorithms. In 2006, Google proposed the concept of cloud computing firstly. The development of a variety of big
data internal applications in Google are supported by a series of cloud computing open-source tools, which integrate
to a platform called Hadoop15.Hadoop has become a complete ecosystem including the file system (HDFS), database
(H Base, Cassandra), data processing (Map reduce) and other functional modules. Data processing involves series of
algorithms, such as Genetic algorithms, neural networks, regression analysis, clustering analysis and association rule
learning. To some extent, it can be said that Hadoop has become the real standard for processing big data tools.
3 Design for construction project bid price evaluation system based on big data
3.1 System framework
System framework provides an important basis for the system software development. Bid price evaluation system
based on big data includes four levels: construction cost data collection layer, data acquisition and integration layer,
data analysis layer and user-oriented application layer.Fig1 gives the system frame of project bid price evaluation.
(1)Data collection layer is the basic layer of the system, which mainly focuses on data collection related to project
cost data. Basic informationconstruction technical scheme information and project cost information about the
project are included. Structured, semi-structured and unstructured data are the main type of the information, through
automatic collection mechanism, the completed project cost data are collected continuously into the system.
(2)After identifying the source of data, it is necessary to extract and integrate construction cost data, including
automated data extraction, relationship building, data cleaning, and data quality assessment and so on. It aims to
transform the raw data to those stored in certain rules and form big data center.
(3) Data analysis layer. Further data processing and analysis of business applications are continued by using
mathematical and statistical methods, data mining and machine learning algorithms etc. it can provide the correlation
law discovered from cost data for managers decision making. At the same time, data visualization techniques are
considered to present the analysis results in most easily understood way.
(4) The top layer is the user layer, namely layer of human-computer interaction, including data input, data output,
results of statistical analysis etc.
Manager
Manager
Users
Enterprise
Enterprise
Government
Government
Human-Computer
Human-Computer Interaction
Interaction
Data Analysis
Statistics
Statistics
Data
Data Mining
Mining
Storage for Massive Associated Data
Data Extraction
and Integration
Aggregation
Aggregation and
and Correlation
Correlation
Data
Data Integration
Integration
Data
Collection
Project
Basic Data
Machine
Machine
Learning
Learning
Data
Data Quality
Quality
and
and
Credibility
Credibility
Data
Data Extraction
Extraction
Project
Characteristics Data
Construction
Scheme Data
Cost Data
Structured
Semi-structured
Unstructured
Fig1. System frame of construction project bid price evaluation
365
3.2 Research on big data collection system for construction cost

(1) The source of the construction cost data
It is first step for the construction cost data analysis to collect the cost data. Currently, the main source of
construction cost data derived from the following three aspects. The first aspect is the accumulated research cases of
the team on practical projects. The second aspect data is from the cooperation agreement signed with the companies
to dig the value from cost data. These companies included the clients, contractors and cost consulting firms. The
third aspect is to sign a cooperation agreement with the government construction project management departments
and analysis these construction cost data. The three aspects of data sources constitute the data collection source of
construction cost big data together. In order to ensure the timeliness and accuracy of data sources, cost data from the
relevant parties can be linked directly to the system and imported into the system after the signing a cooperation
agreement with the parties. As a result, construction cost data can continue increasing.
(2) The content of the construction cost for big data collection
Basic project information, construction technical scheme information and project cost information are included in
construction cost data acquisition. Basic project information collection includes project number, project name,
project year, construction site, construction companies and the total duration of the basic project profiles. Projects
characteristic information is based on different type of projects. Setting metro station project as an example: its
feature information contains the project type, station type, station excavation depth, station planar shape, the
surrounding environment, soil conditions, hydrology, and construction method and so on. Construction technical
scheme information is mainly to complete the construction project process engineering methods, machinery,
materials and other information. Project cost information mainly contains the total price, the unit construction cost,
cost of division component project , the main quantity and price.The collected data will be integrated and merged,
then form data cube and dimension on integrated circumstances. Fig2 shows a local project cost cube.
Fig2 Data cube and dimension design
(3) Methods of construction cost data extraction

At present, construction cost data in different structural forms are stored in different databases, including
formatted report data stored in the system, text data stored on the computer, tabular data, picture data and various
projects cost data stored in paper. Different types of data demand different data processing method. The common
way is to transform the unstructured data into a semi-structured data or structured data. The semi-structured data has
been able to meet data processing demand stored in big data center. On the contrary, using processing method
including manual sorting, automatic processing of artificial intelligence algorithms, such as automatic text scanning,
text recognition, image recognition, text mining methods, transform into structured data, which may use these proper
methods to extraction project cost data.
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3.3 Construction Cost Data Security Analysis

Construction cost data is commercial secrets of enterprises, which is the core of enterprise data. Therefore, the
safety management of project cost data is extremely important. In order to strengthen the safety management of
project cost data, it mainly focuses on the data encryption processing, management level of permissions settings and
accountability mechanisms. Firstly, project cost data needs to be anonymized by using an encryption algorithm.
Secondly, access permissions which differ form varies levels are set for all the relevant parties with access to the data
and the responsible person. Finally, accountability mechanism is established for relevant parties and responsible
persons. Entities and individuals who brought negative influence to project cost or caused loss of data leakage by
personal reasons should be punished. Through the design of the three levels, the project cost data security can be
ensured.
3.4 Construction Cost Data Methods
Cost management is supported by cost data analyzed by different algorithms, which includes time series analysis,
clustering analysis, statistical algorithms, case-based reasoning and other artificial intelligence algorithms. Here are a
few algorithms.
Case-based reasoning method is one of the commonly used correlation analysis algorithms. A popular explanation
is to find a new solution of practical problems. Firstly, similar problems are found in the library experience from
similar problems in the past solution, and use it as a starting point for solving practical problems solution. The
solution is obtained by adaptations to new problems.
Cluster analysis is ideal multivariate statistical techniques, mainly including the hierarchical clustering method
and iterative clustering method [17]. Cluster analysis, also known as group analysis or point group analysis, is a
multivariate statistical method research classification. Different construction projects have different engineering
properties. It can be clustered according to the decision-making project engineering properties and obtain similar
information together into a project cost of the class after the project cost analysis for decision-making has a direct
reference value.
Time series analysis is a statistical method for dynamic data processing. The time series is a set of chronological
sequence of numbers. Time series analysis use this set and the application of mathematical statistics to predict the
future development of things. The method is easy to grasp, but the accuracy is poor. Generally its only suitable for
the short-term prediction. The method can be used for decision-making of the project sub item price reasonable
interval calculation and analysis.
4. Case study
It has been developed that bid price evaluation system prototype of construction project based on collecting a
large number of subway station project cost data. The system platform which is called metro project management
platform has been preliminary applied in some subway station projects, and the application effect is rather good.
When potential contractors get the quantities of a new subway station project, they will carry out project bidding.
Then the potential contractors will make a bidding quotation after the overview of the construction project. The main
bidding quotation includes bill of quantities quote and quotation analysis of comprehensive unit price. These two
aspects will be investigated by tenderer, especially the quotation analysis of comprehensive unit price. The bid price
evaluation system can analyze construction project characteristic information and the cost data of the project that has
been finished. It uses the data association (PDA) algorithm, statistic and time series method to get a reasonable price
range for the bidding quotation which is suitable for the cases that has same characteristics in the same period, and
this bidding quotation range regard as a reference standard for the construction bid assessment. It likes the laboratory
sheets of the hospital which including both experimental value and reference value, marking some test value weather
is high or low to give patient a reference.
When the bidders log in the system and fill in system with construction project data while the information format
is required strictly, system will evaluate quotation automatically and alarm the tenderer which project unit price is
high and low in visual way. The experts will censored this unreasonable project unit price by this warning and asking
the bidder to explain in order to avoid the unreasonable and unbalanced quotation, etc. Fig3 and Fig4 are the
interfaces of the system.
367
Fig3 The input interface of system
Fig4. The result of system analysis
It can be seen from the above table, calculating a reasonable range for the bidding quotation, when the bidders
submit bid price, the system can make a compare to tender with the reasonable range automatically. It shows the bid
price range whether beyond the control or in the interval of range in a visually way, which can give tenders a useful
reference to revalue the bid price. With construction cost data increasing rapidly, the price range calculated by
system will be more accurate.
5 Conclusion
With the advent of the era of big data, it will produce huge impetus to construction cost management with the
steady accumulation of cost data. The decision support which is made by the system will be more correctness,
dynamic and scientific. It can help the clients or tenders to evaluate the bidding quotation usefully.
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2013,24(8):1786 1803 (in Chinese). http://www.jos.org.cn/1000-9825/4416.htm
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[14] Bryant R, Katz R H, Lazowska E D. Big-data computing: creating revolutionary breakthroughs in commerce, science and society[J]. 2008.
[15] L. Kart, High-Tech Tuesday Webinar: Big Data Opportunities in Vertical Industries, Gartner, Webinar, ID No. G00236293, Aug. 8, 2012.
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[17] Nair S.Mehta J. Clustering with Apache Hadoop[C]//Proc of ICWET 2011.New York:ACM.2011:505-509.
368
Creative Scheduling in Construction
Investigation of the case-based reasoning retrieval process to

estimate resources in construction projects
Borja GARCA DE SOTOa,*, Bryan T. ADEYa
a
Institute of Construction and Infrastructure Management, ETH Zurich, Stefano-Franscini-Platz 5, Zurich, 8093, Switzerland
Abstract
Case-based reasoning (CBR) is a methodology that is seeing increasing use to make predictions during the early phases of a project.
It allows estimators to exploit existing knowledge to make predictions that are considerably better than without its use. All CBR,
however, is not identical, and variations in how CBR is done can affect the accuracy of the predictions. One particular area of
sensitivity is the retrieval phase, i.e. the way in which the CBR determines the closeness between the new and the existing cases.
In this paper, CBR is used to make estimates of resources for construction projects, and the use of the nearest neighbor technique
to identify the similarity for the retrieval phase to predict the construction material quantities (CMQs) in concrete structures is
investigated. Two types of distances, i.e. 1) the City-block distance and 2) the Euclidean distance, and four different types of weights,
based on regression analysis and feature counting, to account for the relative importance of the different parameters, are investigated.
The four different types of weights used were 1) the adjusted unstandardized coefficients from the regression models, 2) the
unadjusted unstandardized coefficients from the regression models, 3) the standardized coefficients from the regression models, and
4) equal weights (i.e., feature counting), in which the weights applied are 1/k, and k is the number of parameter being compared to
determine the distance.
The mean absolute percentage error (MAPE) was used to evaluate each combination investigated. It was found that for a similarity
threshold of 90%, the CBR methodology using the City-block distance with the adjusted unstandardized coefficients from the
regression analysis models using the transformed (LN) dataset as weights, gave the best results, with a MAPE of 8.16%. The worst
results were obtained from the CBR methodology using the Euclidean distance with feature counting weights, with a MAPE of
28.40%.
Keywords: artificial intelligence, case-based reasoning, preliminary estimates, resource estimates, retrieval process.
1. Introduction
Case-based reasoning (CBR) has been used to make estimates in construction projects. [01] compared CBR with
multiple regression and neural networks and found that the NN model made more accurate estimates than either the
models using regression or CBR; however, the latter performed better than the NN model with respect to long-term
use and maintenance, and resulted in a better balance between the time to develop the model and the accuracy of the
estimates. The CBR system was developed based on ESTEEM, a CBR development tool, produced by ESTEEM
Software Inc. Other researchers have used CBR in combination with other techniques. For example, [02] evaluated
different ways to determine the weight of attributes in a CBR model for the estimation of construction cost of residential
buildings in Korea. They used three methods: assumed equal weights (EW), the gradient descent method (GDM), and
the analytic hierarchy process (AHP). The results showed that the AHPCBR model was more accurate, reliable, and
explanatory than the EWCBR model, which applied equal weights for the attributes, and the GDMCBR model,
which determined the weights of attributes using the GDM. Similarly, [03] developed a hybrid analytic hierarchy
process (AHP) using CBR to estimate the cost of highway projects in South Korea. The AHP method was used to
370
assign the weights to the different cost factors. [04] developed a CBR hybrid model for the prediction of duration and
costs made during the early stages of multi-family housing projects in Korea. The CBR used the nearest-neighbor
retrieval method for the similarity function. [05] worked on a CBR model that used the standardized coefficients from
multiple regression analysis as attribute weights to determine the case similarity and the unstandardized coefficients
for the revision phase. [06] developed a conceptual cost prediction model that combined rough set theory (RST), CBR
and genetic algorithms (GA) for cost estimates during the conceptual planning phase of public road projects in Korea.
When comparing the mean absolute percentage errors (MAPEs) from the CBR model with the traditional cost per mile
method, they found that the CBR model performed better than the traditional method. [07] developed a GA-based CBR
system to predict the construction cost of high-rise buildings in South Korea during the preliminary design stage. They
found that the errors from the GA-based CBR system were lower than feature counting-CBR system (in which all
factors were assigned equal weights).
Although most of these CBR systems use the nearest-neighbor retrieval method, they do not explore different
similarity functions. In addition, with few exceptions ([08, 09]), CBR has been mostly used to estimate construction
costs directly, as opposed to estimate construction material quantities (CMQs) during the early phases of a project. In
addition,
To address these limitations, this paper concentrates on CMQ estimates. This type of estimates are beneficial
because they allow for a clear separation between technical estimates (quantities) and market fluctuations (cost of
materials and labor) and they can be easily coupled with cost data (i.e., the corresponding unit cost for each estimated
CMQ) to develop cost estimates ([09]). For example, the CMQs or their unit costs can be updated separately during
the different phases of the project. In addition it puts managers in a better position to make decisions and keep track of
the project by controlling the changes in quantities and costs independently ([09]). The use of CBR allows the
exploitation of existing knowledge to significantly improve such estimates. Variations in how CBR is implemented,
however, can affect the accuracy of the estimates, especially in the retrieval processes, i.e. the way in which the
closeness (or similarity) between the target and the existing cases is determined.
In addition, different variations of the retrieval process in CBR are investigated. The effect is evaluated by using
CBR to estimate the CMQs to be used in concrete structures. All investigated retrieval processes use of the nearest
neighbor technique to identify existing structures that are similar to the target structures. The differences in the retrieval
processes investigated are the types of distances and the types of weights used to account for the relative importance
of the different parameters. The two types of distances are, 1) the City-block distance and 2) the Euclidean distance.
The four types of weights are 1) the adjusted unstandardized coefficients from regression analysis models, 2) the
unadjusted unstandardized coefficients from regression models, 3) the standardized coefficients from regression
models, and 4) equal weights (i.e., feature counting), in which the weights applied are 1/k, and k is the number of
parameters being compared to determine the distance. The variations in the retrieval processes are evaluated by
comparing the MAPE of each.
2. The retrieval process
The retrieval process is the first step in CBR. It requires determining the key parameters to be used to match the
target cases with the similar existing cases, determining the values of the key parameters of the target, and determining
which of the existing cases have values of the key parameters that are similar to the target case. There are different
methods to determine the distance between the existing cases and the target, e.g. the nearest neighbor method, the
induction method, the knowledge based induction method, and the template retrieval method ([10]). The most common,
however, is the nearest neighbor method ([11]). Within the nearest neighbor method, it is possible to use different
similarity functions ([12, 13]), which essentially varies the range of the values of the key parameters considered to be
similar.
2.1. Distances
The calculation of the distance using the nearest-neighbor method uses a form of the power, or Minkowski, distance
[Equation (1)], in which the user defined variables, p and m, can be modified to achieve the desired distance function.
For example, when p = m = l, the distances will be calculated in accordance with the City-block distance; when p = m
= 2, the distances will be calculated in accordance with the Euclidean distance ([12]). The Euclidean distance is the
most common ([13, 14]).
371
Dist ( X=
,Xj)
o
( x
n
oi
x ji
i =1
1/ m
(1)
Where,
Xo : existing case
Xj : target (i.e., new) case
xoi : scaled value of the ith parameter for the existing case (Xo)
xji : scaled value of the ith parameter for the target case (Xj )
n : number of parameters, from i = 1 to n
p : user-defined variable related to the importance of the differences of individual parameters
m : user-defined variable related to the importance of large differences between the cases being compared
In these calculations if the parameters have different ranges then the parameters with the large ranges can overpower
the ones with smaller ranges. For example, if two parameters, and were used to determine the Euclidean distance,
and can have values ranging between 1 and 1,000, while can have values ranging between 1 and 10, then the effect
of on the distance function will be over-shadowed by . To avoid this problem, the parameters used to calculate
distances should be normalized ([14, 15]). One way to do this normalization is to scale the values of all parameters to
be between 0 and 1 [using Equation (2)].
X i X imin
X max X min
= X=
X i , norm
i
i
i
0.5
Where,
Xi,norm :
Xi :
Xi min :
Xi max :
; X imax > X imin

(2)
; X
max
i
=
X
min
i
normalized value between 0 and 1

raw parameter to be normalized
minimum value for parameter Xi (minimum of input 1 or existing)
maximum value for parameter Xi (maximum of input or existing)
This scaling is convenient because it defines the maximum and minimum value for the distance and makes it
possible to use the values of different parameters even if their natural values are on different scales. Using the 0-1
range, the basic concepts of bounded ranges, reflexivity, and symmetry ([15, 16]), summarized below, are met.
Bounded ranges: Sim(x,y)1 Dist(x,y)0 (non-negativity)
Reflexivity: for x=y, when Sim(x,y) = 1 Dist(x,y)=0, and vice-versa
Symmetry: Sim(x,y)=Sim(y,x) Dist(x,y)=Dist(y,x)
2.2. Weights
To account for the relative importance of each parameter, the distances are weighted based on the relative
importance of the different key parameters ([11]) [Equation (3)]. For example, in the determination of the value of an
estimate, an increase of one unit in the value of variable may be results in a much larger increase in the estimate than
an increase of one unit in the value of the variable . Therefore, when determining the similarity between the target
and the existing structures, more importance should be given to variable than variable . Weights can be determined
in different ways. Examples include weights based on the coefficients used in regression models, weights based on the
weights of the connections in neural network models, equal importance, or simply based on expert opinion ([02, 03,
04, 05, 06, 07]).
1
This is done to avoid computational problems in the case that the input from the new structure being estimated is outside the range of the
existing data by adjusting the range to accommodate the new value (as either a maximum or a minimum, whatever the case might be) and ensure
that the scale between 0 and 1 is done properly.
372
Dist ( X o , X j ) =
( x
n
oi
x ji
i =1
1/ m
wi
(3)
Where,
wi : weight corresponding to the ith parameter
The weights should be adjusted so that the sum of the adjusted weights equal to one (i.e., wi-adj = 1). This ensures
satisfaction of the reflexivity principle (for x=y, when Sim(x,y) = 1 Dist(x,y)=0)) and accommodates the scaling
between 0 and 1 of the key parameters (i.e., continuous independent variables from the regression model). It is also
harmonious with the application of the 0 to 1 bounded ranges (i.e., Sim(x,y)1 Dist(x,y)0) and hence to keeping
the required scale when determining the similarity ([13, 15]) [Equation (4)].
( x
n
oi
Dist ( X o , X j ) adj =
x ji
i =1
1/ m
wi
wi
= xoi x ji
i =1
1/ m
wi adj
(4)
i =1
Where,
wi :
wi-adj :
weight corresponding to the ith parameter

adjusted weight corresponding to the ith parameter [Equation (5)]
wi
n
(5)
i =1
The weighted distance is used in the similarity function [Equation (6)] during the retrieval process.
Sim( X o , X j ) = 1 Dist ( X o , X j ) adj
(6)
2.3. Similarity threshold

Once the similarities between the target and existing cases have been calculated, one has to decide which existing
cases to use. This is done by setting a similarity threshold. One can think of the similarity threshold as a filter. For
example, if the similarity threshold is set to 100%, then only the existing cases with the same values for all key
parameters as those of the target case will be considered similar. If the similarity threshold is set to 50%, then only
the existing cases where Equation (6) has a value of greater than 50% will be considered similar.
The exact values of the similarity threshold vary from field to field and situation to situation. [17], for example,
chose a similarity threshold of 75% to predict the outcome of construction litigation. [18] used a 70% similarity
threshold as sufficient for the final prediction of an international market situation. [13] used an 80% similarity threshold
in the estimation of the costs of military and public constructions projects in Korea. [19] suggested a similarity
threshold of 80% to estimate the CMQs of structures in manufacturing plants. However, in those studies no specific
information was given about how the similarity threshold value was determined. Other researchers did not use a
similarity threshold at all and just used the case (or a number of cases) with the highest similarity with the target case
([02, 04, 20]).
In this paper, the similarity threshold used to compare the performance of the different distance-weight
combinations (see Table 1) was set to 90%. The selection of this similarity threshold is based on the concept that the
373
higher the similarity threshold the higher the similarity between the new and existing cases; hence, the basis for the
estimate of CMQs.
3. Investigated variations in the retrieval process
In all investigated variations in the retrieval process, the distances between the target and the existing structures
were determined using the nearest neighbor method [Equation (4)]. The distances were adjusted using four different
types of weights. Once the weighted distance was determined, Equation (6) (was used to determine the similarity
between the target and existing structures. The distance functions used were 1) the City-block distance (p=m=1), and
2) the Euclidean distance (p=m=2). The weights used were 1) the adjusted unstandardized coefficients (to account for
the scaling of the data between 0 and 1) from the regression models using the transformed (LN) data set 2, 2) the
unadjusted unstandardized coefficients (not taking into account the scaling of the data between 0 and 1) from the
Regression models using the transformed (LN) data set, 3) the standardized coefficients from the regression models
using the transformed (LN) data set, and 4) the equal weights (i.e., feature counting), in which the weights applied are
1/k, and k is the number of parameter being compared to determine the distance. The eight variations are summarized
in Table 1. They were investigated for a range of similarity thresholds in the following example.
Table 1. Summary of investigated variations
Distance (used to
determine Similarity)
City-block (SF1)
Euclidean (SF2 )
Weights
Adjusted unstandardized
coefficients (wt1)
1
5
Unstandardized
coefficients (wt2)
2
6
Standardized
coefficients (wt3)
3
7
Equal weights
(wt4)
4
8
4. Example
The effect on the variations in the retrieval process summarized in Table 1 were investigated by estimating the
CMQs to be used in storage structures.
4.1. Data
The initial data consisted of CMQs from 58 storage structures from 8 plants located around the world. The structures
were randomly split, so that 80% of the structures (46) were considered to be existing cases and 20% of the structures
(12) were used to evaluate the variations in the retrieval process. An 80%:20% data split is typically recommended for
training and validating model ([21]) and it should be done in a random way to avoid bias in a given set. The data
included in both data sets are given in Table 3 (existing structures) and Table 4 (target structures), respectively.
4.2. Weights
The weights used are derived from the selected regression models developed in the study by [22] 3 . The
unstandardized regression coefficients were adjusted using Equation (7)) to account for the normalization (i.e., scaling
between 0 and 1) of the parameters. The unstandardized, adjusted unstandardized and standardized coefficients, from
selected regression models, and feature counting weights, are shown in Table 2.
i ( ln ( X imax ) ln ( X imin ) )
max
min
adjusted= =
i ( ln ( X i ) ln ( X i ) )
i
; X imax > X imin
(7)
X imin
; X imax =
2
In the development of the regression models, the linear regression equation form was used by taking the natural logarithms of both CMQs and
the parameters. It was then transformed to a nonlinear equation. Therefore to be compatible with that transformation, and for the ease of computation,
the natural log values of the variables are used for the scaling process.
3
The regression models are those developed to give the best-fit relationships between the key parameters and the estimated CMQs.
374
Table 2. Weights
Model and variables

CO*
RE*
Adjusted
Unstandardized
Coefficients
(storage A)
0.52
0.22
0.11
0.16
0.48
0.19
0.14
0.19
Unstandardized
Coefficients
ln_Cap
ln_Diam
ln_Height
ln_Ground acc
ln_Cap
ln_Diam
ln_Height
ln_Ground acc
0.43
0.77
0.10
0.57
0.40
0.65
0.14
0.70
Adjusted
Unstandardized
Coefficients (storage
B)
0.49
0.33
0.07
0.10
0.48
0.30
0.09
0.13
Adjusted
Unstandardized
Coefficients (storage
C)
0.50
0.30
0.09
0.12
0.47
0.26
0.12
0.14
Standardized
Coefficients
1.05
0.88
0.10
0.13
1.00
0.77
0.14
0.16
Equal
weights
(1/k;
k =4)
0.25
0.25
0.25
0.25
0.25
0.25
0.25
0.25
*CO: Concrete; RE: Reinforcement
4.3. Evaluation measure

The variations in the retrieval process were evaluated by measuring the mean absolute percentage errors (MAPE)
[Equation (8)] of the estimated CMQs with the actual CMQs for the target structures.
=
MAPE (%)
Where,
n:
CMQest :
CMQact :
100
n
CMQest CMQact
CMQact
(8)
sample size
estimated amount
actual amount
Table 3. Data for (existing) storage structures
Parameters
Struct.
ID
Subtype
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
A
A
A
A
A
A
A
A
A
A
A
A
A
A
B
B
B
CMQs
Cap 4 (t)
Diam
(m)
7500
10000
10000
12000
11500
10000
18700
13500
12900
25700
18900
14600
16000
26000
22500
30400
39700
18
18
18
18
20
22
22
19
19
18
22
24
20
24
28
44
44
Height
(m)
Wind sp
(m/s)
25
30
30
40
30
60
70
45
50
50
59
57
65
60
20
30
25
42
39
33
44
38
39
42
37
34
37
41
40
31
31
54
33
25
Ground
acc
(S1xg)
0.07
0.02
0.01
0.02
0.28
0.21
0.01
0.03
0.2
0.24
0.12
0.25
0.24
0.22
0.05
0.08
0.04
Soil BC
(t/m2)
45
36
41
41
20
10
19
32
14
35
9
15
30
7.5
25
83
49
Soil factor 10
Concrete 11 (m3)
Reinf
(t)
1.35
1.4
1.38
1.38
1.55
1.43
1.6
1.42
1.37
1.36
1.47
1.52
1.4
1.6
1.5
1.25
1.55
3555
3358
3431
4579
3866
4713
5585
4310
4692
6341
6005
6160
6002
7267
2707
5647
6248
583
625
628
682
758
764
788
892
981
996
1099
1103
1206
1294
482
853
950
12
Storage capacity (in metric tons)

Interior diameter of storage structure (in meters)
6
Height from top of foundation to top of concrete structure (in meters)
7
Design wind speed in accordance with the Eurocode 1, EN 1991 1-4 (2010) (wind design) (in meters per second)
8
Spectral response acceleration for 1.0 sec. period (2% probability of exceedance in 50 years) in accordance with the 2009 IBC, which are based
on the 2002 USGS National Seismic Hazard Maps (expressed in decimal form as a function of g)
9
Soil bearing capacity (in tons per m2)
10
Soil factor / soil coefficient in accordance with the Eurocode 8, EN 1998 1-6 (2006)
11
Total amount of concrete for upper structure and foundation (in m3)
12
Total amount of reinforcement for upper structure and foundation (in metric tons)
5
375
Table 3 (continued)
Parameters
CMQs
Struct.
ID
Subtype
Capacity
(t)
Dia.
(m)
Height
(m)
Wind sp
(m/s)
18
19
20
21
22
23
24
25
26
27
28
29
B
B
B
B
B
B
B
B
B
B
B
B
45000
60000
67200
95300
96500
60000
60000
61200
70000
100000
79400
70000
38
39
31
33
29
45
38
44
50
51
45
40
20
30
28
30
40
25
45
48
25
25
35
35
42
33
27
38
24
39
20
51
47
44
20
38
Ground
acc.
(S1 xg)
0.07
0.03
0.15
0.04
0.16
0.02
0.02
0.21
0.08
0.02
0.07
0.28
Soil BC
(t/m2)
Soil factor
Concrete (m3 )
Reinf (t)
45
92
65
57
73
36
37
28
46
41
35
20
1.35
1
1.4
1.2
1.32
1.4
1.4
1.42
1.35
1.38
1.37
1.55
5830
6251
6494
7488
7307
7433
7469
8476
10200
9459
8960
9985
985
1113
1117
1131
1147
1152
1173
1204
1469
1476
1487
1548
Table 4. Data for (target) storage structures

Parameters
CMQs
Struct.
ID
Subtype
Capacity
(t)
Dia.
(m)
Height
(m)
Wind sp
(m/s)
T1
T2
T3
T4
T5
T6
T7
T8
T9
T10
T11
T12
A
A
A
A
B
B
B
B
C
C
C
C
10000
10700
14000
14800
59000
60000
75000
107900
8000
13300
15500
21800
18
24
20
20
33
45
48
28
18
19
22
22
28
58
60
55
30
45
48
35
40
50
55
55
30
34
32
30
40
42
45
38
35
38
35
39
Ground
acc.
(S1 xg)
0.03
0.09
0.33
0.15
0.13
0.05
0.24
0.02
0.07
0.16
0.07
0.01
Soil BC
(t/m2)
Soil factor
Concrete (m3 )
Reinf (t)
92
34
30
11
82
25
30
64
45
43
19
66
1
1.56
1.4
1.53
1.37
1.5
1.4
1.07
1.35
1.54
1.5
1.2
3221
4842
5876
5077
6314
8240
11235
6871
4028
5685
6494
6617
608
818
1158
998
1061
1408
1629
1120
649
893
981
1125
4.4. Evaluation process

The evaluation process is shown in Figure 1, which was followed for every structure subtype and CMQ
combination. To generalize, the results for each structure subtype and CMQs were combined. The validation cases for
the different structure subtypes, and corresponding CMQs, were used as target structures (from j to k) and not included
as existing cases (i.e., the case where Sim = 100% was not applicable). The structures used as existing cases (casebased) were the structures used to develop the RA (from i to n). Therefore, this process assumes that there is n number
of existing structures of the same subtype as the target structure.
4.5. Results
In total 576 events (6 structure subtype-CMQ scenarios 13 x 8 cases x 1 similarity threshold value x 12 target
structures) were used to determine which case (i.e., distance and weight combination used in similarity function)
produced the best results. For generalization purposes, the results for each structure subtype for the different CMQs
evaluated were combined and summarized in Table 5. They show the MAPE for all the CMQs in all structure subtypes
with a similarity threshold of 90% for the different distance-weight combinations (cases) evaluated.
Table 5. Overall MAPE (%) for different distance-weight combinations (cases 1-8) for a similarity threshold of 90%
Case No.*
MAPE (%)
1 (SF1-wt1 )
8.16
2 (SF1-wt2 )
9.21
3 (SF1-wt3 )
8.99
4 (SF1-wt4 )
11.87
5 (SF2-wt1 )
23.68
6 (SF2-wt2 )
24.53
7 (SF2-wt3 )
21.94
8 (SF2-wt4 )
28.4
* Refer to Table 1 for details on the different cases
13
Three structure subtypes (storages A, B, and C) and two CMQs (total amount of concrete and total amount of reinforcement).
376
j=1
Enter target structure j (known

parameters and CMQs) (from
structure j to k)
j>k
j k
For all applicable

existing structures
Calculate the similarity (Sim)

between target structure and
existing structures
Gather actual CMQ for existing
structures and determine estimated
CMQ using selected regression
model
Calculate estimated CMQ for the
target structure using selected
regression model
Set similarity threshold

(SimThres) to 90%
j=j+1
Gather information from existing

structure i
i n
i>n
existing
structures i
target structure
Compare similarity with similarity

threshold
i=i+1
CMQj=
CMQi
Sim=
100%
Sim<SimThr es
i=i+1
Skip this structure
SimSimThres
Use information from existing

structure as basis of estimate
Calculate CMQ for new structure

based on selected existing
structure(s)
Figure 1: Evaluation process
4.6. Accuracy of investigated variations

As shown in Table 5, the retrieval process using the City-block distance (cases 1-4) provides better results than
those obtained using the Euclidean distance (cases 5-8). This is because the use of the transformed and scaled
parameters in the Euclidean distances, in which the differences between the different parameters are squared, dampens
their effect (especially for small differences). This is true independent of the weights used. When the retrieval process
uses the City-block distance, which uses the sum of distances along each dimension, the estimation of the distances is
more sensitive to differences among the different key parameters 14. This can be seen in the small example in the
following section.
The results from Table 5 also show that the type of weight used did not affect the results significantly (e.g., the
largest difference between maximum and minimum MAPE values for a given similarity threshold for cases 1-4 was
3.71% (11.87% - 8.16%) when the similarity threshold was 90%.
14
As indicated, this is true when the transformed and scaled parameters are used, hence the difference for a given parameter between two
structures (diff.) belong to an open interval (0, 1), so that 0 < diff. < 1 and diff.2 < diff.
377
Although not large, the retrieval process using the City-block distance (Cases 1-4) and the adjusted unstandardized
coefficients from the RA models performed slightly better (i.e., with a MAPE of 8.16% vs. 8.99% for the next closest
case (Table 5)) than the others. Case 1 is optimal.
4.7. Sensitivity of distance measures
The sensitivity of the City-block distance and the Euclidean distance to differences in the values of parameters is
shown using the transformed and normalized data for storage structure subtype A (Table 6) to determine the distances
between a target structure (ID T3) and selected existing storage structures (IDs 7, 8, 11, 12, 13). The results are
summarized in Table 7.
Table 6. Transformed and normalized parameters used for comparison of distance calculation
ID
T3
8
12
13
7
11
Structure
Type
Storage
Storage
Storage
Storage
Storage
Storage
Subtype
A
A
A
A
A
A
Transformed (ln) and normalized (0-1) parameters

Cap
Diam
Height
Wind sp
0.50
0.37
0.85
0.17
0.47
0.19
0.57
0.55
0.54
1.00
0.80
0.75
0.61
0.37
0.93
0.09
0.73
0.70
1.00
0.88
0.74
0.70
0.83
0.82
Ground acc.
1.00
0.06
0.78
0.75
0.01
0.37
Soil BC
0.55
0.58
0.28
0.55
0.37
0.07
Soil factor
0.72
0.75
0.90
0.72
1.00
0.81
Table 7. Distances between target and existing structures using Euclidean and City-block equations
Euclidean
Distance between
T3 and 8
T3 and 12
T3 and 13
T3 and 7
T3 and 11
City-block
Distance between
T3 and 8
T3 and 12
T3 and 13
T3 and 7
T3 and 11
Cap
0.00
0.00
0.01
0.05
0.06
Diam
0.03
0.40
0.00
0.11
0.11
Height
0.08
0.00
0.01
0.02
0.00
Wind sp
0.15
0.34
0.01
0.51
0.42
Ground acc.
0.88
0.05
0.06
0.98
0.40
Soil BC
0.00
0.07
0.00
0.03
0.23
Soil factor
0.00
0.03
0.00
0.08
0.01
Distance
1.07
0.95
0.29
1.34
1.11
Cap
0.03
0.04
0.11
0.23
0.24
Diam
0.18
0.63
0.00
0.33
0.33
Height
0.28
0.05
0.08
0.15
0.02
Wind sp
0.38
0.58
0.08
0.71
0.65
Ground acc.
0.94
0.22
0.25
0.99
0.63
Soil BC
0.03
0.27
0.00
0.18
0.48
Soil factor
0.03
0.18
0.00
0.28
0.09
Distance
1.87
1.98
0.53
2.88
2.45
As can be seen in Table 7, the differences between each parameter are damped in the Euclidean distances when
compared to the City-block distances (e.g., for the diameter between T3 and 8 the differences are 0.03 and 0.18 for the
Euclidean and City-block distances, respectively). Therefore, the City-block distance is more sensitive to the
differences between the target and existing structures. This sensitivity is transferred to the ranking of the existing
structures (e.g., from more to less similar), their selection during the CBR retrieval phase, and ultimately affecting the
basis for the estimation of the target structure.
5. Conclusion
In this paper, different variations of the retrieval process in CBR were investigated by using CBR to estimate the
CMQs to be used in storage structures. All investigated retrieval processes use of the nearest neighbor technique to
identify existing structures that are similar to the target structures. The variations in the retrieval processes are evaluated
by comparing the mean absolute percentage errors (MAPE) of each.
Of the eight retrieval processes evaluated it was found that the retrieval process that used the City-block distance
with the adjusted unstandardized coefficients yielded the most accurate results, with a (MAPE of 8.16%). The worst
results were obtained when the Euclidean distance with equal weights were used (MAPE = 28.40%). All using a
similarity threshold of 90%.
The use of CBR to make estimates of CMQs, as presented in this paper, has some limitations. CMQ-based estimates
can become very demanding and time consuming. A model has to be developed and tested for every structure and its
corresponding CMQs. In addition, CBR, as most estimations models, are based on historical data (i.e., stored cases).
When the stored cases are not similar to the new cases (e.g., do not meet the similarity threshold), the estimations
cannot be done using CBR. In addition, the current process does not include an important phase of CBR: the revision
378
phase. To address these limitations, the authors are currently working on a revision or adaptation phase using regression
to accounts for the differences in the values of the parameters between the target and the existing similar structure
using the selected regression model, modified to account for the % error from the regression model. For the cases
where similar structures are not available, the estimation of the CMQs can be done using the developed regression
models.
References
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379
Probabilistic approach to duration assessment

for selected construction works
Micha Juszczyk, Jarosaw Malara*
Institute of Construction and Transportation Engineering & Management, Tadeusz Kociuszko Cracow University of Technology Warszawska 24
St., 31-155 Krakw
Abstract
The paper presents the results of studies on the duration of selected construction works and the productivity of construction
workers. The authors present the results of observations carried out on the sites in Poland. Productivity and durations of three
finishing works - execution of stairs lining, preparation of landings and terazzo lining on landings are analyzed. The authors also
present a probabilistic approach to assessment of construction works duration. On the basis of the observations and data gathered
for the three selected construction works, triangular and normal distributions of the durations have been approximated. They have
been subsequently used as the basis for presentation of possible applications of the approximated distributions in assessing the
durations and their probabilities.
Keywords: construction works duration, productivity of workers
1. Introduction
For a building project to be successful, the right balance must be found between time, cost and the desired quality.
Kuprenas was writing about the relationship between them [1]. The first step of a proper project implementation plan
is to gather knowledge on the selected technologies, on the adequate division of tasks and responsibilities, on the
estimation of the required resources and duration of each activity and on all the interactions between various tasks
[2].
Well-thought out construction planning requires careful analysis of all the factors affecting the project. It is
necessary to define the most important activities, key terms of their implementation and the order of their execution
[3].
In the present article, the authors will focus on the measurement of working time of construction workers. It is one
of the most important elements relevant for the planning of building projects. An adequate estimate of the execution
time of each task allows a more efficient implementation of tasks related to the construction. The results will be
presented with the use of two statistical methods of analysis.
The article is a continuation of the research previously carried out by one of the authors. Its results were presented
in an earlier publication [12].
* Micha Juszczyk. Tel.: +0-048-12-628-2354

E-mail address:mjuszczyk@izwbit.pk.edu.pl
380
2. Basic techniques and methods of research on working time

2.1. Basic aspects of research on working time
Among the pioneers of research on working time we could enumerate Frederick Winslow Taylor and Frank
Bunker Gilbreth [4][5]. The first one was watching workers using shovels during metallurgical works, which led him
to developing a new shape and size of the shovel blades with adequate capacity, a new length of the shank and the
appropriate angle of inclination making shoveling pig iron more effective. The changes he introduced allowed a 3.8times improvement of the employees efficiency. Taylor developed one of the techniques of measurement of human
work the timing method. The first research was done with the cyclographic method consisting in recording the
movements of workers limbs with a camera. The detailed analysis of the components of the whole movement was
the starting point for improving the chronocyclographic technique, which, thanks to the use of the cameras, allowed
spotting and eliminating unnecessary movements while performing tasks and maintaining the right chronology of
individual components.
Research on working time is essential to improve the entire process of the building production. With a focus on
individual aspects, it is possible to improve the organization of the building process. Careful monitoring of workers
is also the basis for determining work standards, correct scheduling and duration estimate of individual works. The
ability to determine the effects of the assumptions allows avoiding many errors in planning the implementation of the
entire project.
There are three fundamental aspects of research on work to be found in literature: the qualitative, quantitative and
organizational aspect.
The qualitative aspect, also called valuation of work, takes into account the elements affecting the performed
operations which are most difficult to measure. Division of work between individual workers, some of them more
and some less qualified, has led to the necessary differentiation of wages. The research on qualitative aspect must
take into account the employees effort, both physical and mental, in addition to their qualifications. Martyniak
proposes four basic criteria for correct assessment of the qualitative aspect [6]: knowledge and experience,
psychophysical and mental requirements, level of responsibility, working environment.
The quantitative aspect of the work done is described using a method belonging to one of the two main groups:
methods of summary a group consisting of methods that do not break down activities into smaller components
(statistical, estimated, comparative methods) and analytical methods a group consisting of methods that break
down activities into small components, even down to the level of slight movements of the limbs (methods of
calculation, exploratory, simple methods).
Determination of the time of each activity or movement made while performing a given task allows creation of
standards.
The organizational aspect in the theory of work analysis involves selection of appropriate method. The most
popular methods include: standards specified in advance, timing method, snapshot observation, photo documentation
of a working day, analytical-estimated technique. The method of photographing the whole working day gives the
most comprehensive information about how to organize workers and about the effort required for the execution of
each activity.
2.2. Current trends in the study of working time
The current capabilities to register working time are much greater. The observation can be carried out
simultaneously by multiple cameras using the technology of wireless transmission of information. The observer does
not need to be present at the site of work and the material can be repeatedly replayed. Unfortunately, photographing
the working day requires considerable effort in terms of processing the collected material. Currently, there are some
ongoing attempts to implement certain software to recognize employees based on digital recording and automatic
analysis [7][8].
There is also a technique of tracking the movements of the employees using GPS [9]. This technique offers a
possibility to register the movements of the construction workers as well as to track the work of equipment. It
requires installation of GPS signal emitters, but its scope is limited primarily to earthworks or linear works because
the devices are unable to register vertical movements; moreover, the signal declines inside reinforced concrete
buildings.
381
3. Example of using the results of observations

3.1. Description of the performed research
The following results were collected during the observation of finishing works (making terrazzo floors,
specifically) on a new housing estate in Warsaw. The material was collected using the timing method, yet its analysis
in terms of the factors affecting working time of construction workers has been presented in other articles [10],
[11].
The observed workers were performing a series of activities related to the implementation of lining. The results
presented below refer to four types of finishing works: laying the floor covering on stair steps, preparation of
landings and corridors, laying the floor covering on landings, installation of stair plinths. The time measurements
were done every day using individual sheets for each employee for specific activities. The works were performed at
10 staircases (numbered 1-10) by the same working team, using the same technology.
3.2. Results of the research
Tables 1-3 present the results of the research on three types of works: laying floor covering on steps Table 1.,
preparation of landings and corridors Table 2., laying floor covering on landings Table 3. The following
information was specified for each numbered staircase: the amount of labor in man-hours, the scope of work, the
average value of the scope of work per unit and productivity. Due to space limitations of this article, the data
presented in the tables are limited to the first two and the last two staircases, while the calculations are done for the
entire project.
Table 1. Observations for laying floor covering on steps .
Staircase
Number
1
2
9
10
Measured number
of working hours
[w-h]
241.0
157.9
132.2
116.5
Measured output
of work
[m]
174
174
175
150
Measured number
of working hours
[w-h]
89.8
76
73.9
65.1
Measured output
of work
[m2]
120.5
120.5
135.2
112.6
Measured number
of working hours
[w-h]
135.6
115.9
104.8
88.6
Measured output
of work
[m2]
120.5
120.5
135.2
112.6
Measured time of completion

of work unit by a single worker
[w-h/ m]
1.3851
0.9075
0.7554
0.7767
Measured productivity of
a single worker
[m/w-h]
0.7220
1.1020
1.3238
1.2876
Table 2. Observations for preparation of landings and corridors.

Staircase
Number
1
2
9
10

[w-h/ m2]
0.7452
0.6307
0.5466
0.5782
Measured productivity of
a single worker
[m2/w-h]
1.3419
1.5855
1.8295
1.7296
Table 3 Observations for laying floor covering on landings.

Staircase
Number
1
2
9
10

[w-h/ m2]
1.1253
0.9618
0.7751
0.7869
382
Measured productivity
of a single worker
[m2/w-h]
0.8886
1.0397
1.2901
1.2709
3.3. The use of distributions to evaluate the duration of operations

On the basis of the observations presented in tables 1-3, a triangular and a normal distribution of activities
duration for assumed quantities of work were approximated. Quantities for each of the three types of works have
been calculated on the basis of the BIM model, as listed below:
execution of lining: Q = 127 m,
preparation of landings and terrazzo floor on landings: Q = 96.5 m2
(3D view of the staircase is presented in Figure 1 on the left.) Assumptions were also made for the number of
working hours per day 8, and for the number of workers in the team 4 in the case of execution of lining and 3 in
the case of preparation of landings and corridors and lining them. Probable durations of the three finishing works
have been calculated with use of the following formula:
ti =
Q
,
pi n h
(1)
where ti possible duration of an activity calculated on the basis of the i-th observation, Q quantity of a certain
construction work number of measurement units calculated for a certain construction work, pi the average
productivity of a single worker for a certain construction work (measured in number of measurement units per
working hour) as registered in the i-th observation, n number of workers in the team, h number of working hours
per day.
On the basis of the calculated probable durations, the authors approximated triangular and normal distributions.
The results of approximation are presented in Figure 1 on the right, and in Figure 2. In the graphs the horizontal
axes represent assessed durations ti (rounded up to full days), the vertical axes represent the reciprocal of frequency
of ti.
Fig.1. Stairs and landings 3D view for a chosen storey, as in the BIM model (on the left). Execution of lining distributions graph A. (on the
right).
Fig.2. Preparation of landings and corridors - distributions graph B (on the left). Lining on landings distributions graph B (on the right).
383
It can be observed that in the case of graph A the triangular distribution fits better the series of data than the normal
distribution. On the other hand, in the case of graphs B and C the normal distribution is better suited to the series of data than
the triangular distribution.
Estimated parameters of the distributions are set together in the Table 4 ( stands for the estimated expected value and
for the estimated standard deviation). It is noteworthy that the expected values for both distributions are quite close for all three
construction works. Standard deviations differ to some extent, but it is the result of differences in shape of the two types of
distributions.
Table 4. Estimated parameters of triangular and normal distribution of the construction works duration.
Type of work
Execution of
lining
Preparation of
landings and
corridors
Lining the
landings
=min{t}
Triangular distribution parameters

=mode{t}
=max{t}
Normal distribution parameters
4.67
0.624
4.82
0.820
6.67
0.624
7.13
1.019
5.00
0.408
4.86
0.622
The analysis makes it possible to assess the durations of the three construction works. The approximations of triangular and
normal distributions allow both making assumptions about the duration and assessment of the probability of completing
certain construction work within the assumed period of time. Example assumptions are presented in table 5.
Table 5. Assumptions of the durations and their probabilities.
Type of work
Execution of
lining
Preparation of
landings and
corridors
Lining the
landings
Example 1
Probability
triangular
distribution
Probability
normal
distribution
assumed duration
[days]
P(t4) = 0.168
P(t4) = 0.159
P(t6) = 0.168
P(t5) = 0.500
assumed duration
[days]
Example 2
Probability
triangular
distribution
Probability
normal
distribution
P(t5) = 0.670
P(t5) = 0.587
P(t6) = 0.134
P(t7) = 0.670
P(t7) = 0.449
P(t5) = 0.589
P(t6) = 1.000
P(t6) = 0.967
4. Summary
The article presents the issue of assessment of time needed for execution of works together with the basic methodologies
and techniques of research on working time. The research was done using the timing method. Different results have been
obtained for different staircases, mainly due to the fact that productivity depends on many factors.
Selection of a suitable technique for the research on working time is important for the potential use of the results. In the
case of the timing method used in the research, the results were subjected to static analysis. The article presents an attempt to
match the distribution of random variables with empirical data. The authors focused on two types of distributions triangular
and normal. A relatively similar shape of the probability density distribution charts have been observed for the three described
construction works. In the case of one of the works, the triangular distribution has proved to be better suited, whereas normal
distribution has been more suitable for the other two works. (Apart from the distributions introduced in this paper, application
of other distribution types, such as beta, lognormal, Student's t-distribution, is also possible the authors plan to investigate
application of other types of distributions in further research.)
The advantage of the probabilistic approach is the possibility to set the duration of the task (here: the time of work
execution) and the estimation of the probability of task execution within the established time. Moreover, the probabilistic
approach allows taking into consideration the randomness in productivity of construction workers and, consequently, the
execution time of construction works.
The results presented in the article are part of the research conducted by the authors. The research on the issue continues
one of its objectives is to develop methods to optimize estimating time of works execution in Poland.
384
References
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[4] W. Kieun, Wstp do teorii organizacji i zarzdzania, Wydawnictwo Uniwersytetu Warszawskiego, Warszawa 1980.
[5] Z. Martyniak, Metody organizowania procesw pracy, Pastwowe Wydawnictwo Ekonomiczne, Warszawa 1996.
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Krakowie, Krakw 1985.
[7] S. Lee, Implementation of Man-Hours Measurement System of Construction Work Crews by Image Processing Technology, Applied
Mathematics & Information Sciences, volume: 8, issue: 3, pages 1287-1293, USA, 2014
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Virginia, 2012.
[9] R. Tamosaitis, Automated standard work time development in construction, 25th International Symposium on Automation and Robotics in
Construction ISARC-2008, pages 664-669, 2008.
[10] J. Malara, Badania ilociowego aspektu czasu pracy robotnikw budowlanych. Przegld budowlany, 6/2014, 32-35, 2014.
[11] J. Malara, Wpyw czasu pracy pracownikw budowlanych na organizacj robt. W J. Bzwka, Wiedza i eksperymenty w budownictwie.
Monografia. Gliwice, Wydawnictwo Politechniki lskiej, 2014.
[12] M. Juszczyk, A concise review of methods of construction works duration assesment, Technical transactions. Civil engineering, issue 2-B,
193-202, 2014.
385
A genetic algorithm for resource allocation in construction projects

Sofia Kaiafa, Athanasios P. Chassiakos*
Sofia Kaiafa, Dept. of Civil Engineering, University of Patras, Patras, 26500, Greece
Athanasios P. Chassiakos, Dept. of Civil Engineering, University of Patras, Patras, 26500, Greece
Abstract
Resource allocation optimization is one of the most challenging problems in project management. It is a combinatorial problem
with multiple objectives (project duration confinement, resource-constrained allocation, resource leveling) and its size and
complexity grows exponentially as the number of activities, resource types, and execution modes increase. Existing studies bound
the analysis on specific aspects of the problem or include simplifying assumptions which may not adequately represent actual
(construction) projects. They typically incorporate only a few alternative activity execution modes while it is known (and also
handled by popular project management software) that activities can be frequently executed in several arrangements by simply
adjusting their gang size and duration. In this work, an optimization method for multi-objective resource-constrained scheduling is
developed which evaluates several resource-duration alternatives within each activity. The current optimization aims at
minimizing the total cost that results from (a) resource overallocation, (b) project deadline exceedance, and (c) day-by-day
resource fluctuations. All three sub-objectives are represented by cost functions after assigning unit cost values to each deviation
from the corresponding goal. As a result, the whole optimization parameter is a pure cost variable avoiding thus the need for
subjectively setting importance weights among dissimilar parameters (as, for instance, the standard deviation of the resource
histogram as a means to determine the resource levelling success). Due to the large number of activity execution alternatives, a
genetic algorithm has been employed for the optimization. The algorithm has been tested with several test cases and the results
were compared to those developed by the Microsoft Project. The evaluation indicates that the proposed algorithm can provide
adequate and balanced solutions with regard to the three objectives and that these solutions are better than those provided by
commercial project scheduling software.
Keywords: construction scheduling; genetic algorithms; optimization; resource allocation; resource leveling.
1. Introduction
The resource-constrained scheduling problem (RCSP) has been extensively studied in the past as an important
component of project scheduling analysis. The main objective is to develop optimal schedules with regard to
resource allocation (subject to resource availability), resource leveling, and project duration minimization or
confinement within given deadlines. In real projects, the RCSP is considerable in size and complexity. This is
because (i) the analysis includes multiple and rather conflicting objectives (and corresponding set of constraints), (ii)
the problem size grows exponentially with the number of project activities, resource types, and alternative activity
execution modes, (iii) the number of alternative resource engagements in each activity may be large, and (iv) the
problem requires finding the optimal activity gang and the appropriate activity placement in time so that the
resources are optimally allocated and the resource histogram is as smooth as possible.

E-mail address: a.chassiakos@upatras.gr
386
Existing research has produced a variety of methods and algorithms for the resource-constrained scheduling
problem. They can be classified as exact methods (linear/integer or dynamic programming), heuristic algorithms, and
meta-heuristic or evolutionary algorithms. Exact methods develop mathematical relationships for the objective
function and the problem constraints and solve the problem with a linear or dynamic optimization technique ([1-3]).
Although such methods have been found useful in modeling the RCSP and can provide exact solutions, their
effectiveness descents rapidly as the project size and the resource alternatives increase as the solution becomes
computationally intensive or infeasible.
Heuristic approaches initially develop a list of potential solutions and then apply rules for exclusion or selection
of partially acceptable solutions that are likely to lead to the final (optimum or near-optimum) solution (enumeration
and backtracking). A typical establishment of such methods is the branch and bound analysis which utilizes a
systematic enumeration of all candidate solutions during which large subsets of fruitless candidates are discarded by
using upper and lower estimated bounds of the quantity being optimized ([4-8]). The method poses several
limitations the most important being that its efficiency depends significantly on the effectiveness of the branching
and bounding algorithms used and that there is no universal bounding algorithm that works for all problems.
A number of research studies have considered the resource leveling objective. Harris [9] proposed a mminimum
moment method for resource leveling while Hiyassat [10] modified the original method of Harris in order to apply it
to projects with multiple resources (multiple-resource leveling). Tawalare and Lalwani [11] proposed an
improvement regarding the selection criterion of activities that will be moved or resource reloaded within the project
duration and the resource histogram. Christodoulou et al. [12] restructured Harris approach as an entropymaximization problem. This approach allows for activity stretching and provides improved resource allocation
solutions compared to previous methods.
The RCSP problem attains a significant size as the number of project activities, resource types, and alternative
activity execution modes increase. For this reason, the focus of most recent studies has been directed to metaheuristic or evolutionary algorithms, especially ant colony optimization (ACO) and genetic algorithms (GA). In this
class of methods, the works of Chan et al. [13], Hegazy [14], Leu et al. [15], Senouci and Eldin [16], Roca et al. [17]
can be mentioned. Further, Chen and Weng [18] have developed a two-phase genetic algorithm taking into account
both time - cost trade off and resource-constrained scheduling considerations. To jointly optimize both objectives,
two subsystems (time - cost trade off subsystem and resource scheduling subsystem) have been developed and
operated in parallel.
Existing studies typically analyze a part of the RCSP (single objective optimization) or include simplifying
assumptions which impede the realistic representation of actual construction projects. In order to reduce the problem
size, they consider a far fewer alternative activity execution arrangements than actually existing. This consideration,
however, ignores the fact that many (construction) activities may be executed by resource groups of different size
with proper adjustment of the activity duration. This provision is a typical tool of project management software for
resource allocation. Further, most existing studies analyze only a part of the whole problem (e.g., simple resource
allocation) without considering all possible objectives and possibilities of real projects. Even in few existing studies
which consider multiple objectives for this problem, the optimization parameters involved are of different physical
content. As a result, it becomes necessary to subjectively set weights for the contribution of each sub-objective in
order to obtain a global optimal solution.
The objective of this work is to develop an optimization method for multi-objective resource-constrained
scheduling that realistically describes the resource utilization in construction activities. In particular, many activities
(e.g., excavations) can be executed in several resource-duration arrangements depending on the work load, the
worksite physical restrictions, etc. The proposed method aims to consider this trade-off for developing efficient
resource usage schedules. Nevertheless, the same trade-off is widely used for resource allocation in common project
management software. Another aim of this study is to model all problem sub-objectives in a single parameter (i.e.,
cost) avoiding thus the need for setting importance weights among dissimilar parameters.
387
2. Proposed model
The optimization model that is proposed here for resource allocation involves a number of sub-objectives. All of
them are considered contributing to a total cost optimization parameter which is to be minimized. The cost elements
represent the direct cost for resource usage and the penalty costs for exceeding specific constraints set by the
problem. In particular, the user may assign cost values for resource overallocation or project extension beyond a
desired deadline. Depending on the values of the penalty costs, the corresponding constraint may be considered as
hard (i.e., it is very costly to exceed it) or soft (i.e., the constrained may be exceeded without considerable cost
accrual). More specifically, the cost elements of the proposed model include:
The project direct cost represents the money spend for the resources used in the project. It is proportional to the
number of resource-days that are necessary to complete the project. This cost is constant under different schedules
if the number of resource-days is unchanged. Therefore, it does not affect the optimization and could be
neglected; however, it is desired to know how it is compared to other, penalty-type expenditures.
The project indirect cost is associated with the general project expenses and is applied up to the specified (desired)
project completion deadline. It is distributed by day of project execution.
The project deadline exceedance cost accounts for the (economic or other) impact or loss for the project owner as
a result of not being able to use the project as planned. This cost is set per day after the project completion
deadline.
The cost of exceeding resource availability encompasses the expenditures needed to recruit additional resources
than initial planned (if necessary) which may not be available or expensive to find (e.g., special purpose
machinery). The cost value indicates the difficulty of finding the extra resources and may be infinite (e.g.,
extremely high) if resource exceedance is not practically feasible.
The cost for ineffective resource usage represents the loss associated with temporal variation of resource usage
within the project duration. When such variations exist, resources (human and machinery) have to move in and
out of the worksite or to be idle for some time during the project execution.
Based on the above cost elements and considering the project work break-down structure and schedule (activities,
dependencies, and durations) as well as the resource requirements of project activities, the proposed model involves
the following sub-objectives:
Confinement of the daily resource needs to specific availability constraints.
Project duration minimization (or the achievement of a certain deadline).
Utilization of a constant number of resources throughout the project.
The proposed method allows resource and duration adjustment within each activity in order to develop optimal
project resource usage schedules. In particular, it allows an activity to be executed with a higher or lower number of
resources compared to the normal gang size. This is indicated by a range within the number of resources of each
activity can vary. For instance, one can consider a 50% acceptable deviation from the initial resource number (e.g.,
if, four resource units have been initially allocated to an activity, the examined range is between two and six). For
each change in the resource units, the activity duration is conversely adjusted so that the total work (i.e., number of
resources multiplied by the activity duration) remains constant.
Due to the substantial number of alternative activity execution options, a genetic algorithm (GA) has been
employed to search for optimal solutions. An array of size equal to the number of project activities is used as the
basic chromosome and its content represents a particular execution option (in terms of resource utilization) of each
activity. A number of chromosomes of 10 to 50 times the number of project activities are used to form the initial
population. Among them, there may be solutions that do not satisfy certain problem constraints. This however is
indicated by an excessive total cost making thus unnecessary to check the validity of a specific solution. Besides, it is
likely that the crossover of two constraint-breaking parents may generate constraint-satisfying children. The number
of generations and other genetic operators are set dynamically depending on the problem characteristics. The GA has
been implemented in MS Excel with VBA programming. We are currently developing an interface (similar to MsProject software) which will better facilitate data input and result presentation.
388
3. An application case study

A simple project with ten activities is considered to illustrate the algorithm application. The project activities, the
precedence relationships, the activity durations, and the normal resource requirements for each activity are shown in
Table 1. A single resource type for all activities is considered for simplicity. The network diagram of the example
project is presented in Figure 1. Figure 2 illustrates the Gantt chart and the resource histogram of the initial
scheduling solution (presented as an Ms-Project output). The normal project duration is 18 days and the maximum
resource requirement is 14units.
Table 1. Project data for the application example.
Activity
Predecessor
Duration
Resource #
Activity
Predecessor
Duration
Resource #
A
B
C
A
A
3
2
5
4
3
2
F
G
H
C
D
G
5
4
5
6
4
4
D
E
B
C
2
2
5
4
I
J
E
F
4
5
3
4
Figure 1. Network diagram of the example project
Figure 2. Gantt chart and resource graph of the original project schedule
389
A number of test cases have been evaluated and the results are presented in Table 2. The results in each case
include the project duration, the maximum resource usage, the standard deviation of the resource usage, and the
cumulative resource units in and out of the project within its duration (the initial resource loading and final
decommissioning are not included). It is observed that the proposed model can handle different scenarios and
provide reasonable results in each case. It always satisfied the resource constraint (due to high cost of exceeding it)
and provided a quite leveled resource histogram (as indicated by the low standard deviation and cumulative resource
fluctuation parameters).The model responds well to existing constraints and available scheduling options (Figure 3)
in contrast to Ms-Project which seems to develop a limited number of scheduling options, the best of which is shown
in Figure 4. Both methods lack behind the results obtained manually for this (small) project (Table 2). Nevertheless,
a manual solution may not be feasible in large project or in projects with multiple resource types.
The model evaluation with other test cases reveals that a decreasing efficiency is observed as the project size
(number of activities) and/or resource types increase and this is expected since the solution space increase drastically.
In any case, however, the proposed model produced (much) better output than the corresponding one by Ms-Project.
It is important to state that if one considers the cost of machinery idling and time wasted due to improper resource
and work scheduling in actual construction projects, even a small improvement in resource usage and time planning
can bring a notable return.
Table 2. Results for example project.
Case description
Resource
constraint
Project
duration
Max
resource
usage
Resource
standard
deviation
Cumulative
resource
fluctuations
Initial early time schedule
18
14
3.91
22
Resource allocation within available slacks
18
11
2.74
12
Resource allocation under resource constraint no activity

resource adjustment permitted
R8
24
1.77
16
Resource allocation under resource constraint activity

resource adjustment permitted
R8
22
1.02

resource adjustment permitted Ms-Project solution
R8
24
1.44
14

resource adjustment permitted manual solution
R8
19
0.69
Figure 3. Gantt chart and resource graph (GA solution)
Figure 4. Gantt chart and resource graph (Ms-Project solution)
390
4. Conclusions
The resource-constrained scheduling problem is one of the most challenging ones in the area of project
management. This is a combinatorial optimization problem with multiple and conflicting objectives and constraints,
i.e., confine the daily resource usage within resource availability, finish the project as soon as possible, and make the
daily resource histogram as smooth as possible. The problem gains significant size as the number of project
activities, resource types, and alternative activity execution modes increase. For this reasons, existing studies bound
the analysis on specific aspects of the problem or include simplifying assumptions which may not adequately
represent actual (construction) projects.
In this work, an optimization model is developed for multi-objective resource-constrained scheduling which
evaluates several resource-duration alternatives within each activity. The optimization aims at minimizing the total
cost that is associated with (a) resource overallocation, (b) project deadline exceedance, and (c) day-by-day resource
fluctuations. All three sub-objectives are represented by cost functions and the whole optimization parameter is a
pure cost variable avoiding thus the need for subjectively setting importance weights among dissimilar parameters.
Due to the large number of activity execution alternatives, a genetic algorithm has been employed for the
optimization. The algorithm has been extensively tested with several test cases and the results have been compared to
those developed by the Microsoft Project. The evaluation indicated that the proposed algorithm can provide adequate
and balanced solutions with regard to the three objectives and that these solutions are better than those provided by
commercial project scheduling software.
References
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[8] P. Brucker, S. Knust. Lower Bounds for Resource-constrained Project Scheduling Problems. European Journal of Operational Research 149
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[9] R. Harris. Packing Method for Resource Leveling (PACK). Journal of Construction Engineering and Management 116 (1990) 331 350.
[10] M. Hiyassat. Applying Modified Minimum Moment Method to Multiple Resource Leveling. Construction Engineering and Management 127,
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[11] A. Tawalare, R. Lalwani. Resource Leveling in Construction Projects using Re-Modified Minimum Moment Approach. World Academy of
Science, Engineering and Technology 62 (2012), 33-35.
[12] S. Christodoulou, G. Ellinas, A. Michaelidou-Kamenou. Minimum Moment Method for Resource Leveling Using Entropy Maximization.
Journal of Construction Engineering and Management 136, 5 (2010) 518-527.
[13] T. Chan, H. Chua, G. Kannan. Construction Resource Scheduling with Genetic Algorithms. Journal of Construction Engineering and
Management 122, 2 (1996) 125 132.
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Management 125, 3 (1999) 167-175.
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Application. Automation in Construction 10 (2000) 27-41.
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Management 130, 6 (2004), 869-877.
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[18] P. Chen, H. Weng. A Two Phase GA Model for Resource - Constrained Project Scheduling. Automation in Construction 19 (2009) 485498.
391
Resource-constrained project scheduling using Relationship

Diagramming Method (RDM)
J. Uma Maheswari1, Purva Mujumdar2, Anshul Goyal3& V. Paul C. Charlesraj4 *
1,2,3
4
Department of Civil Engineering, Indian Institute of Technology Delhi, India

School of Construction, RICS School of Built Environment, Delhi NCR, India
Abstract
The traditional techniques for project scheduling such as Arrow Diagramming Method (ADM) and Precedence Diagramming
Method (PDM) are continuously undergoing improvisation in order to replicate real-time construction scenario. Quite often, these
methods are criticized for their limited information capturing ability. Relationship Diagramming Method (RDM) proposed by
Plotnick (2004) in the recent past, is an improved variant of PDM which can store additional information that would improve the
scheduling process. In addition to basic data on the activities, additional information can be represented through five codes namely,
Event Codes, Reason/Why Codes, Expanded Restraint or Lead/ Lag Codes, Duration Codes and Relationship Codes. Sequencing
of activities in a construction project is primarily driven by the construction logic and/or the availability of resources. There is scope
for arriving at alternate sequences with varying availability of resources to achieve the project scheduling objectives, as long as the
construction logic is preserved. In order to achieve such a Resource-Constrained Project Scheduling (RCPS), additional information
on the restraints of the activities are necessary, which can be modelled using RDM through one of those five codes of RDM. The
objective of this paper is to explore and exploit the Reason/Why construct of RDM for RCPS. The Reason and Why codes are
associated with a restraint and related fields for the recording of a description. An activitys dependence on a resource has been
captured by one of the fields. It has been attempted to understand the impact of varying resource availability using an empirical
equation on sequencing such resource dependent activities and its effect on critical path, specifically in the case of repetitive high
rise construction projects. A decision support tool has been developed using Excel-VBA to automate the calculations. The proposed
concept is tested with a case study project.
Keywords: critical path; reason/why code; relationship diagramming method; repetitive construction projects; resource-constrained project
scheduling
1. Introduction
In general, execution sequence of activities involved in a construction project is primarily driven by the construction
logic and/or the availability of resources (manpower, equipment, material). The sequence of activities, which are logic
dependent cannot be altered but, sequence of resource dependent activities can be altered based on the availability of
resources at any instance. The traditional scheduling techniques such as ADM (Arrow Diagramming Method) and
PDM (Precedence Diagramming Method) cannot distinguish this variations and both the constraints are generally
applied together (Crandall, 1973; Jafari, 1984; Kolisch and Sprecher, 1996; Milo, 1996; Kim and de la Garza, 2005;
Francis and Miresco, 2011; Hajdu and Mlyusz, 2014).
* Corresponding author. Tel.: +91-9717356536

E-mail address:paul.iit@gmail.com, vpcharlesraj@rics.org
392
RDM (Relationship Diagramming Method) is a variant of PDM and it can store more information compared to other
traditional methods. Figure 1 shows the comparison of PDM and RDM (Plotnick , 2004; OBrien and Plotnick, 2005).
In addition to basic data on the activities, additional information can be represented through five codes namely, Event
Codes, Reason/Why Codes, Expanded Restraint or Lead/ Lag Codes, Duration Codes and Relationship Codes. The
reason/why code of RDM can be associated with a restraint. Primary choices for reason/why code are either P for
physical or R for resource. Generally, a physical reason indicates that activity is dependent based on logic and
the FS (Finish-to-Start) relationship cannot be violated, whereas the resource reason states that activity are dependent
on resource and the FS relationship depends on the resource availability at site (OBrien and Plotnick, 2005). The Why
code further describes the Reason code and answers the question of why the specific Reason has been chosen. But,
the critical path computations based on varying resource availability was not elaborated in the literature.
Planning for appropriate resources especially the labor has always been a great challenge for project managers. The
main objective of this paper is to execute what-if scenarios for several resource combinations using the RDM
reason/why code on repetitive construction projects. Repetitive construction projects have been chosen, as the problem
of common resource sharing is predominant in this type of projects. Through several test cases and trial and error
methodology, an empirical equation for computing the EF (early finish) for an activity has been determined (Goyal,
2014). Other calculations for network analysis such as ES (early start), LS (late start) and LF (late finish) have been
performed in the same way as of ADM. This proposed network analysis was applied on a construction data and the
initial findings are presented in this paper.
2. Solution methodology
The proposed solution methodology is presented in Figure 2 for determining the critical path for RDM networks
when what-if analysis is performed on activities that share the same resources. If the available resources are more than
the planned number of resources, then the resource dependent activities can be performed simultaneously but their
duration depends on the number and combination in which the resources are allocated to them. Hence, the critical path
will change for the planned combination of resources according to the arrived duration of each activity. Several test
cases have been experimented under different resource combinations and a generic empirical equations for forward
pass and backward pass have been arrived at. Except EF, the other calculations performed during the forward pass and
backward pass will not vary and the equation is elaborated subsequently. The equation for calculating the EF for any
activity is shown in equation (1).
Figure 1. Comparison of PDM and RDM network representation (Source: OBrien and Plotnick, 2005)
393
Figure 2 Proposed Solution Methodology
(EF ) j = (ES ) j
Where
(EF)j
(ES)j
Qj
Rj
K
(dj)Z
(Rj )max
z
dk
k 1
Q j (R j )z (d j )z (d j )z 1
z =1
+
(R j )max
+ d k 1
= Early finish of jth activity

= Early start of jth activity
= Total quantum of work for the activity
= No. of resources available to the jth activity
= Priority number
= Duration of the activity under consideration in the Zth Pass
= Maximum resources available to the jth activity
= Counter
= Remaining duration of jth activity at z
394
(1)
3. Case example
The application of this solution methodology was investigated using data from an ongoing project involving the
construction of multiple towers. Three tower constructions represented as T1, T2, T3 and the list of activities & their
durations along with the dependencies & resource requirements are presented in Table 1. The logical and resource
dependencies are also shown in the table.
Table 1. Project Schedule
S.No.
Activity
Duration (days)
Predecessor Relationship
Resource required
Superstructure
240
Brickwork T1
90
1FS
10 Mason + 15 Helper
Joinery Works T1
75
2FS
14 Carpenter + 10 Helper
Flooring Works T1
90
3FS
12 Floorer + 10 Labor
Painting Works T1
80
4FS
15 Painter
Brickwork T2
90
2FS
Joinery Works T2
75
3FS, 6FS
Flooring Works T2
90
4FS, 7FS
Painting Works T2
80
8FS, 5FS
15 Painter
10
Brickwork T3
90
6FS
11
Joinery Works T3
75
7FS, 10FS
12
Flooring Works T3
90
8FS, 11FS
13
Painting Works T3
75
9FS, 12FS
15 Painter
14
Miscellaneous
25
5FS, 9FS, 13FS
3.1. Case 1
For the same set of activities shown in Table 1, the resource availability as well as various resource combinations
are given in Table 2. Further, the network computations were done to study the effect of this change on the critical path
of the network.
Table 2. Maximum availability of resources and resource combinations for Case 1
Resource type
Maximum availability/day
Combination 1 (T1, T2, T3)
Combination 2 (T2, T3)
Mason crew
15
10, 3, 2
10, 5
Carpenter crew
15
14, 1, 0
8, 7
Flooring crew
15
12, 2, 1
12, 3
Painter crew
20
15, 3, 2
15, 5
As the number of resources required are more than those required for one activity, all the activities in T1, T2 and
T3 can be started simultaneously. It is randomly assumed that 10 resources are allocated for brickwork of tower T1, 3
for tower T2 and remaining 2 to tower T3. Using the equations discussed in section 3, calculations were performed for
case 1 and are tabulated in the Table 3. The critical path of the planned network is for tower 3 as shown in Figure 3
and the project duration is 1051 days.
395
Figure 3. RDM network showing critical path for Case 1
3.2. Case 2
Similarly, the network computations were done for the same set of activities with a different resource combinations
as given in Table 4. These network calculations are shown in the Table 5 and the resultant critical path in the Figure 4.
In this case, the critical path of the planned network is for tower 2 and the project duration is 958 days.
Table 3. RDM network analysis for Case 1
S.
No.
Activity
Resources
Early Start
Duration
Early Finish
Late
Start
Late
Finish
Total
float
Superstructure
(ES)Super = 0
240
(EF)Super
=0+240=240
240
Brickwork T1
Mason crew
(ES) B-T1 =
(EF)Super=240
DurationB-T1 = [QB-T1 (RB-T1)z x {(d B-T1)z-(

dB-T1)z-1}/(RBT1)max]+dk-1= [(90x100)/10]+0 = 90
(EF) B-T1 = (ES) BDurationB-T1=

240+90 = 330
691
781
451
(ES) B-T2 =
(EF)Super=240
DurationB-T1=
[(90x10-{3x900})/10]+90 = 153
(After brickwork for
T1 is over, available
resource for T2 is 10
as per combination 2)

240+153 = 393
367
520
127
(ES) B-T3 =
(EF)Super=240
DurationB-T3=
[(90x10{2x90+5x(15390)}/15]+153 = 180
(After brickwork for
T2 is over, available
resource for T3 is 15
as per combination 2)

240+180 = 420
240
420
Brickwork T2
Brickwork T3
Mason crew
Mason crew
T1+
T2+
T3+
Joinery Works T1
Carpenter crew
(ES)J-T1 =
(EF) B-T1=330
DurationJ-T1=
[(75x14-0)/14]+0 =
75
(EF)J-T1 = (ES)JT1+ DurationJT1330+75 = 405
781
856
451
Joinery Works T2
Carpenter crew
(ES)J-T2 =
(EF) B-T2=393
DurationJ-T2=
[(75x14-1x75)/8]+75
= 196
(EF)J-T2 =
393+196 = 589
520
717
127
Joinery Works T3
Carpenter crew
420
210
630
420
630
Flooring Works T1
Flooring crew
405
90
495
856
946
451
Flooring Works T2
Flooring crew
589
165
754
717
882
127
10
Flooring Works T3
Flooring crew
630
216
846
630
846
11
Painting Works T1
Painting crew
495
80
575
946
1026
451
12
Painting Works T2
Painting crew
754
144
898
882
1026
127
13
Painting Works T3
Painting crew
846
180
1026
846
1026
14
Miscellaneous
1026
25
1051
1026
1051
396
Table 4. Maximum availability of resources and resource combinations for Case 2

Resource type
Maximum availability/day
Combination 1 (T1, T2, T3)
Combination 2 (T2, T3)
Mason crew
15
6, 5, 4
8, 7
Carpenter crew
15
5, 6, 4
7, 8
Flooring crew
15
3, 5, 7
9, 6
Painter crew
20
8, 6, 6
10,10
Figure 4. RDM network showing critical path for Case 2

Table 5. RDM network analysis for Case 2
S. No.
Activity
Resources
Early Start
Duration
Early Finish
Late Start
Late Finish
Total float
Superstructure
240
240
240
Brickwork T1
Mason crew
240
150
390
257
407
17
Brickwork T2
Mason crew
240
168
408
240
408
Brickwork T3
Mason crew
240
180
420
257
437
17
Joinery Works T1
Carpenter crew
390
167
557
407
575
17
Joinery Works T2
Carpenter crew
408
168
576.
408
576
Joinery Works T3
Carpenter crew
420
179
599
437
617
17
Flooring Works T1
Flooring crew
557
210
768
575
785
17
Flooring Works T2
Flooring crew
576
197
773
576
773
10
Flooring Works T3
Flooring crew
599
154
753
617
771
17
11
Painting Works T1
Painting crew
768
148
916
785
933
17
12
Painting Works T2
Painting crew
773
159
933
773
933
13
Painting Works T3
Painting crew
753
162
916
771
933
17
14
Miscellaneous
933
25
958
933
958
4. Discussions & Summary

The traditional scheduling techniques have limitations in capturing additional information in order to represent the
real construction scenario. RDM network can capture the additional information in the form of several codes such as
Event code, Reason/why code, Expanded lead/lag code, Duration code and Relationship code. This study has been
focused on the use of Reason/Why Code in capturing the resource constraints. It has been observed that activities can
be resource dependent or logical dependent and the traditional method could not distinguish between these two
restraints. The purpose of reason/why code is to capture the dynamic dependency between the activities to check
whether any two or more activities can execute in sequence or in parallel based on the resource availability. In the
proposed study, what-if analysis was experimented using the proposed network analysis with various combinations of
resources to study its impact on the project duration & critical path. This approach has been well received by the
experts as a useful tool for what-if analysis with varying resource availability. The present study is an initial attempt
on the application of RDM in construction projects and there is lot of scope for improvement, which has to be done
with the help of field experts and case studies.
397
Acknowledgements
The authors would like to acknowledge DST (Department of Science and Technology, Government of India, New
Delhi) for providing financial support for this research work.
References
[1] Crandall, K. (1973). Project planning with precedence lead-lag factors, Project Management Quarterly, 4.
[2] Francis, A. and Miresco, E. (2011). A Generalized Time-Scale Network Simulation Using Chronographic Dynamics Relations, International
Workshop on Computing in Civil Engineering 2011, Miami, Florida, United States, June 19-22, 560-568.
[3] Goyal, A. (2014). Investigation of critical path for relationship diagramming method (RDM), MTech Thesis, Indian Institute of Technology
Delhi, New Delhi, India.
[4] Hajdu, M. and Mlyusz, L. (2014). Modeling Spatial and Temporal Relationships in Network Techniques, Procedia Engineering, 85, 193-205.
[5] Jafari, A. (1984). Criticism of CPM for project planning analysis, ASCE Journal of Construction Engineering and Management, 110.
[6] Kim, K. and de la Garza, J. (2005). Evaluation of the Resource-Constrained Critical Path Method Algorithms, ASCE Journal of Construction
Engineering and Management, 131(5), 522532.
[7] Kolisch, R. and Sprecher, A. (1996). PSPLIB- A project scheduling problem library, European Journal of Operations Research, 96, 205-216.
[8] Milo, S. S. (1996). Resource constrained project scheduling with time resource trade-offs: the non pre-emptive case, Management Science,
28(3), 1197-1210.
[9] O.Brien, J. J. and Plotnick, F. L. CPM in construction management, sixth ed., McGraw-Hill, 2005.
[10] Plotnick, F. L. (2004). Introduction to modified sequence logic, Proceedings of 1st PMICOS Conference, Montreal,Canada.
398
Model of arrangement of final material depots for concave

construction sites
Attila Pm*, Levente Mlyusz PhD
Budapest University of Technology and Economics, Faculty of Architecture, Megyetem rakpart 3., Budapest 1111, Hungary
Budapest University of Technology and Economics, Faculty of Architecture, Megyetem rakpart 3., Budapest 1111, Hungary
Abstract
In this paper, we introduce a model and define an algorithm for the Facilities Location Problem with focus on optimizing the
arrangement of final material depots at a construction site that is represented by a concave area. The available area of the
construction site for placing the depots corresponds to the area of the built-in material location that is served from the depots. The
model solves the problem by using the known Voronoi diagram. The goal is to minimise the sum of the delivery distances from
the final material depots to each point of the structure (continuous problem) instead of the most models that minimise the sum of
the delivery distances from the final material depots to the built in location of each element of the structure (discrete problem).
This way the number and the locations of the built in material elements that define the structure are left out of consideration. The
algorithm gives near-optimal solutions. Advantages of the model and the algorithm are presented based on an example.
The applicability of the model are summarised. This model can be used as a tool for construction site layout planning if the
number of units that define the structure is large or unknown.
Keywords: continuous demand; construction site elements allocation; construction site layout planning; facility location allocation problem;
Voronoi diagram
1. Introduction
One of the preliminary processes in the construction phase of building development is planning the construction
process. Part of the construction planning process is construction site layout planning (CSLP), in which space, time,
material, labour, money and equipment are recognised as resources [1, 2]. The target of CSLP is to minimise
construction time, cost or required resources. A part of CSLP is the construction site elements allocation. The site
elements are categorised into three object groups: site, construction and constraint [3]. According to Moore [4], there
are two basic methods that can be utilised to manage the CSLP problem. The first method is to place the collection of
objects in all possible configurations (or a reduced subset of these combinations) and to choose the best of these
solutions. The second method, which will be used in this paper, is to sequentially place objects based on a predefined order and to calculate the optimal arrangement after each step. One type of construction object is the final
material depot where from the material is handled to each point of the structure by one piece after the other. The
optimal arrangement of the final material depots (AFMD) of a type of material is where the sum of the handling
distances is minimised if the handling technology is constant.
E-mail address:apem@ekt.bme.hu
E-mail address:lmalyusz@ekt.bme.hu
399
In operation research literature, the root of the AFMD problem is known as the k-median problem and it is a part
of the location allocation problem (LAP). In the operation research literature there are studies for the discrete type
optimal location problems and for the continuous type optimal location problems as well. Most studies for the CSLP
use the discrete version. The discrete version starts with a two-dimensional figure on the plane that consists m
predefined points inside the figure as possible hosts and selects k of them as depots to minimise the total handling
distance. A discrete version of the problem as an approximation to the continuous problem is demonstrated [5].
The Voronoi diagram can be used to minimise the average handling distance. In mathematics, a Voronoi diagram
(also called a Dirichlet tessellation) is a method of dividing an area into a number of regions. An initial set of points
(called seeds, S) is specified, and for each seed there is a corresponding region consisting of all of the points that are
closer to that seed than to any other seed (also known as host). These regions are called Voronoi cells [6]. Voronoi
regions can be produced by connecting the centres of the circumcircles of the Delanuay triangulation [7].
In this study, we present an algorithm based on Voronoi diagram and used the continuous model of LAP that
results optimal arrangement of the final material depots for one type of material. In cases in which the capacities of
the depots have to be equal and the handling paths must be inside the two-dimensional figure and the final material
depots can be positioned inside the served working area (inside the Voronoi cells) and the final locations of the builtin material pieces are unknown in advance.
2. Assumptions and objective functions
Architects and engineers define most structures with 3D CAD elements. The structures are represented by 2D
marking with the Z directional information included on the drawings. Some structures are marked by symbols (e.g.
pillars or windows), some are marked by line segments (e.g. wall tiling) and some are marked by areas (e.g. floor
tiling, concrete slabs or the boarding of the slab formwork). The material, dimensions, volume and exact location of
the structure are given in the architectural documentation. The area of the structure is a two-dimensional figure
denoted by the end points (Ai) of the line-segments that are bounding the area.
2.1. Assumption 1.
The final material depots are represented by the projection of their centre of gravity S (x, y) to the XY plane. One
type of material depot usually consists of a certain number of material elements resulting in equal material depot
volumes. The number of the required depots (k, kN) can be easily calculated by dividing the volume of the
structure by the volume of the final material depots. We assume that each final material depot should serve equal
sized subarea of the two-dimensional figure or at least the maximal deflection of the sizes among the sub-areas (D,
DQ) should be given in advance.
2.2. Assumption 2.
There are technologies where the final depot can be placed into the area that is served from the certain depot
(inside the subarea of the two-dimensional figure) and there are technologies when the final depot must be placed out
of the served area (outside of the subarea of the two- dimensional figure) [8]. In this study we assume that the depots
must be inside the served area and the available area is the two-dimensional figure.
2.3. Assumption 3.
The handling paths from a depot to each point of the served subarea can be calculated by two ways: using
Euclidean distance or the shortest path inside the two-dimensional figure. In this study we assume that the handling
paths must be inside the two-dimensional figure.
2.4. Objective function 1.
The objective is to find the allocation of the final material depots, where from the material can be handled by
pieces to their built-in locations along the minimal length of paths.
400
2.4.1. In the case of k=1(discrete model)

The problem is known as the classical Fermat-Weber problem (1929) [9], and the solution can be found by any
two-parameter minimization. If the built-in locations of each pieces of the material are given in advance and the
number of the pieces is not extreme large, than the discrete model can be used:
n
min d
S
i =1
(1)
iS
where n is the total number of the elements and diS is the handling distance from the location of the material depot
S to its built-in location i.
2.4.2. In the case of k=1 (continuous model)
If the dimensions of the elements contained in a depot are extreme small, (or the built-in locations of the pieces of
the material are unknown) then the equation turns into a double integral (Eq.2.) that is also a volume integral. This is
the continuous model that is used in this study:
min (d )dxdy
(2)
iS
In Eq. 2., where (R) is a bounded and closed region of the XY plane; S, is the location of the material depot; diS is the
handling distance from the material depot location to each point of the figure (i).
2.4.3. In the case of k>1 (discrete model)
The goal of the discrete model is:
k
min d
S
j =1 i =1
(3)
iS j
where k (j=1k, kN) is the number of final material depots.

2.4.4. In the case of k>1 (continuous model)
For the continuous model the number of the variables in the equation increases:
k
min (d )dxdy
S
j =1 R
(4)
iS
The locations of the final material depots (Sj) are variables and the boundaries of the subareas are also variables
that are served by the depots. In this equation the number of variables is too many. In case of the two-dimensional
figure would be partitioned into k pieces of equal size subarea than the final material depots could be searched for
each subareas by using Eq.2. for each. We use a modified version of the well-known method named Voronoi regions
for the partitioning.
2.5. Assumption 4. Hypothesis
If k>1 then there are infinite solutions to partition the area of the structure into k equal size subareas (called cells).
Our experimental solution is that the partitioning will result the minimal sum of the delivery distances where the cells
have the minimal length of the perimeter sum (Eq.5.). This so far has not improved yet the demonstration of it will
be published.
401
min p
S
j =1
(5)
2.6. Assumption 5.
If two points S1, S2 are set as seeds in a concave two-dimensional figure, then the calculated Voronoi cells often
result in disconnected cells. We predefined that we use the shortest path inside the polygon, not the straight-line
motion for the handling of the material (assumption 3.). In these cases, the polygon of the two-dimensional figure
should be used as an obstacle. In case the common boundary of the Voronoi cells crosses the boundary of the
polygon represents the available area more than two times the bounding of the voronoi cells must be modified. The
inside area of the two-dimensional figure should be divided into areas that are visible from and not visible from
both seeds and invisible from one seed based on Sadeghpour et al. [3, 10].
Figure 1.a. Voronoi cells
Figure 1.b. modified Voronoi cells
The common boundary of the modified Voronoi cells is a hyperbola or partly a hyperbola and partly a linesegment shown on Figure 1.b. The difference between the Voronoi cells in case of the handling paths can be
calculated by Euclidean distance (Figure 1.a.) and in case of the handling paths can be calculated by the shortest path
inside the two-dimension figure (Figure 1.b.) is shown. The green line is a part of the original bounding of the
Voronoi cells and the blue line is the modified part of the bounding of the cells (hyperbola).
3. The model
3.1. Given in advance
The architects and engineers defined the area of the structure that should be built as a two-dimensional figure. Let
it be a polygon shown on Figure 2. The order of the needed objects (type of the materials) should be predefined. The
model deals with one type of an object at a time. The volume of the two-dimensional figure and the volume of a
depot are also given in advance. The exact built-in locations and the number of the needed pieces of a material are
unknown.
3.2. Searched
The locations of the final material depots are searched, where from the sum of the handling distance is minimal.
3.3. Algorithm
The needed number of the depots (k>1, kN) can be calculated by dividing the volume of the two-dimensional
figure with the volume of a depot. A set of points (q) inside the polygon are set (qN and q>k ) where from k points
are selected as seeds (Figure 2.a.). The set of q points is practical to be on a grid. For all permutation of q points that
contain exactly k elements, the Delaunay triangulation should be performed. In all cases where one side of the
Delaunay triangle crosses the concave polygon structure, the area of the structure should be divided into visible from
and invisible from areas for those two seeds, and the bounding of the cells should be modified as described in
Assumption 5. (Figure 2.b.). For those points where the Delaunay triangle does not cross the polygon, the areas
402
should be treated as Voronoi regions. From all of the permutations of q points, as described previously, where exactly
k seeds are selected the perimeter of the cells and the area of the cells should be calculated. In assumption 1. it was
set that all depots have equal capacities so each cells should have equal area size, but the Voronoi regions (cells)
rarely have equal areas because the result is based on the allocation of the pre-set q points. Based on Assumption 1.
and Assumption 4. a Precission value (Eq.6.) compares each result of the permutation with each other:
Min[areas]
Max[areas]
Precision =
k
pj
(6)
j=1
where Max[areas] is the maximum cell area, Min[areas] is the minimum cell area and pj is the perimeter of the cells.
From all of the permutations of q points, where exactly k seeds are selected only that result should be recorded
where the Precision has the maximum value. If the cell areas are not equal in size or we want to increase the
preciseness of the result, then the results should be recalculated by setting up a new set of q points around the
recorded seeds. It can be repeated until the difference between the minimum and the maximum cell sizes is negligible
(Figure 2.c.).
Figure 2.a. Points are selected as seeds (k=4)
Figure 2.b. Modified cells
Figure 2.c. New set of q points
Once the partitioning of the area is done the locations of the final material depots can be searched for each cell by
using Eq.2.
4. Analysing the methods by an application
In this example, we use Wolfram Mathematica 7. The structure is a concave two dimension figure defined by the
following polygon break points: A1=(0,0), A2=(5.641,3.257), A3=(-0.505,6.535), A4=(2.018,4.726), A5=(0,566,2.301), A6=(2.609,3.274). Let k=4 seeds. At first, we calculated the solutions where all the handling paths are
straight-line movements (the carrying paths may use areas out of the perimeter) and the cell areas do not need to be
equally size areas. The results are shown in the second column of Table 1. as original model and the Voronoi regions
are presented in Figure 3.a.
Next, we calculated the solution when all the handling paths must be inside the polygon. The feasible locations of
the seeds were the same as the original models set. The results of the first, second and fifth iterations are marked in
the third, fourth and fifth column of Table 1. as our model (Figure 3.b.). In this calculation, we limited the number of
algorithm iterations to five so the best solution is shown on the fifth column of Table 1. and on Figure 3.b.3..
403
Table 1. Results of the model
Original model
Our model
(1st iteration)
Our model
(2nd iteration)
Our model
(5th iteration)
{1.242,1.240}
{2.185,1.604}
{2.048,1.641}
{2.048,1.641}
{2.762,2.771}
{4.202,3.488}
{4.339,3.452}
{4.229,3.076}
{4.287,3.287}
{2.355,4.667}
{2.492,4.630}
{2.715,4.200}
{1.741,4.314}
{1.217,3.281}
{1.253,3.418}
{1.901,3.328}
1.953
2.514
3.138
2.773
3.113
3.451
3.245
2.961
2.621
3.134
2.628
2.772
3.510
2.095
2.186
2.651
Sum of the
perimeters of
the cells
50.212
31.49
28.82
38.29
Precision of
the solution
0.011081220
0.01927636
0.02337283
0.02338223
Figure 3.a.
Figure 3.b.1.
Figure 3.b.2.
Figure 3.b.3.
Locations of
the seeds (Sj)
Areas of the
voronoi cells
Graphics
5. Results and Discussion

In this paper, a model and an algorithm were presented to address a Facilities Location Problem in which
construction sites have a concave shape and all of the handling paths must be inside the polygon of the structure.
None of these two models gives the global optimal solution for the original objective but the results can be as precise
as the certain technology needs. In case of the pre-set grid as feasible location of the seeds is too large the calculation
may stick into a local optimal solution. In this model, the delivery cost was not considered because the primary focus
was the arrangement of the final depots for one type of a material; however, this model can also be integrated with
any CSLP model to minimise the total delivery cost.
References
[1] Tommelein, I.D., Lewitt, R. E., and Hayes-Roth, B., SightPlan model for site layout, Journal of Construction Engineering and Management,
118.4., 1992, 749-766.
[2] Winch, G. M. and North, S., Critical space Analysis, Journal of Construction Engineering and Management, 132.5., 2006, 473-481.
[3] Sadeghpour, F., Moselhi, O., Alkass, T. S., Computer-Aided Site Layout Planning, Journal of Construction Engineering and Management,
132.2., 2006, 143-151.
[4] Moore, J., Computer method in facility layout, Imd. Eng. 12.9., 1980, 82-93.
[5] Neuman, T. and Wagon, S., The Facilities Location Problem, Wolfram Demonstrations Project, 2013,
http://demonstrations.wolfram.com/TheFacilitiesLocationProblem/
[6] Voronoi, G., Nouvelles applications des paramtres continus la thorie des formes quadratique,. Journal fr die Reine und Angewandte
Mathematik, 1908, 133: 97178.
[7] Delaunay, B., Sur la sphre vide. A la mmoire de Georges Vorono, Bulletin de l'Acadmie des Sciences de l'URSS, Classe des sciences
mathmatiques et naturelles, 1934, No. 6. pp 793800
[8] Pm, A., Mlyusz,L., Models of arrangement of final material depots at a construction site for labors and for robots, Proceedings of the
Creative Construction Conference2013, Budapest, 2013 pp 597-608.
[9] Friedrich, C. J., Alfred Webers theory of the location of industries, 1929
[10] Sadeghpour, F., Moselhi, O., and Alkass, S., Open architecture for site layout modeling, Proceedings of the 20th ISARC, Eindhoven, Holland,
2003, pp229-234
404
Analysis of methods for determining the construction works

completion time in construction progress schedules
Edyta Plebankiewicz, Agnieszka Leniak, Patrycja Karciska *
Institute of Construction and Transportation Engineering & Management, Tadeusz Kociuszko Cracow University of Technology
Abstract
The article addresses the problem of specifying the construction works duration time. Apart from the common deterministic
method of schedule preparation, there are other, not so well-known methods. The type of the scheduling method is, in turn, related
to the method of specifying the duration of construction works. The article briefly characterizes scheduling methods and the
related duration times of construction works, such as: deterministic, probabilistic, fuzzy or combined (fuzzy-probabilistic)..
Simple examples illustrate the manner and form of activity duration values in different scheduling methods.
Keywords: schedule; scheduling methods; works duration time; probabilistic modelling; fuzzy logic
1. Introduction
Plans of the completion of investment projects are included in the construction organization plan, usually in the
form of schedules which graphically depict the organization and technology of the implementation of an investment
project in the time function. When preparing a schedule, one needs to consider every stage of its creation and make
all the necessary decisions in order to gain an optimal effect as close to reality as possible. The issue of estimating
the tasks completion timings belongs to these elements which may cause the most uncertainty at the construction
completion planning stage. For this reason this issue was assumed as the critical element in the process of creating a
schedule of work progress.
The article addresses the problem of specifying the construction works duration time. This may be achieved by
the following methods: deterministic, probabilistic, fuzzy or combined (fuzzy-probabilistic). Examples of the use of
the selected methods are presented, as well as certain restrictions and use conditions are discussed at the end of this
paper.
Determining the time of construction works completion is closely related to the method of scheduling the project
implementation adopted here. For this reason, the analysis described in the article, which determines the time of
works completion, is supported by an analysis of scheduling methods.
2. An overview of deterministic scheduling methods
A study by [6] presents the following classification of issues related to the deterministic scheduling of
construction works.
405
Scheduling the project without taking into account resource constraints and without variants of ways to perform
the activity (UPS Unconstrained Project Scheduling).
Scheduling the project including resource constraints but without variants of ways to perform the activity (RCPS
Resource Constrained Project Scheduling).
Scheduling the project including resource constraints and variants of ways to perform the activity (MMRCPS Multi-Modal Resource Constrained Project Scheduling)
Deterministic methods of scheduling include the following [6]:
Scheduling by means of a distribution and limitation method;
Scheduling with the use of priority heuristics;
Scheduling with the use of metaheuristic algorithms, such as search with prohibited movements, simulated
annealing or genetic algorithms.
In deterministic methods, the time of construction works implementation is typically calculated on the basis of the
known amount of works (expressed by a work unit, for instance, m, m2, kg, etc.) and the predicted work productivity
(expressed as a work unit per time unit, for example, in meter per hour) [4, 10].
According to [2, 10], the duration of an activity may also be specified on the basis of historical data concerning
specific activities and their average duration. Since it is not very probable that the scope of woks is identical in
various projects, additional performance indicators are used. Duration then can be specified in the following way:
D=
A
P*N
(1)
where: D duration of an activity; A the amount of a particular construction work measured in a relevant work
unit; P the average performance of an average brigade for a specific construction work (measured in a work unit
per time unit); N number of brigades assigned to complete a construction work.
Another possibility is the use of performance standards, which is the inverse of the standard time P:
D=
S*A
N
(2)
where: S time needed to finish a work unit by an average brigade (measured in a time unit per work unit).
[8] presents an analogous way of calculating the duration of a task:
t i = max
lSi
pi ,l
(3)
ai ,l
where: , effort involved in the i-th task in relation to the l-th resource; , number of active resources of l-th
type assigned to complete the i-th task; a set of active resources for the i-th task.
Deterministic scheduling methods are the most common in construction practice. Calculations are based on
deterministic values and it makes them understandable and easy to analyze for all contractors involved in the same
project. All one needs are sources of data or basics to determine them.
3. Scheduling under uncertainty
The specificity of construction project completion is the reason for many elements necessary for planning to be
random. Nowadays, one can observe two directions of developing scheduling methods for construction works under
uncertain conditions of implementation.
406
One of them involves methods in which the uncertainty about the conditions of works execution is modelled by
means of a probability measure. A schedule is prepared assuming an estimation of the completion time of
particular works equal to the expected values or to the median of their probability distributions.
Another one concerns methods in which modelling of imprecisely specified relationships between the frequency
and intensity of the interference and its consequences is based on the theory of fuzzy sets.
These methods are more time consuming and difficult to use in practice. A contractor need to have more
experience and possibility to make observations and collect proper data. Calculations are more mathematically
advanced and require more detailed knowledge about method applying rules. One the other hand, using probabilistic
and fuzzy methods allows the uncertainty consideration.
3.1. Description of probabilistic scheduling methods
The first project scheduling method which involved a probabilistic modelling of random interference was the
PERT method. PERT is commonly known as a method of a construction project analysis, in which activity duration
is specified by means of probability beta distribution. Beta distribution is applied since it allows to specify the
minimum and maximum time of the possible duration of an activity [4, 5]. Assuming that duration is a random
variable t, a indicates the (optimistic) minimum time and b is (pessimistic) maximum time, the density function for
t<a;b> can be expressed by the following formula [5]:
f (t ) =
( p, q )(b a ) p + q
(t a ) p 1 (b - t ) q 1
(4)
where: ( p, q) =
x p -1 (1 - x) q -1 dx
As a consequence, the distribution curve depends on the p and q parameters. A series of transformations are
described in detail in [1].The crucial point for this way of determining time is the fact that estimation by means of
beta distribution requires three pieces of information: about the most optimistic (minimum), the most probable and
pessimistic (maximum) time. The average (expected) duration te is calculated according to the formula below:
te =
a + 4m + b
6
(5)
where: a optimistic time; m the most probable time; b pessimistic time.

To take account of the uncertainty in the estimation of works duration one may also apply other probability
distributions. Duration can be considered a random variable with normal or triangular distribution. Normal
distribution is convenient to use as it relies on two parameters (therefore it is frequently applied as an approximation
of beta distribution). On the other hand, the greatest advantage of the triangular distribution is that it requires three
unambiguously specified deterministic values: the minimum, the most probable and the maximum value of the
random variable [7]. The density function for the triangular distribution for t<a;b> is presented below.
2(t a )
, t < a; m)
(
b
a )(m a )
,t = m
f (t ) = {
(b - a )
2(b - t )
(b - a )(b m) , t (m; b >
407
(6)
where: a, m and b are defined exactly like in equation (5).

PERT became the basis of a method of schedule stabilizing which uses the criterion of network program
reliability. Then, to model random interferences, simulation techniques were introduced. To address the unfavourable
accumulation of floating times which appear as a result of the application of simulation techniques, a critical chain
method was designed. The flaws of this method, in turn, became an incentive for the development of the predictivereactive scheduling method involving the criterion of minimizing the cost of schedule instability. Table 1 presents
probabilistic methods and the values of activity duration that they include.
Table 1. Probabilistic methods
PROBABILISTIC SCHEDULING METHODS
GROUP I
Method using the criterion of
network program reliability
GROUP II
The critical chain method
Simulation method
The predictive-reactive method
ACTIVITY DURATION VALUES

Expected values
Median
Expected values
Probability distribution
Standard
Individually determined for particular activities
Prepared on the basis of [6]
The characteristic feature of the first group of methods includes the fact that they ensure stability of the planned
time of project completion. On the other hand, the second group is characterised by the possibility to ensure the
stability of the planned beginning times of the project activities. Except for the simulation method, the methods
described here consist of a two-stage preparation of a stable project schedule, yet each method involves a different
way of ensuring such stability. This issue was described in detail in [6].
3.2. Description of fuzzy scheduling methods
The application of the fuzzy sets theory, as well as the relations between the probability distribution and the
distribution of opportunities, allows to designate fuzzy numbers which model works completion times for the
analysis of networks and fuzzy construction schedule. The existing methods of fuzzy scheduling belong to two
groups.
One group includes the methods which are equivalent to methods scheduling projects of determined conditions of
implementation. When there exists unlimited access to renewable resources, the specification of the earliest and the
latest activity completion times depends on the relations known in the classic method of the projects critical path
analysis and the principles of fuzzy arithmetic. Then access to renewable resources is limited, ordering of activities
involved in the project is based on fuzzy equivalents of optimization methods.
The other group comprises methods encompassing the concept of -intersections of the fuzzy number and the
principles of interval numbers arithmetic. A fuzzy schedule is obtained as a result of assembling intervals computed
for a finite number of -intersections of fuzzy numbers, which model the durations of individual activities in the
network model of a construction project.
Fuzzy modelling of construction completion times includes the following:
fuzzy modelling of works completion times based on expert opinion and
modelling works completion times based on fuzzy reasoning.
A study by [12] presents a fuzzy equivalent of a division and constraint method using DSF strategies to solve the
task of minimizing the project completion time span, taking into account the limited availability of renewable
resources. Research into priority heuristics includes such studies as [3, 9, 13] which present schemes of parallel
generation of a fuzzy schedule allowing for limited access to resources. Another study by [1] describes a method
equivalent to PERT, which models the imprecisely specified times of activity completion with the use of triangular
fuzzy numbers. On the other hand, [11] attempts to evaluate a fuzzy schedule by applying the measure of capability
and obviousness to compare fuzzy numbers which model the planned and the accepted time of project completion.
408
3.3. Fuzzy-probabilistic methods of construction scheduling

The fuzzy-probabilistic methods by J. Kulejewski presented in Table 2 were described in detail in [6]. These
methods include the diverse levels of knowledge that contractors possess concerning the accessibility of resources,
the acceptable project completion time and the consequences of the anticipated interferences into construction works.
Table 2. Fuzzy- probabilistic methods
FUZZY-PROBABILISTIC METHODS OF SCHEDULING
Method 1
Method 3
Unlimited access to resources
Method 2
Access to resources is limited but the limitations are imprecisely specified
Time necessary to complete one project is limited due to the need to release the resources owned to complete another project , but the
beginning time of this project cannot be precisely specified.
Interferences in construction works are anticipated but the inevitable consequences of the
interferences cannot be precisely specified.
Interferences in construction works are

anticipated, but their consequences can be
avoided due to careful prevention and
control.
VALUES OF ACTIVITY COMPLETION TIMES

Fuzzy value
Deterministic value
Fuzzy value
Based on [6].
The basis of these solutions is mapping the construction by a one-point relations network with one initial activity
and one final activity. Between these activities there exists an end beginning relation. When it is possible to predict
the consequences of interferences, activity completion times are known and expressed by real numbers. Otherwise,
estimations of activity completion times are modelled by fuzzy numbers and include reserves which allow for a
fuzzy evaluation of the influence of interferences on the particular activity. The existing planning limitations are also
modelled by fuzzy numbers.
Justification for referring to these methods as fuzzy-probabilistic, and not simply fuzzy, is that all three methods
apply a probabilistic evaluation for the analysis of the level of compliance with the fuzzy time limit spent on
construction implementation (previously, two probabilistic measures were used, that is the degree of obviousness and
degree of capability). Moreover, the level of compliance with the fuzzy limitation to resources accessibility
undergoes a probabilistic evaluation too (previously, only the deterministic aspect of these constraints was
considered).
4. Examples of designating activity duration in schedules
Example 1. The deterministic method
Let us assume that for a given construction work (work A) the data are as follows:
Time standard S = 2,01 man-hour/m3
Performance standard for a 6-person brigade P = 2,985 m3 /man-hour
Number of works A = 90 m3
Number of workers N = 6
According to formula 1, duration can be computed as follows:
D = 90 m3/2,985 m3 /m-h 1 = 30,15 h/8 = 4 days
In accordance with formula 2, duration equals:
D = 2,01 m-h/m3 90 m3/ 6 = 30,15 h/8 = 4 days
409
Example 2. The Probabilistic method

To specify the expected time of work A, according to formula (5), one needs to calculate three duration values:
the pessimistic, most probable and optimistic. Assuming that the most probable duration is the time computed in
example 1:
optimistic time a =3 days; the most probable time m = 4 days; pessimistic time b = 7 days;
The average (expected) duration te is calculated below:
te =
3+ 44 + 7
= 4,33
6
The waiting time for work A assumed in the schedule will be 5 days.
Example 3. The fuzzy value
The fuzzy value of duration time can be computed similarly to formulas (1) and (2). Here all the data must be
fuzzy numbers.
Let us assume that the standard and number of workers is a fuzzy number with a trapezoid membership function,
and the amount of works is a fuzzy number with a triangular membership function.
Then the data for the designation of work A time are as follows:
Standard Si - (1,98; 2,01; 2,33; 2,5) man-hour/m3
Number of works A i - (80; 90; 140) m3
Number of workers N i - (5; 6; 7; 8)
Time computed on the basis of the following formula:
Ti = Si Ai/Ni = (sai11/ ni4; sai22/ n i3; sai32/ ni2; sai43/ n i1) = (ti1; t i2; ti3; ti4 )
Ti = (1,98 80/ 5/ 8; 2,01 90/ 6/ 8; 2,33 90/ 7/ 8; 2,5 140/ 8/ 8) = (4; 4; 4; 5)
The duration value obtained is a fuzzy number with a trapezoid membership function.
5. Conclusions
One of the elements indispensable for the preparation of a construction works schedule are the durations of
particular works. Their values directly influence the correct specification of the investment completion time. Apart
from the common deterministic method of schedule preparation, there are other, not so well-known methods. The
type of the scheduling method is, in turn, related to the method of specifying the duration of construction works.
The article briefly characterizes scheduling methods and the related duration times of construction works. Simple
examples illustrate the manner and form of activity duration values in different scheduling methods. The main
contribution of the paper is different methods advantages and disadvantages specification. Contractors knowing
restrictions of each method would be able to choose this one which is the most appropriate for their problem.
References
[1] Chen C. T., Huang S. F. Applying fuzzy method for measuring criticality in project network Information Sciences, 177, 2007 (19)
[2] Cooke B., Wiliams P. Construction Planning, Programming and Control Wiley-Blackwell 2009 (34)
[3] Hapke M., Sowiski R. Fuzzy priority heuristics for project scheduling Fuzzy Sets and Systems, 83, 1996 (51)
[4] Hendrickson C., Au T. Project Management for Construction Prentice Hall, International Edition 1989 (33)
[5] Juszczyk M. A concise review of methods of construction works duration assessment Czasopismo Techniczne, czerwiec 2014
[6] Kulejewski J. Metody harmonogramowania budowy z uwzgldnieniem rozmytego charakteru danych Oficyna wydawnicza Politechniki
Warszawskiej , 2010
[7] ucki Z. Matematyczne techniki zarzdzania Wydawnictwa AGH, Krakw 2001 (37)
[8] Marcinkowski R. Teoretyczne podstawy harmonogramowania realizacji zada budowlanych PZIiTB, PROBLEMY PRZYGOTOWANIA I
REALIZACJI INWESTYCJI BUDOWLANYCH, Puawy 22-24.10.2008 (20)
[9] Pan H., Yeh C. H. Fuzzy Project Scheduling Proceedings of the IEEE International Conference on Fuzzy Systems, 2003 (95)
[10] Planning and programming in construction - a guide to a good practice The Chartere Institute of Building, December 1991
[11] Wang J. A fuzzy set approach to activity scheduling for project development Journal of the Operational Research Society, 50, 1999 (120)
[12] Wang J. A fuzzy project scheduling approach to minimize schedule risk for project development Fuzzy Sets and Systems, 127, 2002 (121)
[13] Wang J. A fuzzy project scheduling approach for product development projects European Journal of Operational Research, 152, 2004 (122)
410
Comparison and renaissance of classic line-of-balance

and linear schedule concepts for construction industry
Yi Su and Gunnar Lucko, Ph.D.*
Department of Civil Engineering, Catholic University of America, 620 Michigan Avenue NE, Washington, DC 20064, USA
Abstract
Line-of-Balance (LOB) is a useful analytical tool for repetitive activities in construction projects, which allows showing which
crew is assigned to what repetitive work unit of an activity. LOB is closely related to the linear scheduling method, but possesses
some challenges: It must be clarified how it counts, as previous studies displayed an apparent measurement gap at the origin,
implicitly representing that LOB starts at the first unit finish. Slopes in linear scheduling and LOB are different, even though both
portray a measure of progress of an activity. This paper therefore tracks evolution and current use of LOB versus linear schedules.
Its contribution to the body of knowledge is twofold: First, based on a literature review, LOB is found to have been established
based on Activity-on-Arrow (AOA) diagrams, which causes it to be event-centered, rather than progress-centered. Differences of
representing the start and productivity between LOB and linear scheduling are reviewed thoroughly and explained mathematically
and graphically. Second, different LOB concepts are extracted and assessed to facilitate comparing LOB from its original
intention and use in manufacturing against a somewhat limited application of its objective chart in the construction industry.
Keywords: Line-of-Balance; linear scheduling; modeling; singularity functions.
1. Introduction
Repetitive activities require deploying similar resources (e.g. crews) that finish these jobs successively, which is a
common phenomenon in construction. Scheduling such projects requires a method that can properly manage the
allocation of shared resources over time to competing activities [1, p. 1]. The network-based Critical Path Method
(CPM) is limited in that it focuses strongly on the time aspect [2, p. 711] rather than the workflow, which hinders
its application to scheduling repetitive activities. Researchers have therefore studied approaches that chart both time
and work; linear and repetitive scheduling techniques. While many methods exist under a plethora of names [3], such
two-dimensional work-time progress profiles can clearly express important data in which researchers are interested;
starts and finishes, durations, speed (productivity) of activities, buffers, criticality, and so forth. The Line-of-Balance
(LOB) is a variation of linear scheduling methods that allows the balancing of operations such that each activity is
continuously performed [4, p. 545], which is a resource-driven scheduling technique with the primary objective
to determine a balanced mix of resources and synchronize their work such that they fully employed [5, p. 44]. But
there appear to exist differences between LOB and the slightly more well-known Linear Scheduling Method (LSM):
In linear schedules, an activity is represented as one line, work starts from 0, and velocity (productivity) is calculated
as the slope of the line; whereas in LOB, two lines (start and finish events) are needed to represent an activity, work
starts from 1, and the slope of either of its two lines represents the delivery rate. Since LSM and LOB are related
models of repetitive projects, understanding the similarities and differences of their characteristics is important. Yet
* Corresponding author. Tel.: 001-202-319-4381; fax: 001-202-319-6677.

E-mail address:lucko@cua.edu
411
in Table 1 they appear to be mismatched even in their basic geometry. As simply comparing these definitions cannot
directly explain this surprising finding, the root of such substantial differences must be explored. An approach should
therefore be developed that aligns features of these two promising scheduling techniques to enable a more seamless
use. Recommendations for creating a unified method should be derived, which could provide an integrated, powerful
tool for decision-makers in the construction industry and lead to a renaissance of linear and repetitive scheduling.
Table 1. Basic differences of Linear Scheduling Method and Line-of-Balance
Characteristic
Activity is represented as
Work starts at
Progress rate is represented as
Delivery rate is represented as
LSM
One line
0
Slope of the line
N/A
LOB
Two parallel lines
1
N/A
Slope of any line (parallel)
Therefore a comprehensive literature review needs to be conducted to clarify how such differences possibly due
to only partial application have occurred and can be resolved. This research will address two Research Objectives:
Identifying the differences between LOB and linear schedule models and their original source from the literature;
Comparing the different LOB concepts that were used in manufacturing versus construction project management.
The LOB methodology considers the information of how many units must be completed on any day to achieve
the programmed delivery of units [6, p. 681]. According to various studies [5, 6, 7, 8, 9], basic steps of LOB are: (1)
Draw a unit network of the repetitive activities for a single work unit; (2) estimate the crew size for each activity; (3)
establish a target rate of output (delivery units/day); and (4) derive the LOB as the number of units that must be
completed at a given time. Activities in an LOB quantity chart, which first appears in Lumsdens report [10], but not
in the report by the Office of Naval Material [13], are enveloped by two parallel lines whose slopes are the rate of
output. Equation 1 models the rate of delivery m as the slope of the line of balance jointing the start times of the
repetitive activity in each unit [9, p. 413], where Qi , Q j and ti , tj are the numbers and start times of the ith and jth
units. Setting the finish time of the first unit (Q1 = 1) as t1, Equation 2 returns the finish of the ith unit in that chart.
m = (Q j Qi ) (t j ti ) where i < j
(1)
ti = t1 + (1 m ) (Qi 1)
(2)
2.1. Activity Representation

In linear schedules, an activity that progresses over time is directly represented by a single line, whereas in LOB,
it is enveloped by double lines (start and finish event). Having been established contemporaneously with networkbased methods, the reason for such a fundamental difference may stem from LOB having been derived from activityon-arrow (AOA) networks, as Lumsden [10] describes at length, whereas LSM is rooted in the more recent activityon-node (AON) representation. This distinction has been largely overlooked, despite some implicit evidence in the
literature: Harris and Ioannou [3, p. 270, emphasis added] applied AON to draw the CPM network for a single work
unit before deriving a linear schedule, because CPM diagrams show all of the linkages between similar activities in
successive units, the number of links and nodes will likely be large and the network will appear unnecessarily
complicated. Figures 1 and 2 illustrate the same activities A and B with their respective durations of 4 and 2 time
units per repetitive work unit. Figures 1a and 2a show the respective AOA and AON representation, where a circle is
an event, which unlike an activity, does not consume time or resources, it merely represents a point in time [10, p.
5]. The LOB representation of Figure 1b is significantly different from the linear schedule of Figure 2b. According to
[5], an activity in LOB forms a parallelogram within which each repeated instance is denoted by a horizontal bar.
Different bars may be assigned to different crews. The width is equal with the duration of each unit activity and it
ends at the planned start and finish times of work in that unit [5, p. 45]. From this view, LOB can be considered to
represent a combination of a traditional bar chart and a linear schedule. The slope of the finish event line represents
the delivery rate of finishing repetitive units. Shifting the finish event line to the left by the unit duration returns the
start event line. Together these two lines describe the outer limits in time of our unit network which is repeating
itself opposite each increment of the Line-of-Balance Quantity scale [10, p. 15]. Researchers thus implicitly used
412
AOA when creating their networks for LOB quantity charts [4, 8]. Figures 1c and 2c show how changing the crew
rate in the example from two crews to one results in modified progress slopes and a very different staggering pattern.
Start
Finish
Start
Finish
Event
Event
Event
Activity A
Activity B
2
Duration 4
One duration or two dates define an activity

AON diagram is not necessarily time-scaled
(a) Activity-on-arrow (AOA) representation.

LOB
Quantity
Activity B
Unit duration 2
Link
Two labeled event nodes define an activity

AOA diagram is not necessarily time-scaled
Logic
Activity A
Unit duration 4
3
Duration 2
(a) Activity-on-node (AON) representation.

Work
3
A
10 12 14 16 18 20
Time
0
2 crews, staggered by 2 time units
LOB
Quantity
10 12 14 16 18 20
2 crews for A, staggered by 2 time units
(b) LOB quantity representation with 2 crews.
Time
Unit durations
(b) Linear schedule representation with 2 crews.
Work
3
A
Time
Unit durations
10 12 14 16 18 20
Time
0
1 crew, B interruptible
10 12 14 16 18 20
1 crew, B interruptible, 2 time units buffer
(c) LOB quantity representation with 1 crew.
(c) Linear schedule representation with 1 crew.
Figure 1. LOB quantity is generated from AOA (in part adapted from
[10, p. 5 / p. 15].
Figure 2. Linear schedule is generated from AON (in part adapted from
[3, p. 271].
2.2. Activity Start

In linear schedule diagrams, progress profiles of activities start at the origin, i.e. 0 units on the work axis, which
is continuous. It cumulatively measures how much work has been completed after starting at nothing. Why, then, do
profiles in LOB start growing from unit 1? The reason for this lies in the different meaning of slopes in LOB versus
LSM: Slopes in linear schedules denote the production rate, but slopes in LOB are the delivery rate of finished units.
Since the Line-of-Balance method is geared to the delivery of completed units [10, p. 14], the delivery rate only
starts counting when the first unit has been finished. It thus becomes obvious that the LOB quantity axis in Figures
1b and 1c is not continuous like the LSM work axis in Figures 2b and 2c, but counts only integer work units. This is
a fundamental difference between the two models. The discrete nature of LOB is a drawback, because it does not
return a production quantity at non-integer times of interest, which would be important for monitoring and control.
2.3. Activity Productivity
In LSM, slope is directly proportional to the production rate, which equals the total quantity divided by the total
duration. However, per Equation 1, the delivery rate in LOB is indicating the speed by which work is to be finished
413
in the repetitive units [8, p. 125]. It is called natural rhythm [6, p. 683]. Table 2 provides a detailed comparison of
progress measurements between LSM and LOB: Regarding the slope, total quantity Q divided by the total duration
D returns the productivity in linear schedules, but the quantity difference divided by the finish time difference returns
the delivery rate in LOB. For measuring time, the total duration in LSM is the difference of the finish time of the last
unit minus the start time of the first unit. But in LOB, the divisor is the difference of finish time of the last minus the
finish time of the first unit itself. Analogously, for measuring quantity, the total quantity in LSM is the cumulative
quantity that is finished at the last finish time. It is one when the first unit has been delivered. Comparing the unified
formulas for slope of both LSM and LOB reveal that for the former it equals the cumulative quantity at the last unit
divided by the passed duration (Qj / Dj). But in LOB, one unit is subtracted from the count in the numerator and the
duration of that unit in the denominator ((Qj 1) / (Dj D1)). This peculiar phenomenon can be explained via unified
formulas: If only one crew performs all of the work continuously (or multiple crews work in a strict finish-to-start
sequence, no overlapping), the slope in LSM is identical to the slope in LOB, because the production rate equals the
delivery rate, as can be seen in Figures 1c and 2c. However, if multiple crews work concurrently with a lead time in
the start-to-start relation between crews, i.e. staggering, and each crew works continuously, then the slope in LSM
will always be smaller than the slope in LOB, as comparing activity A in Figures 1b with 2b and 1c with 2c shows.
To draw attention to this fundamental difference between both approaches and avoid confusion between a single
line in Figures 2b and 2c, which directly tracks the actual productivity, and two enveloping diagonals in Figures 1b
and 1c, they here are represented with dashed lines in a deviation from the traditional convention for LOB diagrams.
Geometrically speaking, the line of LSM is a diagonal within each partial trapezoid of the LOB quantity chart, which
directly connects the start event point of one work unit lower with the finish event point of the current work unit.
Table 2. Progress measurement differences of Linear Scheduling Method and Line-of-Balance
Characteristic
Slope means
General slope formula
Time measuring
Quantity measuring
Unified slope formula
LSM
Production rate
Q/D
Dj = tjF t1S, D1 = t1F t1S
Qj = Q (if j is the last unit)
Qj / Dj
Note t1S = 0
LOB
Delivery rate
(Qj - Q1) / (tj t1)
tj t1 implies finishes tjF t1F
Q1 = 1
(Qj - 1) / (Dj D1)
Note tjF t1F = tjF t1S (tiF t1S) = Dj D1
Of particular interest is also the manner in which crew assignments are visualized in both models. Staggering the
crews is clearly represented by the bars in the LOB quantity charts. Note that the single crew of Figure 1c can work
continuously on the four work units, as is shown by the dotted vertical steps between them. However, examining the
crew that perform activity B shows that the strict requirement to maintain continuity within each work unit is causing
a significant cost that crew will now have to endure forced interruptions between each work unit of one time unit.
For multiple crews, the plan of Figure 1b shows that the overlap that is achieved by their staggered starts allow
shortening the project duration from 20 to 14 time units. However, this obviously comes at the cost of hiring an extra
crew. The deliberate focus of LOB on durations within each bar and double enveloping diagonals of the delivery rate
obscures these phenomena, whereas they are more clearly shown in LSM, which focuses on a continuous workflow
(or in this case reveals the lack thereof). As can be seen from the figures for different crew assignments, unless the
duration of each work unit are completely aligned, a need for either staggering or interruptability will inevitably arise.
Reasons for fundamental differences in activity representation, start, and productivity between the LOB and LSM
models have thus been analyzed and traced to their roots in AOA and AON, which fulfills Research Objective 1.
2.4. Manufacturing LOB Concepts
In lean manufacturing a counterpart to LOB exists, line balancing. It is the process through which you evenly
distribute the work elements within a value stream in order to meet takt time it balances workloads so that no one
is doing too little or too much [11, p. 57]. Note that the delivery rate of LOB is similar to the takt of lean theory,
whose German word means rhythm. Takt time is the rate at which a company must produce a product to satisfy
customer demand. Producing to takt means synchronizing the pace of production with the pace of scales [11, p. 48].
In comparison, LOB in manufacturing is based on the principle of the assembly line balance to meet the timing of
the final assembly work [12, p. 6]. In its original application area, LOB has encompassed four elements: THE
414
OBJECTIVE the cumulative delivery schedule. THE PROGRAM the production plan. PROGRAM PROGRESS
the current status of performance. COMPARISON OF PROGRAM PROGRESS TO OBJECTIVE the Line of
Balance [13, p. 1, emphasis in original]. For detailed illustration, the objective chart establishes the desired delivery
schedule of the production process per the upper left part in Figure 3. Note that it resembles most closely a linear
schedule in project management, rather than the aforementioned two-line enveloping LOB quantity chart. Then an
assembly tree per the lower right part of Figure 3 is established to serve as the detailed production plan. Its survey
of key plant operations or assembly points, and their lead-time relationship to final completion, is the most vital
stage in a Line of Balance study [13, p. 1]. Note that this assembly tree resembles a bar chart schedule with logic
links in project management, and its structure and content are peculiar to the particular manufacturing process, from
work on raw materials through assembly operations to point of shipment [13, p. 2]. Note also that this assembly tree
continues to apply the AOA concept to model events as circles. Here it is time-scaled, whereby the length of the bar
between them represents the duration and the distance between event markers represents lead time for completing
each stage. Note, importantly, that the time axis grows toward the left, because planning with LOB uses lead times
before the contractually required delivery date. Next, the LOB analysis can be performed for any date of interest in
the objective chart. Assume that the analysis date is at 6 time units as marked with an arrow. From this point on the
time axis a vertical dotted line is drawn underneath the objective chart, from which multiple horizontal bars of the
durations between the various events and the project completion (i.e. the final event) are traced from the adjacent
production plan, here shown as bars with end markers. From the end markers, draw vertical dashed lines until they
again intersect with the desired output line in the objective chart; then continue them to the right. The third and final
chart is a column chart with the LOB quantity for each event. Events are simply assembled on the horizontal axis,
which formally is a list and therefore does not feature an arrow tip. Again, this resembles a bar chart, albeit turned by
90 degrees, with the difference that the column heights are the required LOB quantities that cumulatively must have
passed through each event (also called control point) to fulfill the desired output. Connecting the columns gives the
name-giving stair-shaped Line-of-Balance, which is marked with a thick black line. It specifies the quantities of end
items sets for each control point which must be available in order for process on the program to remain in phase with
the objective [13, p. 5]. In other words, the reason why the technique is called balance is because this quantity
graduation exactly fulfills the successors demand in the assembly tree without accumulating any excess inventory to
sustain a balanced production, no more, no less. LOB is basically a tool for exercising surveillance over production
programs [13, p. 17], which bears a similarity to earned value management, but replaces tracking cost with counts.
Work
(Cumulative)
50
40
LOB Quantity (Discrete)

50
Analysis
Date
30
20
40
Line of
30
Balance
20
10
10
Time
0
Event
10 12 14 16 18 20 22 24 26
1. Objective Chart (desired completion)
9
7
3. Progress Chart (for all events)

A
5
D
E
6
F
8
20 18 16 14 12 10 8 6 4 2 0
Time to Completion
2. Production Plan (time-scaled sequence)
Figure 3. Steps of LOB in manufacturing (based on [10] and [13])
415
This classic concept of LOB in manufacturing as is explained in Section 2.4 differs from the selected use of just
the concept of LOB quantity charts that is used in construction project management, as has been explained in Section
2.1. The complete LOB naturally has numerous advantages over the latter: First, it is sensible to call the resulting
line in manufacturing LOB a balance, because it is a systematically derived measure of performance that fulfills the
requirements at each event (control point) within the production system. Second, the classic manufacturing LOB has
the potential to be expanded toward synergy with lean theory, because of its similarity with the line balancing in lean
production. Third, the objective chart in Figure 3 is also linked with the linear schedule model, because both measure
a quantity over time cumulatively and continuously. On the other hand, the production plan is essentially a bar chart
with logic links over an inverse time axis. It is suggested that the partial LOB concept that is currently applied in
construction project management should better be called the multiple crews linear scheduling technique if needed.
It is a micro-level result that can be generated from the manufacturing LOB by plotting any adjacent two events in
the AOA network from the assembly tree to which a vertical LOB quantity axis is added, and a progress slope that is
given by how many crews are employed in a staggered manner. It may thus be considered a side-product that has
evolved out of LOB as it was originally intended and used. On the other hand, the manufacturing LOB is plotting the
complete AOA network, so it is more general by covering both the micro-level and macro-level of project planning.
Having examined the conceptual relationships and strengths of the two LOB concepts fulfills Research Objective 2.
3. Conclusions and Recommendations
LOB is a unique resource-driven scheduling technique that holds significant potential for beneficial application to
construction projects with repetitive activities. However, several of its basic characteristics appeared to mismatch
those of linear schedule models. Driven by its stated motivation to compare and contrast LOB and LSM and identify
differences and commonalities, this paper has thus systematically reviewed their concepts with regards to three major
aspects, which are activity representations, starts, and productivities. Its findings contribute to the body of knowledge
in several ways: First, LOB and LSM are found to have been most likely based, respectively, on the AOA and AON
representations of network schedules, which explains why double lines envelope activities in LOB, whereas linear
schedule represent them with a single line. Second, the reason that the LOB quantity chart starts at 1 work unit is that
the slope in LOB describes the delivery rate in integer increments. Since the delivery rate counts how fast work units
are finished, it starts at the finish of the first unit. Furthermore, progress measurements in LOB and LSM have been
explained both mathematically and graphically. Third, the full manufacturing LOB exceeds the analytical capabilities
of LOB in the form that has been studied for use in construction, yet also has potential synergy with lean production
theory. Further research should investigate if a unified theory can be derived for both LOB and LSM concepts, which
could additionally support a renaissance of using the complete concepts of both methods to their fullest potential in
construction project management. Since LSM has already been successfully expressed with singularity functions that
provide an accurate formulation [2], the question arises how such mathematical model can be extended to encompass
both the partial and full versions of LOB. These topics will be investigated under future theory-building research.
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[12] Wang, C., Huang, Y. (1998). Controlling activity interval times in LOB scheduling. Construction Management and Economics, 16(1): 5-16.
[13] Office of Naval Material (1962). Line of balance technology. NAVEXOS P1851 (Rev. 4-62), Reviewed and Approved 17 April 1962, Office
of Naval Material, Department of the Navy, Washington, DC: 33 pp.
417
Time reserves in the realizations of building

Andrzej Wickowski
Tel. +48 126172138, e-mail: awiecko@agh.edu.pl
AGH University of Science and Technology, Department of Geomechanics, Civil Engineering and Geotechnics, Krakow, Poland
Abstract
The objective is to analyse the time reserves in designing the periods for executing processes that guarantee keeping the planned
deadline for the works, considering technological interdependencies in execution, and stochastic description of the times for
executing particular works. Task execution has been mapped with networks of activities with a determined structure and random
duration of particular processes, modelled according to the results of empirical studies at the construction site (applying distributions
shifted against the beginning of the system of coordinates). By using the probability account and numerical analyses methods,
including "Monte Carlo, execution cycles have been analysed, as well as summary stoppage times for executing teams and working
areas. On the basis of the calculations using data from the studies on construction one of three twelve-storey office buildings in
Krakow (with BREEAM Interim Excellent, Q22 certificate), it was stated that in order to keep the planned deadline, with 50%
guarantee, smaller works execution periods by particular teams were necessary, on average by 0.103 rhythm time. If the rhythm
had not been changed, working cycle would have been elongated by over 11%. Therefore, in a situation of even small random
fluctuations to time periods for executing particular works, time reserves must be planned to buffer teamwork and to assure timely
completion of the works.
Keywords: time reserves, CPM, planning
1. Introduction
Execution of particularly large construction works requires simultaneous employment of a significant number of
staff, often several dozen, while sometimes several hundred and more. In such cases, works organisation for specialist
teams is a complex task. Among three basic methods for site organisation, consecutive and simultaneous execution
and balanced workload, work execution cycle was analysed with the application of the latter method due to cooperation
of many working teams. With the assumption of constant duration of particular processes, work execution cycle can
be easily determined by using the formulas developed by A. Dyewski. However, actual execution at the construction
site is characterised with random variability of particular process duration. In line with the studies that follow, such
random deviations cause many distortions with execution and the need for working teams waiting time, which results
in stoppages of the works and elongation of work execution cycles.
Numerical calculations were carried out using a network model with a deterministic structure interpreting
technological interdependencies of works execution, and applying random characteristics of process duration, as
determined at the construction site. The analyses indicate levels of absolute and relative elongations of works execution
cycles, as well as ranges of summary stoppages at work areas and teams' waiting time at the site. The analysis also
involved variability of work execution periods, waiting times of work areas and teams due to extension of the facility
planned, e.g. in the case of adding more storeys.
418
The analyses were compared to the construction of the first of three twelve-storey office buildings complex in
Krakow, with the aforementioned certificate, with total area of 57,000 m2. The construction follows the Investors
idea of business ergonomics [11], characterised with complexity of measures related to investment preparation and
execution at each phase, starting from selection of the location, through engineering, contractor selection, construction,
commercialisation and facility management to guarantee top quality offer to clients.
The analysed office building, located at a two-level cross-roads of 29 Listopada Avenue and Opolska Street in
Krakow, features one underground garage storey under the building and from the east, under the car park and greens
on the ground level, and under a one-storey administration building. Storey height between the floors total 320 cm,
except for the south-western part of the building, where the ground floor is of double typical storey height, amounting
to 675 cm, and the 12th storey is of 375cm height.
The building has been designed as pole-and-slab system made of vertical and horizontal joists and poles, set on a
slab of reinforced concrete of 1.0 m thickness, at the depth of -5.05m against the ground level, with recesses up to 6.60 m under the elevator shafts. The building features two cores of reinforced concrete, each comprising elevator
shafts, four for transport of people, and one freight elevator, stiffening shafts and walls, and a staircase. The building
is executed as monolithic, of reinforced concrete in Peri formwork: walls of 20 cm thickness, formed in flat
multidimensional disks, rectangular poles with dimensions 60 cm x 60 cm, also formed using flat disks, with storey
height, and floors of 26 cm thickness made on supports with stabilising tripods and on wooden beams covered with
formwork plywood of 22 mm, while untypical shapes are individually formed, also using Peri systemic elements.
Concrete class C30/37. Concrete mix with S4 and S5 consistencies, with cement setting start after 3 hours.
2. Work execution methods
Among basic organisational solutions for process execution at construction sites, there are the following methods:
consecutive works (KW), simultaneous works (RW), balanced workload (PR), and their combinations, [3, 4, 7, 8].
The consecutive work method assumes that directly after completion of one process (or facility), the next process
is started and executed, etc. Apart from long duration of works execution using the KW method (longer than below
using KW and PR methods), there is an unfavourable single execution of work processes by particular teams, possibly
with works repetition after stoppages.
The simultaneous works method accounts for execution of the same processes (facilities) or all processes (facilities)
at the same time period. There is a favourable, short work cycle (shorter than in KW and PR methods). In turn, there
may be unfavourable simultaneous commencements, execution of many the same works, their commissioning and
completion. Moreover, a significant drawback of the RW method is the difficulty of having a large number of teams
at the same time to simultaneously execute the same work processes at the same, relatively small time period. It is
similarly problematic to prepare many work areas of the same type at the site, and to simultaneously carry out timeconsuming commissioning that require diligence, as well as to have all teams leaving at one moment and the need to
assure employment for them all on other works.
Dyewski A. author of Doctrine of balanced workload in construction works [2], and later other authors [6, 9],
pointed to the balanced workload method (PR) as the most favourite works organisation at the construction site.
In order to apply the PR method, the works differentiate n work areas. Each work area shall be a construction
area:
comprising the entire facility, in the case of several small facilities forming the works, or a part of large facility
resulting from its division into fragments requiring similar labour R, materials M, and equipment operation S,
necessary to create a workstation and assure work area,
usually entrusted to one team to execute a consecutive work forming a separate whole.
Work areas analysed below have been labelled as i, i=1,2,,n and described with a set iI.
In other works, in the case of the PR method, the building facility is divided into n work areas with similar RMS
outlays, or in the case of nrepeatable smaller facilities, each one is treated as work area. Usually, one work area is
entrusted to one team who carry out a particular process during the "rhythm" - r, or its multiplicity. A team carries out
the same work process while moving consecutively along all work areas, from the first one to the last one. After
completing a particular process, each area is taken over by the next team who, after completing their work, hands it
over to a team executing the next process (according to the construction technology). In such a way, each area, in the
technological order, undergoes all processes j, j=1,2,,m described with the set iI, consecutively from the first
j = 1, to the last one j = m.
419
3. Example
On each storey of the building, 4 work areas have been differentiated, with the width of facility projection, in the
other direction (along the building) limited with axes 1 4, 4 7 with core I, 7 9 with core II, and 9 11. Due to
building structure, the first and second work area are larger than the respective work areas 3 and 4.
Forwork and reinforcement of poles, and the other process of concrete laying for poles, were executed on the same
work areas.
Formwork and reinforcement of walls in core I of the building and elevator shafts, and the other process of concrete
layin for walls of core I of the building and elevator shafts, were carried out in parallel with pole execution on work
areas 1k and 2k (k means storey of the building). Analogically, execution of core II and elevator shafts was executed
in parallel with pole execution on work areas 3k and 4k.
Fomwork of joists, beams, lintels and floors, was executed in advance of one work area against reinforcement of
joists, beams, lintels and floors, and one work area against concrete laying for such elements. The last process involved
formwork, reinforcement and concrete laying for stairs.
3.1. Task execution cycles and stoppages of teams and work areas
Pursuant to the analysis of process execution times at the construction in question, it was determined that average
time totalled tm = 3.125 work shift with standard deviation of particular measurement results = 1.287. Hence, relative
standard deviation is very high, totalling as much as = 41.18 %. Distribution of process execution times ranged
from the smallest value tmin = 2.5 shift to tmax = 6.5 work shift.
In the further analysis, average time tm = 3.125 work shift has been identified with one time unit: 1 t.u. = 3.125 shift.
For the adopted values of rhythm time r = 1 t.u., m = 8 processes and n = 4*12 = 48 work areas (4 work areas on
each of the 12 storeys) task execution time using the balanced workload method totals tPR = 55 t.u.
Based on numerical calculations using the network model with deterministic structure and meeting the conditions
of technological order of execution of works and as above with random process duration characteristics, after carrying
out 10,000 simulations, obtained average values, namely values occurring with the probability of 50 %, have been
Table 1. Task execution periods and summary waiting times of teams and at work areas
Process
execution
period
tm
Task
execution
cycle
tPR
Task
execution
time
tlos
Absolute
cycle
elongation
c
Relative
cycle
elongation
c
Work area
waiting
time
Team
waiting
time
b
t.u.
t.u.
t.u.
t.u.
t.u.
t.u.
1,0
55,000
61,146
6,146
11,17
156, 32
24,141
0,897
49,335
55,000
5,665
11,48
142,043
18,771
Pursuant to the obtained results of numerical calculations, while considering random duration of particular
processes, task execution time is elongated, in absolute terms by c = 6.15 t.u., while in relative terms by c = 11.17
% as compared to the cycle tPR = 55 t.u. calculated according to the balanced workload method.
In turn, in order to assure task execution time equal to the calculated tPR = 55 t.u., it would be necessary to assure
smaller value of rhythm duration by 0.103r, namely process duration to be applied should be tm = 0.897 t.u.
This problem is very frequent in construction works. Despite process execution times with average values equal to
the rhythm r, actual random values of such times cause significant elongation of task execution period. For example,
at the analysed construction site, relative elongation of the execution time amounted to, as above, over 11%. Therefore,
in order to preserve the cycle tPR, the planned rhythm duration in the analysed case (with the determined empirical
characteristics of processes completed) should be reduced by approx. 10.3%.
As a consequence of the impact of random duration of particular processes, there are both periodical stoppages at
work areas waiting for the start and execution of the next process, as well as periodical stoppages of teams, occurring
due to failure of making works areas available by the teams still completing previous processes. Summary waiting
time of work areas totalled d1,0 = 156.32 t.u. Elongation of task execution time amounted to c = 6.146 t.u. This is
over 25 times smaller elongation of the task execution than the summary waiting time of all work areas results from
420
the fact that waiting time refers to 48 work areas, and each can await even several times (in the special case: 8 times
corresponding to the number of processes executed), or there may be no stoppages at all.
In turn, summary waiting time of the teams, totalling b1,0 = 24.141 t.u. is about 3.9 times greater than the elongation
of task execution time c.
Similar proportions of stoppages for work areas and teams were observed while applying, in the calculations, of
expected process execution time tm = 0.897 t.u.
3.2. Variability to task execution time and stoppages of teams and work areas
Task execution times tlos and summary waiting time of work areas d and of the teams b depending on the number
of work areas n where the eight processes are repeated, have been presented in Table 2 and Fig. 1.
Table 2. Variability of task execution periods tlos and summary waiting times of work areas d and teams d , depending on work area number n
n
16
32
64
128
256
512
1024
2048
tlos
8,3629
9,6551
12,146
16,78
25,727
43,111
77,183
144
276,05
537,75
1057,7
2093,7
tlos/n
8,3629
4,8275
3,0365
2,0975
1,6079
1,3472
1,2059
1,125
1,0783
1,0502
1,0329
1,0223
0,2834
0,8884
3,0506
9,142
27,672
81,09
242,02
722,48
2101,9
6094,7
17705
50767
d/n
0,2833
0,4442
0,7626
1,1427
1,7295
2,5341
3,7815
5,6443
8,2104
11,903
17,289
24,788
1,5874
3,0974
5,1067
8,528
12,849
19,369
29,046
42,291
61,482
89,38
127,99
183,12
b/n
1,5873
1,5487
1,2766
1,066
0,8031
0,6053
0,4538
0,3304
0,2402
0,1745
0,1249
0,0894
t.u.
t.u.
tlos
b
d
20
tlos
b
0
n - area
48
Fig. 1. Task execution times tlos and summary waiting times of work areas d and teams b , depending on work area number n
In the case of increasing the work area number n, e.g. as a result of multiplying the number of storeys or extension
of the planned facility, the time for process execution tlos is extended. According to the results of calculations (cf. Fig.
421
1, Table 2), for the analysed values n=1,2,4,,2048 (n I), task execution times are greater than the corresponding
b - than summary waiting times of the teams:
(1)
tlos > b, n I .
In the analysed case, for a smaller number of work areas n, from about 15, namely for n < 15, summary waiting
times of work areas d, similarly as team stoppages, are smaller than task execution times tlos. In turn, for a greater
number of work areas n, from about 15, namely for n > 15, summary waiting times of work areas d are greater than
task execution times tlos, with the intensively growing discrepancy together with further growth of the value n.
Therefore:
tlos > d, n < 15,
tlos < d, n > 15.
(2)
(2a)
In the case where the work area number is smaller than 8, namely for n < m (where m means the number of teams,
here m = 8) summary waiting times of work areas are smaller than summary team stoppages, while in the case of a
greater number of work areas work area stoppages are greater than team stoppages, with the intensively growing
discrepancy with the further increasing number of work areas:
d < b, n < m,
d > b, n > m.
(3a)
(3)
Fig. 2 and Table 2 present the variability of task execution periods tlos and summary waiting times of work areas d
and teams d, depending on work area number n where the processes are repeated.
t.u./n
tlos/n
b/n
d/n
48
n - area
Fig. 2. Variability of the proportions between task execution periods tlos and summary waiting times of work areas d and teams d , depending on
work area number n
The proportions of task execution time tlos to the number of work areas n where processes are repeated, with n
growing from 1 to 2048, suggest that with further increasing of the value n , there is a correlation of proportion
value to 1. In turn, the proportions of summary team stoppage times b to the number of work areas n, also in the case
of n growing from 1 to 2048, suggest that in the case of increasing the value n as above, there is a correlation of
proportion results to 0. In the case of work area number also growing from 1 to 2048, the proportions of summary
422
waiting times of work areas d to their number n indicate that for n there is a discrepancy of proportion results to
the infinity.
4. Conclusion
The analysed actual process execution times while executing the building shell where characterised with average
period tm = 3.1 shift, high standard deviation = 1.3, large distribution of process execution times, with minimum time
tmin = 2.5 shift, and tmax = 6.5 shift.
On the basis of numerical calculations, with the application of model distributions compatible with the actual
characteristics at the site, it is determined that random times of particular process duration has caused, among others,
long waiting times of particular teams for their work areas. Team stoppages totalled approximately 39%, against the
task cycle time. In turn, work area waiting time total (at 48 work areas) lasted over 2.5 times longer than the average
task execution cycle t los = 191 shifts.
As compared to task execution period calculated using the deterministic method as the total of average process
duration, the actual task execution cycle, accounting for random conditions at the site, is longer by over 11%, and
keeping the deadline with 50% certainty requires the application of over 10% shorter times of particular process
execution.
The analyses carried out allow for pointing to the interdependence where if the n work area is smaller than m
number of teams (processes), summary waiting times of work areas d are smaller than summary team stoppage times
b. Therefore, d < b for n < m, and the contrary correlation d > b at n > m.
The characteristic large distributions of particular process execution times, actually observed at the site, are a cause
for significant stoppages of teams and work areas, and cause significant elongation of task execution cycle, hence their
impact must be accounted for.
References
[1] Cho C., Shin Y., Park J., Lee. Y., Cho M., Lifting load calculation method of computing simulation for super-tall building construction, The
29th International Symposium of Automation and Robotics in Construction, Eindhoven, Netherlands, 2012.
Dyewski A., Doktryna pracy rwnomiernej w realizacji budowlanej, PWG, Warszawa 1949.
International Standard ISO 10005: 2005. Quality management systems Guidelines for quality plans.
Jaworski K., Metodologia projektowania realizacji budowy, Pastwowe wydawnictwo Naukowe PWN, Warszawa 2009.
Kenzo K., Nobuyuki N., Efficient Monte Carlo simulation method of GERT-type network for project management, Elsevier, Computers &
Industrial Engineering, V. 42, I. 24, P. 521531, New York 2002.
[6] Mrozowicz J., Metody potokowe organizacji procesw budowlanych o charakterze deterministycznym, Prace Naukowe Instytutu
Budownictwa PWr, nr 32, Monografie, nr 14, Wydawnictwo PWr, Wrocaw 1982.
[7] Pritchard C., Risk Management: Concepts and Guidance, Fourth Edition, ESI, 2010.
[8] Shtub A., Bard J., Shlomo G., Project Management. Engineering, Technology, and Implementation. Prentice Hall. Englewood Cliffs. New
Jersey 1994.
[9] Wtorski J., Organizacja i mechanizacja budowy, Cz. III, PWN, Krakw-Warszawa-d 1965.
[10] Wickowski A., Principles of the NNM method applied in the analysis of process realisation, Automation in Construction, Elsevier Science
BV, Amsterdam-London-New York-Paris-Shannon-Tokyo 2002, vol. 11/4, pp. 409-420.
[11] http://opolskabusinesspark.pl/
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[4]
[5]
423
Sustainable Construction, Health and Safety
Safety improvement on building construction sites in Qatar

Ibrahim Al-Abbadi, Ahmed Senouci, and Neil Eldin *
Urban Planning and Development Authority, West Bay Area, Doha, Qatar Qatar
Department of Construction Management, University of Houston, Houston, Texas 77204
Deaprtment of Construction Management, University of Houston, Houston, Texas 77204
Abstract
The construction industry is an essential national backbone, especially for developing countries. Poor project performance and lack
of construction control could have long-reaching detrimental effects on slowing down the countrys development pace and on
impacting the prosperity of its citizens.
The State of Qatar is currently experiencing an unprecedented rate of economic growth and urban development. The economic
growth rate in Qatar is currently one of the highest in the world. As the host of the FIFA World Cup in 2022, Qatar plans to invest
over $40 billion in infrastructure projects in preparation of such a significant event. The plan includes a new airport, metro system,
high-speed rail, and addition of 40,000 hotel rooms. The plan also includes $4 billion to build nine new modular stadiums and
renovate three existing facilities. Such an explosive boom has raised concerns about the construction industry, especially regarding
its health and safety problems. Several governmental agencies are currently monitoring and regulating worker safety in their
respective jurisdictions. Qatar National Provisional Safety Committee prepared a safety guide for construction work. The aim of
the guide is to ensure worker safety and mandates that contractors, owners, and consultants abide by the established safety rules.
The purpose of this study is to: 1) identify safety issues in Qatari jobsites, and 2) use risk management techniques to minimize the
impacts of the risk factors. The risk management process consists of risk identification, risk assessment, risk response and risk
control. In risk identification, 38 safety risk factors related to Qatari building construction sites were compiled based on an extensive
literature review and recommendations of safety experts. These risk factors were subsequently divided in five safety groups: project
nature, management, personal, government Regulations, and unsafe site conditions. The risk assessment was addressed through
safety questionnaires to rank the risk factors in order to guide the application of risk management. Safety managers, safety engineers,
safety officers, and safety supervisors were included in the data collection. After analyzing the questionnaires, the risk factors were
ranked as low, moderate, and sever based on their degree potential impact. To address the risk response, interviews with safety
experts were conducted to determine mitigation measures. These measures include: 1) developing comprehensive safety plans, 2)
clearly defining the role of managers, supervisors, and employees in safety implementation and 3) teaming up managers and workers
to accomplish the safety objectives.
Keywords: Construction Safety; Qatari Construction Projects; Risk Factors; Risk Management; Risk Mitigation.
1. Introduction
The construction industry is perceived as a pillar industry in national economies. Construction projects encounter
significant risks and uncertainties in term of safety, cost, time, and quality. These risks threaten the successful
completion of these projects, slow the pace of development, and could impact the whole society.
* Corresponding author. Tel.: (+1) 713-743-61631; fax: (+1) 713-743-0602.

E-mail address:asenouci@central.uh.edu
425
The construction industry, however, is recognized as the one of the most hazardous industries [1]. The construction
industry is also well known for its safety challenges [2]. The harsh work environment and the high workforce turnover
negatively impact jobsite safety [3]. The work environment features high intensity of physical work, constantly
changing site conditions, and less formally defined construction processes [4]. Its labor-equipment intensive nature
places workers in harms way. It is common that multiple trades work in the same area and therefore creates congestion
and possible lack of coordination that could affect the safety of individual workers. All these factors dramatically
increase the work-related injuries and fatalities. Site injuries and fatalities do not only bring suffering to the workers
and their families, but also cause project delays and additional costs due to loss of productivity, disrupted schedules,
and accident investigation and reporting.
In preparation to host the 2022 FIFA World Cup in Qatar, more than $40 billion in infrastructure projects are
planned. This includes a new airport, a metro system, a high-speed rail network, and 40,000 more hotel rooms. It is
estimated that 500,000 construction workers are currently in the country. Additional thousands of workers are likely to
arrive as mega infrastructure projects are launched [5]. Such a huge construction boom raises concerns about workers
safety. Similar to other developing countries, Qatar is experiencing high percentage of construction-related injuries and
fatalities. Since 2012, almost 900 worker deaths were reported in Qatari infrastructure construction projects. The
International Trade Union Confederation [6] stated that if the conditions did not get any better, at least 4,000
construction workers fatality are expected by the time the World Cup kicks off. This situation has recently raised many
concerns about the construction industry health and safety problems. Several governmental agencies are currently
monitoring and regulating work safety in their respective area of interest. The National Provisional Safety Committee
prepared a safety guide for construction workers. The objective of the guide is to ensure worker safety by mandating
that contractors, owners, and consultants abide by its safety rules. The purpose of this study is to identify the factors
affecting safety in Qatari construction sites.
2. Objectives and Methodology

2.1. Objectives
The objectives of the paper are to: 1) investigate the factors affecting the safety in Qatari building construction sites
and 2) apply risk management process to reduce risk factor and improve safety on Qatari building construction sites.
2.2. Methodology
A literature review was carried out to identify the safety risk factors on Qatari construction sites. Safety experts in
Qatari building projects were consulted to refine these safety risk factors. A survey was also designed and distributed
to safety experts in building construction projects. The purpose of the questionnaire was to acquire safety data from
respondents actively involved in Qatari building construction. Data was collected and analyzed. Risk factors were
assessed and then risk factors were classified according to severity.
3. Risk Factor Identification

The risk factors that affect the safety in Qatari construction projects were obtained from: 1) available reports and
literature, and 2) interviews with safety experts in Qatari building construction. The risk factors identified by Farooqui
[7], Yung [8], and Tabtabai [9] were used to select the risk factors affecting Qatari construction sites. Sixty two risk
factors were identified at the onset. Similar risk factors were then merged based on the suggestions made by safety
experts in the Qatari construction industry. The modified list involved 38 safety risk factors. These factors were grouped
under five classifications: project, management, personal, government, and site conditions.
426
4. Risk Factors
4.1. Survey
Many researchers in the construction industry have recently conducted large-scale surveys and interviews with
experts in the construction industry. Questionnaires were also conducted herein to collect the required data and
information about the risk factors affecting safety and the risk management practices. The feedback and comments
made by the experts provided a comprehensive problem identification and advisement.
The questionnaire was designed to describe the current practice of risk management by contractors and A/E
consulting firms in Qatar. It was also designed to investigate the probability of occurrence and the impact of risk
factors affecting building construction safety.
The questionnaire consists of three parts. The first part collects the following information about the respondent: 1)
affiliation, 2) position, 3) work experience, 4) work location, 5) number of projects involved in the last five years, and
6) safety training level achieved. The second part collects information about: 1) risk management awareness and
application and 2) the benefits and importance of using risk management in building construction projects in Qatar.
The third part identified the probability of occurrence and impacts of the risk factors using a scale of 1 to 5.
4.2. Questionnaire Analysis
A total of 41 questionnaires were distributed among safety managers, safety engineers, and safety officers working
in Qatari building construction projects, and 28 were received. Table 1 summarizes the 28 questionnaires.
Table 1. Questionnaire Respondent Characteristics.
Criteria
Respondent
Respondent
Percentage (%)
Employer
Owner
50
Contractor
43
A/E Design Firm
Less than 6 years
Between 6 and 15 years
57
More than 15 years
36
Safety Academic Degree
21
Safety Supervisory Certificate
Safety Officer Certificate
26
Training Attendance Certificate
16
Training Course Attendance Certificate
32
Work Experience
Training
The above data indicates that the respondents had the required knowledge to answer the survey questions. All
respondents stated that their organizations employ risk management techniques to mitigate construction safety.
However, only 64% of the respondents explained correctly risk management implementation. The answers of the
remaining 36% of the respondents show that their organizations did not adopt a comprehensive risk management
strategy in their projects.
4.3. Risk Factor Assessment
A qualitative risk analysis was used to assess the risk factors. Table 2 summarizes the risk factor probability of
occurrence and Table 3 summarizes the impact rating.
427
Table 2. Risk Factor Probability of Occurrence.

Scale
Rating
Description
Rare
Very low chance of occurrence
Low chance
Low chance of occurrence
Possible
Medium chance of occurrence
Likely
High chance of occurrence
Very High Chance
Very high chance of occurrence
Table 3. Risk Factor Impact Scale.

Scale
Impact Rating
Description
Negligible
Negligible or insignificant impact
Minor
Minor impact (i.e., slight project impact)
Moderate
Moderate impact (i.e., significant project impact)
Major
Major impact (i.e., major threat to project goals and objectives)
Severe
Severe impact (i.e., instantaneous disruption of project goals and objectives)
The probability of risk occurrence is calculated using the Mean Value Method as shown below.
5=1 []
5=1 []
(1)
Where OP = probability of risk occurrence; J = probability of occurrence rating scale (integer values between 1 and
5), and NRP[J]= number of the respondents selecting the probability of occurrence equal to J.
The risk impact is also calculated using the Mean Value Method as shown below.
5=1 []
5=1 []
(2)
Where IP = risk impact; J= impact rating scale (integer value between 1 and 5), and NRI[J]= number of the
respondents selecting an impact equal to J.
The degree of risk R is computed using the following equation:
(3)
= .
Table 4 summarizes the risk rating criteria used in the analysis.

Table 4. Risk Rating Criteria.
Risk Scale
Risk Impact Rating
1-4
Negligible
5-12
Tolerable
13-25
Intolerable
Tables 5 summarizes the intolerable risk factors affecting the Qatari building construction projects.
428
Table 5. Project Nature Risk Factor Assessment

Risk Factor Classification
Risk Factors
OP
IP
Project Nature
Project size and complexity
3.7
3.6
13.3
Project schedule and cost requirements
3.4
3.5
12.1
Lack of site safety inspection and supervision
3.3
4.0
13.4
Lack of adequate resources to safety
3.3
3.9
12.9
Lack of adequate in-house safety rules
3.3
3.9
12.9
Lack of adequate safety training
3.4
3.8
12.8
Lack of compliance to governmental safety regulations
3.1
4.0
12.2
Lack of adequate safety plan
3.1
3.9
12.1
Lack of safety knowledge
3.5
4.1
14.3
Lack of adequate job experience
3.4
3.9
13.3
Failure to use personal protective equipment
3.3
4.0
13.2
Working at improper speed
3.1
4.0
12.7
Throwing or accidentally dropping objects from higher levels
3.0
4.1
12.5
Smoking on the site
3.3
4.1
12.2
Government Regulations
Lack of rigorous enforcement of safety regulations
3.4
3.6
12.2
Unsafe Site Conditions
Lack of adequate house keeping
3.5
3.6
12.5
Lack of adequate platform guardrails
3.1
3.9
12.3
Lack of adequate fire warning systems
3.0
4.1
12.3
Management
Personal
The personal and management risk categories had six intolerable risk factors. On the other hand, the project nature
and unsafe site condition risk categories had two and three intolerable factor risks, respectively. Finally, the
government regulation category had one intolerable factor risks.
4.4. Risk Control
The risk factors rated as intolerable should be controlled and given more attention. The intolerable risk factors are
mainly related to personal, management, and site conditions.
The personal risk factors could be controlled by allowing more supervision to the site activities. Increasing the
number of site supervisors should help decrease the number of accidents.
The risk factors associated with management and site conditions should be controlled by maintaining an effective
safety program that focuses on overall safety, equipment safety, and safety manuals/literature. The program needs also
to provide safety equipment provisions, provide safe environment, and appoint safety representatives on the
construction site.
The risk responses should be reviewed periodically throughout the project life cycle to make sure the desirable
results are achieved. The risk assessment should be repeated after implementing the necessary risk responses to insure
that the probability of occurrence or the impact of the risk factors are reduced, if not more risk responses should be
applied to reduce the risks.
5. Conclusions
The objectives of the study were to: 1) identify the major safety risk factors in Qatari building construction sites
and 2) apply risk management technique to assess the impact of these risk factors. A questionnaire was designed based
on a comprehensive literature review and feedback from safety engineers working in the Qatari construction industry.
429
The questionnaires were distributed among practitioners with varied positions, duties, and work experiences to collect
different opinions and views. The questionnaire included three main parts. The first part included general questions
about the respondents background. The second part addressed the extent of risk management application in Qatari
construction projects and the major benefits of risk management. The third part addressed the likelihood and impact
ratings of safety risk factors using a scale of 1 to 5.
The questionnaire responses showed a poor risk management practice in Qatar. The respondents agreed on the
importance of applying risk management techniques to analyze safety problems in Qatari construction projects. The
analysis of the questionnaire responses showed that 18 of the selected safety risk factors (out the total 38) were
intolerable and needed special attention and care.
As a conclusion, the practice of safety risk management must be enhanced in the Qatari construction industry. More
training, seminars, and workshops should be conducted by construction companies to familiarize employees about the
concept of safety risk management.
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<http://www.ituc-csi.org/qatar-2022-world-cup-risks-4000?lang=en> (Oct. 15, 2014)
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among Construction Contractors. Proceedings of the Fourth International Conference on Construction in the 21st Century: Accelerating
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[9] H. Tabtabai, Analyzing Construction Site Accidents in Kuwait. Kuwait Journal of Science and Engineering, 29 (2) (2002).
430
Positive safety participation and assessment by integrating sharing

technology with virtual reality
Dong Shuang a,b*, Yin Qin a, Li Heng a
a Department of Building and Real Estate, The Hong Kong Polytechnic University, Hung Hom, Kowloon, Hong Kong
b Department of Construction Engineering Management, Tongji University, Shanghai, China
Abstract
Traditional health and safety performance in construction is assessed based on accessible outcomes such as accidents, injuries,
illnesses or diseases. This lagging measurement still exists and is used by many industries since its relatively easy to collect data,
easily understood, objective and valid. Many researchers start to treat the performance assessment in a much more proactive way
by taking safety climate and culture into consideration. As an indispensable part of safety climate/culture, safety participation
level is merely evaluated by passive survey questions like whether attend the safety training, which ignores many other invisible
participation behaviors like safety knowledge transferring and sharing. Whats more, although many traditional safety
performance assessments are intended to modify construction workers safety behavior, study on personal level safety assessment
is still vacant.
To solve the problems above, this study firstly presents a systematic safety performance assessment framework on personal level,
not only including traditional lagging indicators, but also with positive indicators like participation and attitude. This framework is
based on comprehensive literature review. Then a positive safety participation and participation assessment method is designed by
integrated sharing technology with virtual reality. The feasibility of this method is tested on a real worksite.
Keywords: Personal safety performance, Assessment, Knowledge sharing platform, virtual construction.
1. Introduction
Safety performance and improvement on constructions site has been a permanent and tough problem. It has
received a great deal of attention since long time ago like when the implementation of Occupational Safety and
Health Act in 1970. The ability to measure safety performance is a key factor for a reliable check of safety training
effectiveness, safety management methods and safety improvement [1]. At first, safety performance was directly
related to the outcomes from first aid injury to fatality [2], but the dis-illusionary fact is a low injury or ill-health rate,
even over a period of years, is no guarantee that risks are being controlled and will not lead to injuries or illnesses in
the future [3]. Therefore many further studies in safety measurement focused on measuring whether behaviors follow
the safety regulations [4]. At this stage, health and safety differs from many other areas because its better
performance comes from the absence of an outcome (injuries or illness) rather than a presence. All these measures
are based on the pessimistic assumption that almost all organizations are typified by greed, selfishness, manipulation,
secrecy, and a single-minded focus on winning. In more recent years, there has been a trend toward taking positive
organizational factors into consideration like trustworthiness, resilience, wisdom, humility, high levels of positive
energy [5]. Accordingly, health and safety measurement methods put an increased emphasis on ideas of goodness
and positive human potential instead of errors and mistakes before. This multiple-dimensional health and safety
performance becomes achievable by the addition of safety participation and safety climate on safety outcomes and
compliance assessment [6].
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Although there have been many personal safety performance methods in other industries like mining,
manufacturing [7] or health service [8], the construction industry with complex and changing conditions seriously
lacks of practical, reliable and valid measure of individual safety performance [9]. As a result, this research comes up
with a comprehensive individual health and safety performance assessment framework based on literature review as
the second part. To achieve the practical goal, a new method is designed and the supporting system is developed to
assess the individual safety participation automatically and quantitatively by integrating Sharing App with Virtual
Location Technology.
2. Systematic Health and Safety Performance Assessment
2.1 Health and Safety Performance Assessment
Safety
knowledge/experiences
/skills
Helping to
identify/solve safety
problems
Accidents
Near-misses
The priority/importance
of safety
Illnesses
SSB
Personal Safety
Performance
Indicators
Taking part in
safety activities
Communicating/spreading
safety information with/to
coworkers
Notifying or helping
coworkers in emergency
conditions
Subjective
Fatigue
Physiological
Symptoms
ISB
Safety Compliance
PSB:
Correctly
inspecting,
testing and
storing PPEs
Performing
tasks according
to operation
procedures and
safety plans
Figure 1. The systematic individual safety performance assessment indicators
In this part, a hierarchical individual safety performance framework and corresponding systematic assessment
indicators are identified and interpreted through related literature review. The occupational health and safety (OHS)
performance has traditionally been measured by outcomes such as accidents, injuries, illnesses or diseases [10]
completely above water surface in Fig. 1. This lagging measurement still exists and is used by many industries since
its relatively easy to collect data, easily understood, objective and valid [11]. Since these outcomes occur
unpredictably and only rarely, they are normally not given to direct observation. For these reasons most methods are
based on post-factum measurement. However, these after the fact indicators plunder the opportunity of prevention
and correction in time and cannot bring safety attention or improvement to the next project when the outcome is
relatively good before. Whats worse, the bad outcomes are always under-reporting [3].
As human behavior accounts for major causes of the accidents, many researches treat safety issue in a much more
proactive way [12-14]. Safety compliance indicators refer to following the rational safety regulations and plan which
constitute a key part of behavior based safety (BBS) methodology as BBS is aiming at intervening and modifying
human unsafe behaviors [15] where primary attention is directed at specific safety-related behaviors that are,
typically, performed by workers [16]. Whats more, according to the empirical study about construction individual
behavior [17], workers behaviors related to safety could be classified into personal safety behavior (PSB), structural
safety behavior (SSB) and interactive safety behavior (ISB). PSB pertains to safety compliance while SSB and ISB
belong to safety participation category as shown in Fig. 1. These participation indicators are relatively extra
432
requirements and supportive actions to raise better safety climate/culture where the similar items are safety
involvement and communication [18].
Being foundation of the hierarchical assessment framework shown in Fig. 1 and also the important components of
safety climate/culture, construction workers attitudes and perceptions of worksite safety are involved in evaluating
indicators. In accordance with cognitive model, perception is the first step of psychological process, and the only part
directly contacted with memorized information which is represented by knowledge and skills [19] while attitude
refers to an individuals positive and negative judgment of performing a behavior [20]. At the same time, physical
state is proposed to be effective safety performance indicator due to the fact that fatigue and many negative
physiological symptoms could make worker feel physically stressful [21], cause physical injuries of overexertion
[22] and even ergonomic and degenerative disorders [23]. Research Committee on Industrial Fatigue (1969)
designed and released subjective symptoms to predict fatigue by 30 standard questionnaire questions classified into
drowsiness/dullness, concentration difficulty and physical disintegration. Meanwhile, other physiological
measurements like heart rate, blood pressure, calf circumference, critical flicker fusion and strength have been
utilized as useful indexes for health and safety assessment [24].
2.2 Safety participation assessment issues
Since safety climate and culture have obtained tremendous attentions in these years, many methods and indicators
turn up to assess personal participation. Safety participation was conceptualized as the behaviors that may not
directly contribute to workplace safety, but do help to develop an environment that promotes safety [25]. The main
categories of safety participation include helping, voice, stewardship, whistleblowing, civic virtue and initiating
safety-related change [26]. To link agreed safety goals at workplace to the actions required to achieve them and to
identify and facilitate the removal of barriers to the implementation of those actions, multiple indicators have been
developed as a quantitative method.
In fact, comprehensive measures are rarely used due to a practical concern, length of these measures, which has
been noted as a problem in studies all the time [27]. The popular indicators, for example, times of attending
voluntary safety meetings and training [28], assisting coworkers to perform safely, stopping safety violations [9],
expressing and transmitting information about safety [29], are assessed through human observers and hard to practice
effectively in massive scale. These subjective assessment methods are not reliable to provide the same measures
when assessed by different people [30] because these observations are highly experience depended and bias-easy. As
a result, the next part establishes a practical and objective method to assess workers safety participation performance
by sharing and virtual technologies.
3. Methodology
3.1 General Methodology
Uploaded
Information
Valid?
NO
Discard
YES
Discard
YES
Existing Danger
Source?
NO
Record as
Participation
Add Information
as New Danger
Source
Real-time
Location
Information
Danger
Source
Information
Too Close To
Danger Source?
Figure 2 General methodology
As shown in figure 2, the general methodology is to realize two functions: supporting safety participation and
keeping the worker away from danger source. The safety participant makes a figure by capturing and uploading the
danger source information. Once the uploaded information is testified as a new danger source not existing in present
433
Alert
database, the related information will be added in the system and tag will be fixed on the new danger source on work
site for further in-time warning and protection. Meanwhile, the information of the up loader like ID, name, trade will
be recorded in the safety participation assessment system. Furthermore, the real-time locations of workers and danger
sources are calculated, and if the worker is too close to danger source, the warning will be send to him/her through
the tag on helmet.
3.2 General system architecture
Figure 3 the general system architecture
This multi-user on-line supporting system consists of three main parts shown in figure 3: Real Time Location
System, Virtual Construction System and Safety-related Sharing System. Respectively, Real Time Location System
is responsible for detecting and calculating the timely locations of tagged objects like workers, danger sources and
equipment, while Virtual Construction System is responsible for displaying the relative 3D positions on building
models and recording the moving of all tracked objects. Meanwhile, the Safety-related Sharing System is a platform
for the workers uploading photos and information about new danger sources or hazardous behaviors and the records
are used as the participation performance assessment. The whole system adopts a typical three-tier web-based
application structure composed of presentation layer, business layer and data layer.
3.3 Safety Participation Platform
Figure 4 Sharing Platform Deployment Architecture
434
This platform is developed for collecting information about danger sources identified and shared by workers. To
connect with users friendly and visualize the outcomes, a browser and an application are built for computer and
smartphone respectively. Apache Tomcat, which powers numerous large-scale, mission-critical web applications
across a diverse range of industries and organizations, is used and programmed as the webserver to process
information uploaded, make records and do statistical calculation. All the information and outcomes are stored in
SQL database for further analysis. Every worker needs to set up an account which is matched with his/her worker ID,
and the uploading and sharing records are applied as the foundation of safety participation assessment both in
horizontal and longitudinal ways.
3.4 Real-time Location system and Virtual Construction
Figure 5 Real-time location and virtual construction system
Figure 6 Safety Participation Records Website
Real time location network is constructed by tags which are small hardware devices designed to be mounted on
helmets and moving objects, and anchors to be fixed at some static positions as reference points. Chirp Spread
Spectrum (CSS) technology is employed for ranging, which estimates physical distance between two devices by
Time of Flight (TOF) of radio frequency signals. The location-based virtual construction comes true with the help of
435
Location Engine, SmartFoxServer and Unity revealed. The location engine is programmed to calculate tags
positions and then send the position information to application server. It also takes charge of relaying warning
signals to Location Network as a sound or vibration trigger. The warning to danger is generated by comparing tags
coordinates this comparison process is programed according to Java.awt.geom and Polygon2D algorithms. All the
programming are developed on SmartFoxServer. A Server Object Extension is also developed in application server
to drive and synchronize all the User Clients in terms of the real construction situations. Unity is used to build the
User Client for visualizing construction progresses, defining static and dynamic dangers, as an integrated authoring
tool for creating 3D video games or other interactive content such as architectural visualizations or real-time 3D
animations. The connection and information transformation between the network and location engine on computer
come true by the application of the NanoLOC TRX transceiver which is based on CSS and the only wireless devices
using CSS with real time location and RFID abilities.
4. Experiment
Workers tags
Dander warning
Tag on danger source
Hooks tag
Too close to danger source
Figure 7 Location synchronization and visualization
In order to demonstrate the feasibility and validity of this proposed safety participation assessment method, it is
necessary to test this on-line system on real working site. A sloping construction site with many tower cranes is
selected as this kind of project is very common and accident-prone in mountainous Hong Kong. As a potential
danger source, the moving lifting hook was recognized and uploaded on the application as shown in figure 6. Its
photo was captured by the worker on worksite and the related information like project name, type of danger and
worker ID, were added like figure 6 on the sharing system. And the sharing records were recorded to calculate how
many times each worker participated in safety information sharing during a certain period of past time.
To further promote safety climate and performance, the uploaded information was both deployed in warning
system and on real site like figure 7. In this experiment, three workers acting in the crane area were selected to be
tracked and also the hook was also fixed with tag for location. The tags were matched with the personal and danger
information, such as work type, danger type, warning type and threshold distance as shown in figure 7. The real time
moving of these four objects were synchronized in 3D model in figure 7.During the work time, once the tracked
worker was too close (smaller than 2m in this case) to the moving hook, the warning would be sent to the worker like
figure 8 through the tag on his/her helmet to remind him/her away from the moving danger source. All these moving
paths and warnings were recorded for further possible safety performance analysis.
5. Conclusions and Future Work
Traditional safety performance assessment methods escape from personal level and have failed to be widely
effective because they are highly dependent on manual and experienced inspection process with lagging assessment
indicators. This paper solves these two problems by providing a framework for systematic personal safety
performance assessment and then developing a practical approach for personal safety participation assessment. This
involved the development of a supporting multi-user platform to sharing safety-related information and also
436
protecting the workers from danger sources through obtaining real-time locations. An controlled experiment on real
construction site was conducted to verify the ability of the method to support personal safety performance.
Acknowledgements
The work was supported by the Innovation and Technology Commission (ITC), Hong Kong Special
Administrative Region, under the project "Location-based Technologies for Asset Tracking and Risk Management"
(ITP/036/12LP), a General Research Grant titled Proactively Monitoring Construction Progress by Integrating 3D
Laser-scanning and BIM from the Research Grants Council of Hong Kong (Reference No. PolyU 152093/14E), and
the National Natural Science Foundation of China (Grant No. 71390523).
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437
Resilience Modeling (TRA) for critical infrastructures to withstand

extreme events-sensitivity analyses
Sima Michal Elkabetsa * ,Igal M. Shohetb
a
Ph.D. candidate, Department of Structural Engineering, Ben-Gurion University of the Negev, Beer-Sheva 84105, Israel.
bDepartment of Structural Engineering, Ben-Gurion University of the Negev, P.O.B. 653, Beer-Sheva 84105, Israel.
Abstract
The continuous performance and functioning of Critical Infrastructures is crucial for the civil society security and wellbeing
particularly upon the occurrence of extreme event. The resilience of Critical Infrastructures concerns nation's stability and
economic wellbeing. This research introduces the development of an advanced probabilistic computational resilience modeling
named "Triple R Analysis" (TRA) for Critical Infrastructures in extreme events generated by terrorist actions. The risk analysis
model incorporates blast-response models and a Benefit-Cost-Ratio (BCR) analysis that investigates whether the prevailing risks
in Critical Infrastructures exposed to extreme terror events are acceptable and assesses if a reduction in the given risk as a result of
a risk mitigation strategy worth the additional investment, and to what extent, particularly in situations that require careful
allocation of resources or limited budget. The TRA model consists of four main phases: Initialization (site characteristics), Risk
Analysis (Probabilistic Risk Assessment and Fault-Tree-Analyses), Cost of Effective Protection (CEP) of alternative protective
strategies, and Total Cost of Effective Protection (TCEP) that sums up the costs of risk and risk mitigation A case study on
electric power supply sub-station was carried out to demonstrate the model. Sensitivity Analysis to the suggested model reveals
that the effect of the probability of attack (P A) on the risk expectancy (R) is greater than the effect of Protection Effectiveness (PE)
for critical infrastructures with low level of vulnerability (PE> PE optimum), i.e. Reduction of risk may be more cost effective through
the treatment of the probability of attack rather than the improvement of protection effectiveness by mitigation measures. For
critical infrastructures with high vulnerability level, the reduction of risk may be more cost effective through the improvement of
the protection effectiveness with mitigation measures rather then through reduction of probability of attack.
Keywords: Critical Infrastructures, Extreme Events, Redundancy, Resilience, Robustness, Risk.
1. Introduction
The continuous performance of Critical Infrastructures is highly crucial for the civil society security and
wellbeing particularly in extreme events. Critical Infrastructures such as energy and water supply, critical storage,
gas and oil plants and others are required to perform in a diversity of conditions, beginning with routine maintenance
through extreme events [1]. Each infrastructure is inherently a complex system, when grouped together these systems
become highly interconnected and mutually dependent, because of that the rippling effect of extreme events to any
critical infrastructure may have an amplifying impact that can be far-reaching and long lasting [2-4]. Terrorism and
physical attack on CI have continued to increase and the safety of the Critical Infrastructures concerns nations'
stability and economic wellbeing [5-9]. all of the above- mentioned derives indicate the high priority to develop a
systematic tool for critical infrastructures risk assessment tools under the occurrence of extreme event.
* Corresponding author. Tel.: 972-8-6479800; fax: 972-8-6479670.

E-mail address: elkabets@post.bgu.ac.il;
438
2. Research Method
2.1. The Decision Variables and Parameters
The proposed model decision variables stem from Kaplan and Garrick (1981) [10] three fundamental questions:
"what can go wrong?", "what is the likelihood?", and "what are the consequences?". In the proposed model, the
proposed security risk (R) is expressed as fallow:
R= (PS| PA ) x (PA) x (1-PE) x C
[1]
Where:
R - Risk Expectancy associated with extreme event [$]
PA- Probability/Likelihood of event [%]
PS|PA - Condition event success Probability/Likelihood [%]
PE - Effectiveness of the protection system to prevent the event [%]
(1- PE) - Vulnerability of the CI to a given extreme event, derived by the ineffectiveness of the protection system
[%]
C - Consequence of the event [$].
All of the components of equation (1) may be multidimensional and interdependencies may exist between the
variables, in particular: (a) The Probability/Likelihood of event (P A) and the Attack success Probability/Likelihood
(PS|PA) are functions of the time of the event (T) and the vulnerability of the CI to a given attack (1- PE).(b) The
Consequence, C, is a function of the time of the event (T) and the vulnerability of the CI to a given event (1- PE).
The innovation we offer in this paper according to Kaplan and Garrick risk assessment process is that there is an
interdependency between the questions "what is the likelihood?" and "what are the consequences?" and the state of
the Critical Infrastructure (CI). Therefore we add here the following questions: "what is the planning horizon?",
"what is the vulnerability of the CI to an attack within the planning horizon?". The state of the Critical Infrastructure
plays a crucial role in estimating its future behaviour for any given threat. The parameter that indicates this attribute
is PE, the protection effectiveness of the protective system. Therefore, we offer the "Triple R Analysis" model to
find the most effective protective alternative strategy represented by Resilience, Robustness and Redundancy to
reduce the overall risk to CI caused by extreme terror event.
In the following paragraph we define the three strategies in details:
Resilience- Haimes (2012) [11] offers the following definition: "the ability of a system to withstand a disruption
within acceptable degradation parameters and to recover within acceptable losses and time". Resilience is a vector
that represents the state of a system. Its the ability to absorb impact, and reduce loss of power within acceptable
predetermined level of degradation. In this research resilience is the protective measures relates to the people who
works in the critical infrastructure.
For example: resilience of a system may be achieved through security devices, measures for protecting people,
fire alarm systems, etc.
Robustness is defined by the structures ability to withstand any unforeseen loading as well as initiating damage
scenarios without a disproportionate response. It also represents the structures ability to absorb minor structural
failures (perturbations) without affecting the overall structural integrity. For example: passive protection such as
shelters reinforced concrete components, bullet-proof glass, steel constructions etc.
Redundancy is the slack of critical components of a system with the intention to increase reliability of the
system. For example: redundancy may be achieved by power supply backup, parallel devices to create redundant
capacity of the CI, etc.
439
2.2. Triple R model

The "Triple R Analysis" model consists the following four phases:
Initialization- In this phase we highlight various aspects of a Critical Infrastructure such as: (A) the critical
infrastructure architecture which includes organization layer and physical layer. The obtained result is a platform
for identification of the critical assets requiring protection and prioritization of these assets by using: FMEA [1213], FMCEA [14-15], Event Trees [16-18] and FTA [19-21] methods.
(B) Identifying of hazardous events; (C) Alternative protective strategies to the CI in the following categories:
Resilience, Robustness and Redundancy base on the cumulative knowledge so far and the advice of various
experts in the organization.(D) Converting of the protection strategies to protection effectiveness level in
percentage by using Pressure-Impulse Diagrams for assessing the expected damage[22-25].
Risk Analysis- development of a functional relationship between the level of Robustness, Resilience and
Redundancy with respect to the expectancy of risk. Risk analysis is carried out using expression 1 above for each
strategy for variable values of PE. The risk expectancy phase includes four sub-stages in accordance with the four
components of equation 1:
(a) Threat Scenario Analysis- The likelihood of extreme event is assessed with the aid of a questionnaire for the
experts in the facility; (b) The Conditioned probability of successful event (PS| PA) is estimated from a statistic
database of the chosen scenario. (c) Consequences analysis-The purpose of consequence analysis is to estimate
consequence values (direct and indirect) for each undesired event for a given Critical Infrastructure.
Cost of Effective Protection (CEP) Function- This function calculates the expected cost required to invest in risk
reduction per protection effectiveness level for the "Triple R analysis". Each strategy in the Triple R analysis
(Resilience, Robustness and Redundancy) has a finite number of different alternative discrete solutions, which can
be expressed in economic terms.
Total Cost of Effective Protection (TCEP) Functions-The final phase is to derivate the optimal protective solution
of a given strategy from an integrated model. A new function Total Cost of Effective Protection (TCEP) was
defined as the sum of the total of risk expectancy (R) and cost of effective protection (CEP) as shown in
expression 2:
TCEP=R+CEP
[2]
The procedure describes above may be repeated for each alternative strategy. The minimum curve for a required
protection effectiveness (PE) is the optimal solution as shown in figure 1. From this step one can assess the trade-off
between robustness, resilience and redundancy in the overall risk expectancy and the total cost of effective protection
(TCEP) in Critical Infrastructure.
Risk [$]
High
High
Redundancy
Prevailing Risk
Resilience
Robustness
Low
0%
Low
Minimum Curve of Total Cost of
Effective Protection
100%
Figure 1: Minimum Envelope of total cost of Effective Protection for aggregation of 3 alternative protection strategies: Redundancy, Robustness
and Resilience
440
3. Case Study Electric Power Sub-Station
Total Cost of Pretective

Effectiveness (NIS*10^6)
Electric Power Systems constitute the fundamental infrastructure of society that supplies an essential and critical
service for society [26]. An Extreme terror event attempts to disrupt power supplies and affects national security, the
economy, and many aspects of civil life such as healthcare, industrial plants, security, etc. The implementation of the
methodology is on an electric power substation located in Sderot town. The area is found under a constant threat,
especially steep-path shooting of Grad Rocket with explosive of 90 kg TNT, in a range of 10 km approximately from
the border line with the Gaza strip. This electric power systems is a first priority strategic facility, being the central
electric power supply source of Sderot town.
A comprehensive characterization of the facility was carried out and the critical assets requiring protection were
identified and prioritized by using Fault Tree Analysis and experts advices.
For each strategy in the "Triple R Analysis" (redundancy, resilience, and robustness) five different alternative
discrete solutions in ascending order were developed. The next step was to translate the suggested solutions into a
protection effectiveness (PE) percentage by analysis of the expected damage (consequences) to the facility and its
occupants. For example, the protective solutions for the robustness strategy included: full protection of steel
construction (PE=0.99), protection by concrete construction (PE=0.90), burial of critical components in the soil
(PE=0.65), protection by partitioning concrete walls (PE=0.50), protective secured space (PE=0.35), and without
protection (PE=0.01). For each level of PE a calculation of the risk expectancy analysis was carried out. The
outcomes of the annual attack probabilities are found to be 0.253, 0.303, 0.358, 0.408, 0.487, and 0.606 respectively.
These probabilities are based on weighting the expert questionnaire according to equation 2.
The condition extreme event success Probability/Likelihood (PS|PA [%]) was estimated from a statistic database of
steep-path shooting of Grad Rocket to Sderot area according to the Israeli intelligence agency and found to be 0.17
per annum. The consequences analysis of each solution was measured in terms of direct consequences: physical
damage, production loss, loss of life or injury and indirect loss which include user delay, environmental damage,
increase security costs etc.
Figure 2 shows the Total Cost of Effective Protection (TCEP) for each strategy and the optimal solution for the
asset which consists of the minimum envelope created by the combination of three graphs. One can see that the
redundancy strategy is found to be the least effective solution in terms of cost-effectiveness of the strategy; it is
realized as this strategy is found above the curves of the Robustness and the Resilience strategies. Regarding the
other two strategies, it is found that resilience is a preferred solution for Protection Effectiveness (PE) of between
0.50 and 0.90
4.0
3.0
2.0
1.0
0.0
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
PE %
redundency
robustness
resilience
Prevailing Risk
Total Cureve
Figure 2: Minimum envelope of Total Cost of Effective Protection for aggregation of 3 alternative protection strategies: Redundancy, Resilience
and Robustness.
4. Sensitivity Analyses
To evaluate how valid and sensitive the recommendations of the suggested model are in an uncertainty range,
sensitivity analyses have been carried out for two variables: the protection effectiveness (PE) and the probability of
attack (PA) to assess the sensitivity of the Total Cost of Effective Protection to the above key variables.
The sensitivity analyses reveal that the effect of the probability of attack (PA) on the risk expectancy (R) is
according to a linear dependency, the reason is that there is no dependency between the Probability of attack (PA) to
441
the rest of the risk equation components and these components act as static variable according to any change of the
probability of attack (PA). The effect of the protection effectiveness (PE) on the risk expectancy (R) is similar to the
research hypothesis, that is to say that even the slightest change in PE will lead to change in the rest of the risk
equation components (because the dependency of the probability of attack (PA) and the Consequences (C) on the
level of the protection effectiveness (PE). Figures 3 and 4 emphasize the above statement.
3
400
Risk [10 NIS]
300
Risk [10 NIS]
500
200
100
0
0.2648
2
2
1
1
0
0.3148
0.3648
0.4148
0.5148
0.4648
0.5648
0%
20%
40%
PA
60%
80%
100%
PE [%]
Figure 3: Sensitivity Analysis of risk against variations in

Probability of attack (P A) for protection effectiveness level of
53% - Redundancy strategy
Figure. 4: Sensitivity Analysis of risk against variations in

protection effectiveness (PE) - Redundancy strategy
Sensitivity Analysis of the Total cost of Effective Protection (TCEP) for the resilience strategy against variations
in Protection Effectiveness (PE) and the Probability of Attack (PA) is shown in figure 5. It appears from the results
that the effect of the protection effectiveness (PE) on the total cost of effective protection (TCEP) is greater than the
effect of the probability of attack (PA), as long as PE PE opt=31%. For example, if the PE level is 31%, the gradient
value will be -2,574,628 [NIS] while, according to the PA sensitivity analysis, if the PA level is 0.506, the PE is 31%
and the gradient value will be -1,870,784 [NIS].On the other hand, the effect of reducing the probability of attack
(PA) on the total cost of effective protection (TCEP) is greater than the effect of increasing protection effectiveness
(PE), as long as PE>PE opt=31%. For example, if the PE level is 53%, the gradient value will be +86,866 [NIS], while,
according to the PA sensitivity analysis, if the PA level is 0.46, the PE is 53% and the gradient value will be -837,164
[NIS].The latter findings mean that the mitigation of risks may be more cost-effective through the mitigation of the
probability of attack rather through the upgrading of protection effectiveness with mitigation measures for low
vulnerable infrastructures. Conversely, the mitigation of risks may be more cost-effective through the upgrading of
protection effectiveness with mitigation measures rather than through the mitigation of the probability of attack for
highly vulnerable critical infrastructures. This conclusion is consistent with the results of the model for the case
study.
6
[10 NIS]
0
0%
20%
40%
60%
80%
100%
120%
-2
-4
TCPE
PA
PE [% ]
TCPE
PE
Figure 5: Sensitivity Analysis of the Total Cost of Effective Protection (TCEP) for the redundancy strategy against variations in Protection
Effectiveness (PE) and the Probability of Attack (P A).
442
5. Conclusion and discussion

The paper introduces the sensitivity analyses results for the "Triple R Analysis" model. The TRA model is a
probabilistic computational risk analysis model that incorporates blast-response models and Benefit-Cost-Ratio
(BCR) analysis that investigates whether the prevailing risks in C.I.s exposed to extreme terror events are acceptable
[27]. The methodology assesses if a reduction in the prevailing risk as a result of a risk mitigation strategy worth the
additional investment, and to what extent, particularly in situations that require careful allocation of scarce and
limited resources. The sensitivity analyses process examines the impact of the risk equation components (i.e. PA and
PE) on the magnitude of the expected risk. The outcome of the process was consistently for the three strategies and
indicated that the mitigation of risks may be more cost effective through the upgrading of protection effectiveness
with mitigation measures than the mitigation of the probability of attack for highly vulnerable critical infrastructures.
This conclusion reinforces the relevant of using the TRA model as a tool of risk mitigation by finding the optimal
protection strategy. Another insight that raise up from the sensitivity analyses is that the total cost of effective
protection (TCEP) of resilience strategy is more sensitive to variation in PA rather than the robustness strategy.
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Installation of solar panels in a residential setting: A feasibility study

for a Southern U.S. City
Bjorn Hale, Scott W. Kramer, Ph.D.
118 M. Miller Gorrie Center, Auburn University, Auburn, Alabama 36849, USA
Abstract
This research paper will explore information regarding the population and the populations energy use in and around the Louisville,
Kentucky, USA area in order to make an educated and economic determination on the feasibility of installing solar panels on
residential homes within the local area. The paper will key in on the upfront costs of installation, as well as the maintenance costs
over the lifetime of the solar photovoltaic power systems. It will take into account the current costs of energy, along with future
projected costs versus the energy savings the solar panels will provide over time. The paper will also touch on the solar radiation
potential of the local area and the positive environmental and public health impacts of solar panels.
Keywords: Costs; Photovoltaic Power; Savings; Solar; Sustainable Energy
1. Introduction
Climate change and pollution have been pushed to the forefront of the United States consciousness. The volatility
in the energy market, as well as recent U.S. environmental regulations, have increased the cost of energy and the cost
of using energy under the current system. These increased costs, which also include the impact to the environment,
have left a sizable portion of the population looking for more efficient ways to provide energy to their homes. This
combination of increased costs for current energy consumption and the populations growing awareness of the
repercussions to the environment from the current system is shifting the focus from a carbon-centric, inefficient energy
system to one that emphasizes and draws from diverse energy sources. One of those diverse energy sources is the sun,
and the ability to harness solar power could significantly alter the current impact on the environment for the better,
while also meeting global energy needs.
Since 2008, United States electricity generation from wind and solar power has more than doubled. Between 2000
and 2011, installed global renewable electricity grew by 72% (from 748 GW to 1,285 GW), accounting for 22% of all
global electricity generation in 2011. According to recent global energy projections, this momentum will continue.
Overall, renewable capacity is expected to triple by 2035, supplying close to one-third of electricity globally [1]. The
increased use of green technologies, such as solar photovoltaic power systems, will eventually drive the costs of the
systems down. This downward trend in pricing for the solar photovoltaic power systems and installation will come
about because of increased competition in the market to meet the demand, as well as the technology behind solar
photovoltaic power systems becoming more efficient and easier to manufacture. The price drop in solar systems is
already being seen in the current U.S. market, according to analysis of project level data for more than 200,000
individual residential, commercial, and utility scale PV systems. For example, 72% of the grid connected to PV
capacity, there has been a significant drop in 2012 and the first half of 2013 in the price of current installations [1].
According to the 2013 SunShot Vision Study, solar technologies could satisfy 27% of the United States electricity
445
demand by 2050. This will come about with projections that solar power technologies pricing will fall by as much as
75% over the next ten years [1].
2. Solar Photovoltaic Power Systems potential in Kentucky
Energy costs in Kentucky are rising, largely due to a heavy reliance on coal. Prior to 2000, states that relied heavily
on coal for electricity generation experienced some of the lowest energy costs in the nation. However, since 2005,
states dependent on coal have experienced some of the highest electricity price increases. Kentucky falls right within
this mix, currently ranked sixth in the use of coal for electricity. Pricing for electricity has increased by a yearly average
of 8% since 2005. While Kentucky still had the fourth lowest electricity price as of 2010, Kentucky residents paid a
higher average monthly bill than 29 other states. This higher cost is being caused by continued price increases for coal
and new cost pressures such as regulatory compliance costs and increased demand for coal, with this continued reliance
on coal. As such, Kentucky residents can expect additional cost increases in the coming decades [2].
The distribution of renewable energy will have a positive impact on Kentucky, from both an environmental
standpoint as well as a cost standpoint. The economic benefits of renewable energy as compared to the current model
of centralized generation from fossil fuels are substantial, such as the creation of new jobs. Developing new solar
photovoltaic generating capacity creates twice as many total jobs as coal fired electricity generation. This coupled
with rising energy costs, an aging and inefficient electrical grid, and the increasing impacts to public health and the
environment associated with coal fired electricity generation all suggest the need to diversify Kentuckys energy
portfolio and shift away from fossil fuel based energy production [2]. Shifting from fossil fuel based energy will
increase the security against fossil fuel depletion and volatile pricing, reduce pollution in Kentucky, and increase the
growth and diversification of the states economy, just to name a few benefits.
One of the most interesting developments of renewable energy that most Kentuckians can relate to rather easily is
overall energy and grid security. Diversifying the energy portfolio of the state increases the overall security of the
state because having a greater number of dispersed and small energy generators rather than fewer, large generators
results in a decreased likelihood of large areas losing power in the case of failure, thereby helping maintain overall
energy/grid stability [2]. This really plays a large part in the residential application of solar photovoltaic power systems
because of the propensity of interruptions in energy service due to storms, natural disaster, or even manmade disasters
or accidents. Currently, the city of Louisville is experiencing 262 outages, affecting 2,455 residents from a severe
storm that passed through the previous night as shown on the Louisville Gas & Electric outage map to date. With
residential solar photovoltaic power systems, these residents could maintain a level of normalcy in their day to day
activities until the standard power has been restored.
Solar photovoltaic power systems, utilizing the sun to create electricity, are typically rated at around 200 watts. Since
each individual panel generates only a small amount of electricity, most systems typically include multiple panels.
These systems can be roof or ground mounted, and can generate electricity for use onsite and/or for sale into the grid.
Solar photovoltaic power systems are a rapidly expanding from of electricity generation in the United States, led by
California and New Jersey. Even countries with less solar radiation than anywhere in the continental United States
have experienced significant growth in solar photovoltaic power systems usage, mainly due to strong policy and
financial support [2].
Kentucky has a sufficient solar resource for rapid growth in solar photovoltaic power system development.
Kentuckys solar resource is roughly equal to that of other Appalachian states, many of which have made significant
strides in developing solar technology in recent years. Kentucky has a Solar Irradiance capacity of 4.7 kWh/m2/day.
446
Kentucky
Solar Irradiance
4.7
States Bordering Kentucky

Tennessee
4.8
Ohio
4.5
Virginia
5.0
West Virginia
4.6
States Leading in Solar Development and
Usage
California
6.6
New Jersey
4.7
* Data obtained from the U.S. Energy Information Administration - Independent Statistics & Analysis (2013)
Even with what looks like an excellent opportunity for the development of solar photovoltaic power systems in the
state of Kentucky, there are some significant challenges and issues. One issue constricting the wide spread
implementation of solar photovoltaic power systems throughout the state and the city of Louisville, are the entry level
installation costs for the system. Though the costs of installation and the solar photovoltaic power systems themselves
are trending downward, the entry costs are still significant for a population with a median income of $48,818 USD.
This leads us to another significant issue to the implementation of solar photovoltaic power systems within Kentucky
and that is the relatively low cost of energy under the current coal system. Though costs are trending downward for
the solar photovoltaic power systems, it will take a significant increase in the cost of coal/fossil fuel before a drastic
shift occurs in the state of Kentucky to more towards an environmentally friendly and renewable energy source such
as solar photovoltaic power systems.
One of the bigger impediments to solar photovoltaic power systems is the unfounded sentiment that high
infrastructure, operational, and management cost of solar photovoltaic power systems after installation. This coupled
with the lack of support by the state and local governments for solar photovoltaic power systems because of the
unfounded belief in the costs after installation, as well as the high cost of installation and relatively low energy costs
currently being provided by coal. Though, with Louisville, KY leading the way in overall air pollution, ranking 10th
in annual particle pollution and 22nd for 24 hour particle pollution in comparison to other cities in the United States,
you would believe that the environmental and health benefits will start to outweigh the previously mentioned
challenges and issues.
3. Purpose of the Study - Residential Costs of Solar Photovoltaic Power Systems

The purpose of the study is to explore if the installation of solar photovoltaic power systems on residential homes
in and around Louisville, Kentucky is feasible taking into account the upfront installation costs plus over time
maintenance costs versus the long term savings of the solar photovoltaic power systems.
1.
2.
3.
Do the long term savings of the solar photovoltaic power systems justify the initial costs of installation?
Is the initial cost of a solar photovoltaic power system feasible for the general public?
What are some of the basic obstacles preventing the widespread implementation of solar photovoltaic power
systems?
447
4. Data Analysis - Residential Costs of Solar Photovoltaic Power Systems

According to the SUNRUN (Solar Panel Installation Firm) website, a typical home installation, depending on the
location and design of the system, ranges from three to seven kilowatts and costs between $18,000 and $40,000. The
breakdown of the overall costs is about 45% equipment, which includes the solar panels themselves at about $4,500 to
$12,000, the power inverter at about $1,000 to $3,000, the mounting hardware at $800 to $2,000, and wiring from
$1,000 to $2,000. The installation and permitting costs are about 25%, with normal system installation running from
$2,000 to $4,000. The last 30% of costs is wrapped up in the sales, marketing and operational costs of the installer.
Maintenance and repair costs will vary, depending on the situation. The power inverter itself will need to be replaced
one or two times during the life of the system. This high entry cost limits the potential customers, both in overall
affordability and individuals willingness to pay for the systems.
30%
Equipment Costs ($7,300 - $19,000)
45%
Installation & Permits ($5,000 - $10,000)
25%
Sales, Marketing, and Operational Costs

($4,000 - $9,000)
Solar photovoltaic power systems are certainly expensive, averaging about one hundred dollars per square foot for
a typical installation. However, homeowners are destined to end up positive in the equation over time. It may take
from eight to twelve years to recoup the initial costs from the solar photovoltaic power system investment via energy
savings, but with most systems averaging a thirty year life span, most solar photovoltaic power systems will generate
the average household fifty percent of the energy for free. Though over the life of the solar photovoltaic power systems,
there are some maintenance issues, the system will definitely have a significant return on investment in the form of
energy savings (Svoboda, June 2010). Estimates show that on average a Kentucky household could save around
$14,672.00 over twenty years with the installation of a solar photovoltaic power system.
448
(Clean Technica website, Zachary Shahan, February 2, 2013)
Another added benefit or cost saving is the potential tax savings associated with the installation of a solar
photovoltaic power system. With the purchase of a residential solar photovoltaic power system, an individual will be
able to file for a 30% tax credit, which will lower the amount of taxes owed by 30% of the cost of the solar photovoltaic
power system. Though, the downside to the tax credit is that most individuals do not owe enough taxes on a yearly
basis to take full advantage of the complete tax credit. That being said, the tax savings in that particular tax year cut
the overall cost of the solar photovoltaic power system and decreases the amount of time it requires for the solar
photovoltaic power system to pay for itself and start saving the homeowner on energy costs in the future.
With median household income hovering around $48,818 for the city of Louisville and average home prices in and
around the local area at $138,900, it is quite difficult to justify the installation of a solar photovoltaic power system on
an individuals home living in the greater Louisville area. Even with the solar photovoltaic power system averaging a
return of investment within the first eight to twelve years, with equates to over half of the systems lifespan being spent
generating energy savings for the household, the installation costs are just too high for most Kentucky residents to
overcome. Even factoring in the 30% tax credit, coupled with the future energy savings, most Louisville and Kentucky
residents just simply cannot afford the solar photovoltaic power systems.
Income Distribution (Louisville, KY)

14%
12%
10%
8%
6%
4%
2%
0%
12%
9%
12%
11%
10%
9%
10%
11%
7%
4%
(Census Bureau, 2014)
449
3%
3%
More than half of the Louisville population falls below the $50,000 range and the percentage only increases for the
entire state of Kentucky. This makes it difficult to generate enough interest for construction and solar panel installation
firms from considering Louisville and Kentucky as a viable market. This lack of demand will cause the pricing for the
installation of solar photovoltaic power systems to remain relatively high in comparison to other cities and states that
have a significant demand for alternative energy sources and have pushed initiatives to shift their energy consumption
from fossil fuels to renewable energy sources.
5. Conclusion
From the results of this study, it appears that though the state of Kentucky and in particular the city of Louisville
has an excellent potential for solar photovoltaic power systems, it may be some time before this is a viable option for
a majority of the local areas population. With time, which will bring about the continued downward trend in solar
photovoltaic power system costs, Louisville, Kentucky along with the rest of the nation will soon adopt solar as a
viable energy source. For now the new solar photovoltaic power system installation costs ranging from $18,000 and
$45,000 are a little out of reach for most residents of the greater Louisville area that has a median income of $48,818.
With the costs limiting a majority of the population from actively pursuing the installation of solar photovoltaic power
systems, the market demand within the city of Louisville and the state of Kentucky as a whole, will never mature to a
point of adequate competition to reduce the overall costs of installation. Installation pricing will probably remain this
way until the state and local governments provide incentives for both local homeowners to purchase the solar
photovoltaic power systems and for the installers to actually perform the installation. Though in time, with
technological improvements and manufacturing breakthroughs, one can expect Kentucky and the city of Louisville
will make the slow transition to supplementing their current coal based energy generation with various renewable
energy options.
6. Why Kentucky Should Support Solar Energy

Though still relatively cheap, the carbon-centric energy system pricing is increasing and the costs are not only
measured in dollars. The environmental and health impacts on the city of Louisville, the state of Kentucky, and the
nation as a whole are significant. All of these factors suggest a need to diversify the states energy practices and shift
away from centralized fossil fuel based energy production towards a more renewable energy resource such as solar or
even wind power. The transition will help lead to the quicker replacement of inefficient and occasionally unreliable
centralized energy generation, which will also increase the load power during peak usage. It will also free the residents
of the state from the volatile fluctuations in fossil fuel energy prices and the expected eventual depletion of those
resources.
The shift to renewable energy sources such as those provided by solar photovoltaic power systems will also reduce
the external costs associated with coal fired energy production. Costs that include the impact on the environment and
the public health from the mining, processing, transporting, and burning coal for electricity, as well as the storage of
coal combustion waste. These costs can be quite significant but are not translated to the overall cost of electricity.
Though it isnt forwarded onto the general public via increased energy costs, these impacts are billed in various other
ways to the coal energy using public. These cost come in the form of mining accidents, fatalities, and illness such as
black lung disease; stream pollution from underground and surface mining operations; greenhouse gas emissions from
land disturbance; the storage and processing and coal combustion waste; air and water contamination from process
related toxins, heavy metals, and radioactive elements; annual deaths from lung cancer and heart, respiratory and
kidney disease in mining communities; ecological damage from acid rain; costs from abandoned mine reclamation;
and climate change impacts [2].
Though, as stated previously, the only sure thing to shift the local community from a coal based system to a more
renewable energy source is overall cost savings or a significant positive economic impact. This positive impact could
be realized in the increase of green energy jobs in the local economy from the increased need for construction and
installation jobs, as well as the increase in maintenance and operation jobs that coincide with the increase use of green
energy. This also coincides with the aging coal fired power plants that are projected to require significant upgrades to
meet new emission standards with the installation of pollution control equipment, with costs estimated to run upwards
450
of $2 billion [2]. These costs taken on by the energy companies will eventually be passed down to the energy
consuming public and though renewable energy has a high, albeit declining cost, it does not require the major
investments in pollution control equipment to limit emissions.
References
[1] National Renewable Energy Laboratory [NREL], 2013. Realizing a Clean Energy Future, Highlights of NREL Analysis. Retrieved July 20,
2014 from the National Renewable Energy Laboratory website.
[2] McIlmoil, Askins, & Clingerman (2013). The Opportunities for Distributed Renewable Energy in Kentucky, Downstream Strategies, LLC.
[3] Chen, Honda, & Yang (2013). Approaches for Identifying Consumer Preferences for the Design of Technology Products: A Case Study of
Residential Solar Panels. Retrieved July 18, 2014 from the ASME database.
[4] Somers (2012). Rooftop Solar Photovoltaic Feasibility Study for the Mesa Fire Department. Retrieved July 18, 2014 from the Federal
Emergency Management Agency website.
[5] Precison Decisions, LLC (2007). Solar Photovoltaics Feasibility Study for the City of Easthampton Massachusetts. Retrieved July 18, 2014
from the ASME database.
451
A dynamic agent-based analysis for the sustainable high-speed

railway: Case of Hong Kong
Miaojia Lua, *, Shu-Chien Hsua
a
Department of Civil and Environmental Engineering, The Hong Kong Polytechnic University, Hung Hom, Kowloon, Hong Kong
Abstract
With the expected opening of the Hong Kong high-speed railway in 2017, the Hong Kong section of the Guangzhou-ShenzhenHong Kong express rail link will connect to the 16000-km National high-speed railway network and enhance Hong Kongs role as
the southern gateway to the Chinese mainland. However, the increasing energy consumption and negative environment impacts of
high-speed rail and other existing transport modes from Guangzhou to Hong Kong can arise based on the dramatic changes of
passenger sharing. This study uses an agent-based model to explore the dynamics of a Guangzhou to Hong Kong transport modes
system and the associated energy and environmental impacts from a bottom-up perspective. A conceptual meta-theory from
psychology is adopted to form the behavioral rules of artificial passengers choosing different transport modes, including train, bus,
airplane and high-speed railway. The simulation results suggest that HSR can create more SO2 emission (given the current electricity
mix) which is seven thousand times larger than buss SO2 emission. The current electricity mix need shift to a cleaner one. After
2017, the passenger sharing of airplane and train will drop drastically, 44.4%, 42.2%, respectively. Because ranges in passenger
occupancy can easily change the relative environmental performance of modes, the decision makers of airplane and train need to
slash fares or reduce the flights to minimum the environmental impacts. Our model provides insights into passenger behaviors,
mode behaviors and related energy and environmental impacts of the growing use of high-speed railway, and provides a basis for
the development and implementation of more sustainable policies and practices.
Keywords: Agent-based modeling; Environmental impacts; High-speed railway; Passenger sharing; Policy making.
1. Introduction
As the features of fast, safe, comfort, energy-saving and environmental friendly, the high-speed railway (HSR) has
been a popular trend for world transportation system to reduce the burden of automobile and airplane in congested
corridors in recent years. It has been found that the run time of HSR is shorter than airplane and highway within the
distance of 200-1000 km [1]. There are 11 countries and regions in the world have built the HSR with the speed over
200 kilometers per hour. As part of its aggressive plans for rail network, China has built the worlds longest and most
comprehensive network of High Speed Rail (HSR) systems in less than 5 years [2]. In 2020, the four vertical and four
horizontal passenger dedicated line, as well as the intercity HSR system between major cities will be accomplished,
ninety percent of mainland population will be covered. The 26-km long Hong Kong section of the GuangzhouShenzhen-Hong Kong Express Rail Link which runs from West Kowloon in Hong Kong to Shenzhen is a part of
National High-speed Railway Network. It will play an unparalleled role in fostering closer social and economic ties
between Hong Kong and the Mainland, injecting momentum and creating new opportunities for future development
* Corresponding author. Tel.:+852-54845378.

E-mail address: emily.lu@connect.polyu.hk
452
in the medium and longer term [3]. The concept of a one-hour living circle within the Pearl River Delta area may
materialize, and cultural and academic exchanges will also be promoted [3].
With the opening of Hong Kong high-speed rail at the end of 2017, the drastically increasing energy consumption
and negative environment impacts of HSR can arise. The preparations of strategies to minimize these environmental
and cost impacts are necessary. The environmental impacts of HSR have been explored by many scholars around the
world. As the California High-speed rail (CAHSR) system in the United States has shown, HSR has a relatively low
energy consumption rate, greenhouse gas emissions, and air pollutant emissions (including NOx, PM10, CO, and SO2)
compared to air and road freight systems with a similar order of magnitude [4]. But HSR has relatively larger SO2
emissions than the other modes due to the coal-fired power for vehicle operation and removal of sulphur from gasoline
and diesel fuels [4,5]. In the United Kingdom, the carbon emission per passenger per kilometre on a Eurostar journey
is only about 15% and 25% of that by plane and bus/coach respectively [3]. In Sweden, kerman found that highspeed railway can mitigate the effects of climate change effect through significant reduction of GHG emission, though
the railway construction and maintenance may increase GHG emission [6]. Spielmann et al. found that rail is the best
alternative for Swiss future regional transport in terms of environmental impacts [7]. In China, Yue discovered that the
operation stage of HSR contributes to 72-91% of the impact in Acidification Potential (AP, measured by kg SO2
equivalent) and Global Warming Potential (GWP, measured by kg CO2 equivalent) [8].
Meanwhile ranges in passenger sharing can easily change the relative energy and environmental performance of
modes. So the influence of passenger sharing among other competing modes (Guangdong through train, airplane and
bus) should be evaluated (simply train here, is refer to Guangdong through train). Understanding the passenger sharing
among transport modes is an essential issue in this study. The transport modes system, like other complex real world
phenomenon, is not a static and simple system. It includes heterogeneous passengers, different transport modes and
various drivers of mode choice. And the passenger sharing of different transport modes are interrelated. So calculating
the ridership is always hard especially for this entirely new system as Hong Kong HSR system. Because the system
doesnt exist yet, ridership estimates by mathematical methods are less certain and reality. The Agent-based modeling
(ABM) approach can simulate passenger sharing model with HSR and predict the corresponding energy and
environmental impacts. In ABM a system is modeled as a collection of agents each of which individually assesses its
situation and makes decisions on the basis of a set of rules. Sophisticated ABM sometimes incorporates neural
networks, evolutionary algorithms, or other learning techniques to allow realistic learning and adaptation [9].
Repetitive competitive interactions between agents are a feature of ABM, which relies on the power of computers to
explore dynamics out of the reach of pure mathematical methods [9,10]. When the interactions between agents are
complex, nonlinear, and discontinuous and the behaviors among agents including learning and adaptation, ABM can
provide its value for quantitative simulation outcomes. ABM has already been applied to study the transportation
system from various perspectives. Ning et al. simulate the process of the passengers travel mode choice by adjusting
the ticket fare and the run-time based on ABM approach [1]. They found that increasing the run-time appropriately
and reducing the ticket fare in some extent are effective ways to enhance the passenger sharing of the HSR
In this study, the model is developed by real parameters from Guangzhou to Hong Kongs transport modes, the user
can adjust basic information to obtain a greenest transportation system which has the minimum energy consumption
and emissions at operation stage. This is a new attempt to apply ABM in decision-making for this field. This model
can be used to understand the complex interdependence of HSR with competing modes on passenger sharing, and
investigate the energy and environmental impacts of these transport modes on vehicle operation stage, finally assist in
policy makings such as boosting transport modes occupancy rate by reducing ticket fare and run time appropriately;
shifting the cleaner electricity mix of operation.
2. Method of Hong Kong high-speed railway model
2.1. Model development
In order to explore the dynamic and interacted impacts of HSR and other competing modes, a dynamic multi-agent
model is constructed. The structure of the complexity model is shown in Figure 2. In this study, the model contains
thousands of passengers with four options (HSR, airline, train, and bus) to travel from Guangzhou to Hong Kong. The
four options differ from each other on relevant dimensions. At each time step, passengers have a certain probability of
taking a trip. The satisfaction of a passenger consists of two components: individual satisfaction and social
satisfaction. The individual satisfaction depends on the personal taste for the particular choice, denoted by , . Each
passenger has its own specific values associated with each key driver (run time, ticket fare, comfort level and
453
accessibility level) of the transport mode. The social satisfaction depends on how popular the chosen mode in the
passengers social network, denoted by , . The popularity of the chosen mode is influence by the select frequency of
their friends. Therefore the total satisfaction can be expressed by,
= , + (1 ) ,
Where denotes the total satisfaction of passenger i; and weights the influence of social satisfaction and
individual satisfaction.
Each passenger has specific thresholds of satisfaction, denoted by , minimum satisfaction. Given the values of
for each passenger, two types of cognitive processes can be defined including:
(1) Repetition ( )
If there are more than one mode satisfies this condition, the passenger will choose the option which has the
highest market share within his or her social network, which is equal to social satisfaction, , , in its social
network, or the passenger will choose the only one mode matching the condition.
(2) Deliberation ( < )
If no mode satisfies the passenger, the passenger will choose the mode having the highest value of total
satisfaction .
Using ABM can aid in understanding heterogeneous human behavior and different interaction effects in transport
modes demand. Then the passenger sharing among different modes can be evaluated, the environmental impacts of
energy consumption, carbon emission, and sulfur dioxide emission are calculated in function unit of passengerkilometer (pkm). The probability of randomly connecting with non-neighbor agents is set to 1% to represent
passengers' social network, a value commonly used in such market models [11,12]. It also proves best able to represent
the actual social network in our research. To allow the model to approach equilibrium smoothly given random
exceedances produced by repetitive agent interactions, the temporal scale of the model is one-day for one time step.
The highest ticket fare and longest run time are both set as 1.00. The transport modes comfort level and accessibility
level are validated by passenger behavior investigation. The four key driver dimensions of transport modes are shown
in Table 1.
Table 1. The four key driver dimensions of transport modes from Guangzhou to Hong Kong
Items
Ticket fare (HKD)
Run time (min)
Comfort level
Accessibility
Airplane
1.00(1500)
0.32(60)
0.80
0.60
Bus
0.07(100)
1.00(190)
0.70
0.80
Train
0.13(200)
0.63(120)
0.90
0.70
HSR
0.10-0.15 (150-230)
0.24-0.34 (45-65)
0.95
0.70
Geographic Information Systems (GIS) datasets are used as spatial input information for map of Pearl River Delta
and its main roadmap, especially for the airline, HSR link, train rail link and highway. Using GIS tools can enhance
the truth of the Guangdong to Hong Kongs transport modes.
2.2. Model validation
As the inherent complexity and diversity, ABM validation should be paid more attention and designed according to
the characteristics of specific models. In particular, statistical analysis is applied in this study to measure the goodness
of fit in terms of both quantitative values and patterns (Grimm et al. 2005). The calibration experiment is conducted
by varying the combinations of two kinds of unknown parameters, the standard deviation of passengers' preference
distribution in four key drivers, and the four key driver dimensions of passengers to find parameter combinations which
best fit the historical passenger sharing data from Hong Kong Statistical Yearbook and Hong Kong Transport and
Housing Bureau Report [13,14]. The parameters of the best fitting degree combination are shown in Table 2.
454
Table 2. The passenger parameters of the best fitting degree combination

Passenger parameters
Distribution mode
Mean
Standard-deviation
Ticket fare
Normal distribution
0.09
0.18
Run time
Poission distribution
1.65
none
Comfort level
Normal distribution
0.70
0.30
Accessibility level
Normal distribution
0.80
0.30
3. Result analysis
3.1. Passenger sharing prediction
The time scale of future passenger sharing system is from 2017 to 2031. Figure 1 show the passenger sharing
between HSR, train, airplane and bus from 2017 to 2031. Without a doubt, with the annual growth of passenger volume
between Guangzhou and Hong Kong, the passenger sharing of HSR and bus are increasing continuously. As the cheap
fare and higher accessibility level, the bus is becoming the first choice for passengers travelling from Guangzhou to
Hong Kong. The market share of bus remains stable70 percent from 2017 to 2013. And the HSR will keep the 28
percent market share in the long run which also represents the lock-in effect (Janssen and Jager 1999) in the
Guangzhou to Hong Kong transportation system. It prevents the increase of passenger sharing in HSR beyond a certain
limit, is primarily due to passengers cognitive interaction. In other words, the initial choice of a passenger and choices
of his/her social network create a cognitive barrier for shifting to other options. The daily ridership of airplane from
2017 to 2031 is around 400, which decrease 44.4 percent based on 2008 levels. As passenger behaviors investigation
shows, in nowadays people fly from Guangzhou to Hong Kong in order to transfer flight abroad and save money of
air ticket. As the target opening of HSR in 2017, the people need connecting flight will select the rather cheaper and
faster modeHSR. So the airline companies may slash fares or improve service quality or reduce the flights to
minimize the financial losses in the future years. On the other hand, as the excessive passenger flows from mainland
China, the Hong Kong airport may expand routes to other big cities which havent connect with Hong Kong by HSR
at that time. The ridership of train will decrease by 42.2 percent in 2017 based on 2008 levels because of the
introduction of HSR. However, as the increase of passenger flow volume from Guangzhou to Hong Kong, equilibrium
condition will be established after 2019, the ridership of train will remain the same level (8400 persons per day) as the
2008 level.
Passenger volum (100 person) per day
4500
4000
3500
3000
2500
HSR
2000
Train
1500
Airplane
1000
Bus
500
0
Years
Figure 1. The passenger sharing among four transport modes from 2017 to 2031 (100 persons per day)
455
3.2. Operation environmental assessment

In this study only the operation stage of four transport modes is taken into consideration. As HSR has the potential
to be the lowest energy consumption and greenhouse gas emitter, but can create more SO2 emissions. So for comparison
among HSR and other modes, the energy consumption, CO2 emissions, and SO2 emissions in the unit of per passengerkilometer (pkm) are calculated as a benchmarking.
Figure 2 shows the energy consumption among four transport modes from 2017 to 2031. The differences between
four modes are significant with different order of magnitudes. As the low passenger occupancy47.4 percent, the
airplane owns the highest energy consumption11.5 MJ/pkm. The second one is HSR with 0.58 MJ/pkm which is far
less than airplanes. With the same reasonlow occupancy, the airplane also has the highest CO2 emission72.52
Kg/pkm. The HSR is nearly zero carbon emissions0.13 Kg/pkm compared with other three modes. Figure 3 shows
the SO2 emission among four transport modes from 2017 to 2031. Although HSR has lower energy consumption and
greenhouse gas emissions, it creates more SO2 emissions0.32g/pkm (given the current electricity mix). The majority
of SO2 emissions come from burning fossil fuels to generate the electricity needed to operate vehicles. The decision
makers need shift the current electricity mix to a cleaner one. As regulations have greatly reduced sulfur levels in fuels
including aviation kerosene and gasoline, the SO2 emissions of bus and airplane are relatively low. Especially for the
bus, the SO2 emission is only 0.00004 g/pkm.
Energy consumption (MJ/pkm)
18
16
14
12
10
HSR
Train
Airplane
Bus
2
0
Years
Figure 2. The energy consumption among four transport modes from 2017 to 2031
0,45
SO2 emission (g/pkm)
0,40
0,35
0,30
0,25
HSR
0,20
Train
0,15
Airplane
0,10
Bus
0,05
0,00
Years
Figure 3. The SO2 emission among four transport modes from 2017 to 2031
456
4. Discussion
The above simulation results are anticipated to be valuable references for Hong Kongs decision makers to adjust
the key factors especially for the Hong Kong HSR being built to achieve the greenest transportation system in Hong
Kong. But there are several other important factors will be addressed in the future study. According to the passenger
behavior investigation, a certain number of people travelling from Guangzhou to Hong Kong will take Guangzhou to
Shenzhen HSR which opened in 2011 (38 minutes), then ride the subway from Shenzhen to Hong Kong (30 minutes).
The whole tripe is affordable with ticket fare of 160 HKD and fast compared with the run time of bus and train.
Therefore these transshipment concerns should be included in the model in future research. Moreover the transportation
market uncertainty such as the transportation safety issues affecting passengers choices also should be recognized as
an important parameter. The market uncertainty can integrate the satisfaction parameter to determine the passengers
behaviors. This study only focuses on operation stage of transport modes. However Life-cycle criteria air pollutant
emissions are between 1.1 and 800 times larger than vehicle operation [15], future study should take infrastructure and
supply chain into consideration to rich the environmental results. It should be pointed this study just generates scenarios
exploring possible future trend of Guangzhou to Hong Kong transport mode system, not purporting to predict actual
futures.
5. Conclusion
In this study, the ABM model simulates the complex interdependence of HSR with competing modes on passenger
sharing. This model provides a cost free environment to let users observe the interaction within the transportation
system and test different settings of modes basic information to achieve the minimum emissions and energy
consumption. This research has a number of policy implications. The train decision makers should reduce the ticket
fare to 125 HKD in 2017 to ensure sustained high occupancy as 2008 levels. The airplane companies can cut four
flights to two flights from Guangzhou to Hong Kong per day to reduce the economic loss and environmental impacts.
The current electricity mix should be shift to a cleaner one to reduce the SO2 emission. More broadly, the method used
to develop this model can be applied to study market dynamics for other option systems such as shopping online or in
the mall. This model is valuable in this case study is a rather rigorous proof of principle for its use in less challenging
markets.
References
[1] M. Ning, Y. Ge, Z. Yang, Passenger sharing of the high-speed railway from sensitivity analysis caused by price and run-time based on the multiagent system, Journal of Industrial Engineering and Management. 6 (2013) 1210-1222.
[2] Lu Y, China's High Speed Rails Have Finished Half of Construction Plan with World's Top One Total Mileage, (2014)
http://yn.people.com.cn/GB/finance/news/n/2012/1129/c228596-17788533.html.
[3] MTR Corporation Limited, Express Rail Link, (2014) http://www.expressraillink.hk/en/home/index.html.
[4] M. Chester, A. Horvath, Life-Cycle Environmental Assessment of California High Speed Rail, University of California Transportation Center,
37 (2010) 25-30.
[5] C. Facanha, A. Horvath, Evaluation of life-cycle air emission factors of freight transportation, Environment Science Technology. 41 (2007)
7138-7144.
[6] J. kerman, The role of high-speed rail in mitigating climate changeThe Swedish case Europabanan from a life cycle perspective,
Transportation Research Part D: Transport and Environment. 16 (2011) 208-217.
[7] M. Spielmann, R. Scholz, O. Tietje, P. de Haan, Scenario Modelling in Prospective LCA of Transport Systems. Application of Formative
Scenario Analysis, The International Journal of Life Cycle Assessment. 10 (2005) 325-335.
[8] Y. Yue, Life Cycle Assessment of Chinas High Speed Rail Systems. Master of Science thesis. University of Michigan. (2013).
[9] J.M. Epstein, Growing Artificial Societies: Social Science from the Bottom Up. Brookings Institution Press. (1996).
[10] R. Axelrod, Advancing the art of simulation in the social sciences, in: Anonymous Simulating Social Phenomena, Springer. (1997) 21-40.
[11] M.A. Janssen, W. Jager, Fashions, habits and changing preferences: Simulation of psychological factors affecting market dynamics, Journal of
economic psychology. 22 (2001) 745-772.
[12] M. Xu, B. Allenby, J. Kim, R. Kahhat, A dynamic agent-based analysis for the environmental impacts of conventional and novel book retailing,
Environment Science Technology. 43 (2009) 2851-2857.
[13] Hong Kong General Statistics Section, Hong Kong Annual Digest of Statistics 2013 Edition, Census and Statistics Department. (2013)
www.censtatd.gov.hk.
[14] Hong Kong Legco's Transport Panel, The operation feasibility of Hong Kong express rail link, CB(1)399/09-10(01) Hong Kong Transport and
Housing Bureau, Hong Kong express rail link. (2009).
[15] M.V. Chester, A. Horvath, Environmental assessment of passenger transportation should include infrastructure and supply chains,
Environmental Research Letters. 4 (2009) 024008.
457
Construction of a bio-briquette building in Monor

Common_Building Community
Mikls Oroszlny*, Katalin Fazekas, Balzs Kemes, Pter Fejrdy
GINKGO-Green Architects, Budapest, Hungary, oroszlany@ginkgoarchitects.com
Kettopera Studio, Budapest, Hungary, katafazekas@yahoo.com
BME Department of Public Building Design, Budapest, Hungary, fejerdypeter@gmail.com
BME Department of Public Building Design, Budapest, Hungary, kemes.b@kozep.bme.hu
Abstract
In 2012 a group of architects joined the work of Maltese Charity Service in Monor, in order to provide assistance in solving the
problems of the community living in poverty. As a result of the cooperation the concept of a building was formed that would
allow a construction development and also the involvement of the locals. Along these considerations, the idea of the bio-briquette
manufactory was born.
In 2014 the teamwork of architects, local people, social workers and students realized the manufactory building. This construction
was an architecture students' workshop involving local people. During the construction, two forms of sustainability is
highlighted among the other aspects: social and environmental sustainability. The technical solutions of the building are
based on experience and knowledge of common. It is carried out with local materials, mainly with local technologies, mostly in
low-tech form with the most reasonable use of structures. The taller, southern facade and the roof absorb the sunlight, which heats
the air in the drying hall. The warm air can absorb more humidity and it also drifts upwards because of the temperature difference,
generating a natural flow of air. The constant ventilation is helped by the brick holes in the footing of the northern wall and by the
open tail-bays at the ridge. We were looking for structural solutions and building techniques through which not only economic
maintenance but also the most sparing construction process could be realized. The bio-briquette manufactory building was
finished but the cooperative work in Monor is going on.
Keywords: architecture education, briquette, community-building, construction workshop, social architecture
1. Introduction
During social based constructions, two types of sustainability realize: the environmental sustainability and the
social sustainability. These components strengthen each other, but sociologists and architects are often focusing on
only the one which is closer to their professional interest. In 2012, during a round table discussion a member of a
NGO claimed that was surprised by the amount of time a workshop takes and subsequently thought that a sanitary
block formed in container would have been more effective than the sanitary block developed by the Reflekt Stdi
[1] even though recognized the constructions advantages. Putting into service the container could have been faster
and maybe would have cost less. These arguments created an inspiring debate and showed that theres an enormous
difference between what the participants of workshops think and how the future users of the buildings and social
workers interpret it and vice versa. This kind of difference was perceptible several times during the preparation of the
briquette dryers construction (Fazekas Katalin, Fejrdy Pter, Kemes Balzs, Oroszlny Mikls). At the time of
* Mikls Oroszlny Tel.: +36-30-412-1726;
E-mail address: oroszlany@ginkgoarchitects.com
458
preparatory works we contacted the Habitat of Humanity Hungary through which the first remark was that a
briquette dryer can be developed with tenth the money. Although the workshops and the active participation of
architects are more and more recognized at places facing social problems, due to the different concepts people
affected by the subject and other participants involved in the conversation have misunderstanding arises. Both sides
feel the positive energy and support towards each other, but they think and act in different systems. The architects
were focusing almost only on the material world, on the actual briquette building, while the social workers have
organized several community events with many local participants, but with little understanding of the construction.
Both components were doing their field of professional side by side. Resolving conceptual unclarities and
misunderstandings allows the possibility of having more affective projects. The social construction workshop in
Monor faced these difficulties, and the future goal is to combine the two types of sustainability better.
2. Bio-briquette Building in Monor
The briquette production is a long-standing plan of the Maltese Charity Service. There are lot of examples worldwide but in Hungary it is rarely practised. Bio-briquette is a fuel which is made manually of agricultural and paper
waste. This technology allows to the people in abject poverty to produce fuel for winter in advance. The briquette
dryer is connected to this activity and serve as briquette storage and dryer. The Maltese Charity Service is present in
Monor for nearly 10 years and leads various social programs of success. After long preparation, the briquette dryer
was built in collaboration with the Faculty of Architecture of BME (Budapest University of Technology and
Economics) with the help of architecture students. The aim was a social based construction that makes the way for
future collaborations among architects, social workers and locals. [2]
1. Figure - the bio-briquette building in Monor
459
2.1. Construction of the bio-briquette building

The dryer building built during workshop uses environment energies and adapt to the surrounding briquette
production. The summer sun dries the fresh, still wet briquettes, placed on bracket. After that, they are deposited
inside the building. The southern sunshine warms the solid small-brick walls, and the air flow is activated inside due
to the slits in the northern wall. With using sun energy the briquettes dry on a natural way. The rain water collected
from the shed roof is used in the briquette making process. Sustainability was an important factor through the
construction phase. The pallets used in briquette production are fabricated of the formwork tables of the concrete
foundation. With the waste of brick cutting and slate roofing the local workers improved the houses nearby. Except
mortar, all building components and construction materials can be recycled. In the dryer was built tension bars
instead of ring beam to shorten the building process. This close attention allowed creating the unplastered facades
and unique details.
2. Figure - the section of the bio-briquette building,- ventilation scheme
2.2. Social aspects of the bio-briquette building

The dryer building in Monor was built in close cooperation with the Maltese Charity Service. As a social project
offers employment and with the briquettes reduces the fuel problems of winter. The briquette production in summer
is the result of foresight of participants. During summer 38 students visited the Tabn settlement. They spent more
than a week there and worked with the local Romas every day. Thanks to the shared work the locals opinion of the
construction changed. During the planning and construction, the students and locals learnt from each other. During
the slow joint work, the experiences of the locals were integrated to the planning of students. Who took part of the
construction surely will pay more attention to their environment, they are proud of their shared work.
460
3. Figure - production of the bio - briquette
3. Environmental Sustainability
The social based construction gained recognition in the architectural discussions internationally (and slowly in
Eastern Europe too) and the projects of such activity are talked about in conversations concerning contemporary. The
projects are well documented, accessible, several time published and organised. Aside of lot of the criticism and
description of this type of architectures unique character and advantages are outlined. One advantage is that social
projects often experiment of sustainable technologies. The lack of resourses force the architects to use low energy
solutions. These characteristics and advantages are understood by architects and can be compared to structures
formed according to slightly different principles.
3.1. Education
Almost every project is related to education and voluntary work. [3] Voluntary work is not only an economical
need but fuels processes that are indispensable for creation. The Urban Studio program of Auburn University
(Alabama, USA) utilises the enthusiasm of students. The construction at Monor benefited from this kind of
enthusiasm as well. 38 students worked on the construction and these students were leading the meetings. Contrary
to professional architectural firms, with the help of students, it was possible to find acceptable solutions for locals,
despite of the diverse interests. The direct, oftentimes naive tone of conversation enabled the nonprofessional
participants to take part in the conversation as equal partners and helped to integrate them more easily into the
planning and building process. On the first week of the construction in Monor, a group of young child occupied the
territory. It was not only nearly impossible to continue the work, but the site was dangerous for the kids too. Soon
two architecture students made a playgroup for the kids who were excited to play there. This way the construction
could continue. The students gained social skills and professional experience which is not obtainable easily in the
conventional university environment.
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3.2. Quality
The social initiative based constructions most striking feature is the detailed documentation including the
incorporation of furniture. [4] The participants commitment and the manual work invested in the construction led to
meticulous aesthetic and technological elaboration which is not attainable in case of the majority of conventional
constructions. To create the fine details of the corn crib (Balzs Kemes) in Perbl wouldnt have been possible
without the enthusiastic volunteers, the time invested and in a larger scale. The concrete structure and the formwork
of the corn crib had a unique, custom-made structure and surface. [5] This elaborated work paved the way to
architects big interest. The other important aspect of social based constructions for engineers is the less determined
creation. They can investigate and experiment. The location and the not regulated environment allow the architect to
elaborate structures and details considered experimental. The BC Architects and Studies firm builds earth-houses in
Africa. [6] Not only they put in practice the results of investigation but with the utilised technology they interlink
their projects and build them based on another. In the dryer building, the most unusual structural solution was the use
of tension bars instead of ring beams. This solution was chosen to shorten the construction time because the whole
building process was depending on the availability of student groups. The metal bars are in vertical position, inside
the brick walls . On the top of the walls, a horizontal bar connects the walls. This solution allows to transform and
modify the plan of the building, without producing waste. Other special element is the concrete base that has no
additional water protection. The structural base serve as roof inclination, taking away the rain water. The major part
of the construction was the making of brick walls, it took 3 weeks from the whole building process. 95 % of the
workers was inexpert and for most of them, that was the first time making brick walls. Nevertheless, it was possible
to achieve high quality structures with unplastered facades and unique details.
4. Figure vertical metal bars between bricks
5. Figure - unplastered walls with drying bio-briquettes
6. Figure - door knob
3.3. Responsibility
Other important architectural aspect is the connection with the user. This close collaboration and interdependence
make the architects responsibility more palpable. The professional knowledge is a great responsibility said in his
TEDx lecture in 2011 Sergio Palleroni, architect, internationally recognized environment protection and social
activist who, as a professor, within the bounds of practical education he teaches students to reflect on the role of their
profession in order to become cosmopolitans who see clearly the social, cultural and environmental impact of
architecture. [7] The early projects of Rural Studio in Alabama lean on this very responsibility. [8] This studio is
related to the Auburn University and functions near Newbern, Alabama. The architecture students make building
plans for real customers and they build the buildings with collective work. At the beginning of social housing
construction there are various potential customers. The students make conversation with them and decide with whom
they want to work. The architecture students have to choose one customer of three families living in abject poverty.
That year they build a house for the chosen family. This decision affects the whole construction process. Personal
participation gives more responsibility to the designed details and the architectural decisions. The student sees the
complex relation between decisions and result and in an early phase understands the seriousness of their activity.
This type of responsibility has a huge part in almost every social based building activity. The small building in
Monor is a part of a long process. In 2012, The BME Faculty of Architecture hadstarted to work with the Maltese
Charity Service in Monor.. Since then, several university courses have been working on projects in Monor. During
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these projects, architecture students and professors had to deal with real social problems. During the construction
workshop in Monor, these experiences were summarized. After the construction of the building, the work with the
Maltese Charity Service continues.
4. Social Sustainability
NGO-s more and more often collaborate in social based building projects. They can incorporate these workshops
and constructions to their system. Although from the architects view these activities represent more possibilities
than the mere social impact of the buildings, worth the effort to examine this aspect. These architectural interventions
can give simple resolutions to numerous problems. [9] One of the most easily and fast approachable problems is the
lack of infrastructure in the areas of abject poverty. In this field can help the architect the most effectively to the
families affected by extreme poverty. Julia King is an example of how the role of architects changes, becoming
more of an organizer. In India, she is engaged in improving the infrastructure instead of building activities. [10] She
realized that for the population living in poverty the most aching problem is the unresolved sewage treatment and the
polluted drinking water caused by it. She looks for resolution to this situation. Since 2010, as an architect helps local
communities to build the sewage drainage using her organizer abilities. Julia King put into shade the architectural
creation and does engineer social work. A work which is on the borderline of social based planning and
construction and in which the engineer social part is dominant meanwhile the architectural part has less
importance, almost none. Since the 90s, with the expansion of globalization, in the era of overpopulation and
alienation architects strive to generate interventions of quality which are needed by inhabitants in informal and
formal settlements, which improve housing conditions, strengthen the community, help adapt to low living standards,
ensure the access to basic services and help to get through day to day life. Various architectural examples can be
found world-wide which show social responsibility and which represent the pursuit of social well-being.
4.1. Building knowledge
One social effect of this type of workshops is that they often include employment. With integrating locals these
projects give the possibility of community service or the possibility of getting out of the hopeless state of
unemployment. The ones involved in the construction can learn technologies which have visible results in everyday
life. The Mass Design Group based the planning and implementation onto this involvement in the construction of the
hospital in Burera, Rwanda. [11] The building is 100 % local manpower made with the collaboration of 3898
persons. Their goal was to include as many people as possible and in order to reach that goal they prolongated the
construction process and instead of using expensive machines they choose to employ locals to do the work. They
created permanent jobs and gained the project acceptance of locals. In Monor, more than 17 local people participated
in the construction. These participants gained building skills, and learned detailed construction techniques. The
production of briquette had started during summer, and after winter season, the works had started again. During the
production, groups of 3-4 people were working at the same time.
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4.2. Inverse integration

Besides of the examples above maybe the presence and inverse integration, expressed by the Maltese Charity
Service, have the strongest impact. The 4-5 weeks time period of the workshops cannot be compared to the years and
years of permanent work of the Maltese Charity Service in the given area. [12] Nevertheless for the architect can be
sufficient this small period of time to connect with locals, future users, with the help of the experiences and contacts
of local organizations. This type of collaboration helps decrease the segregation of those living in extreme poverty
with inviting external participants into their own environment, abolishing the initial barriers and giving results
earlier. The social based constructions and workshops make architecture students visit areas in extreme poverty,
environments that they wouldnt have got to know otherwise. These situations are beneficial not only for students
who get to know other life situations and see poverty but the locals too gain new life experiences out of their
everyday life. During the construction, 38 architecture students, more than 17 local people, professors, social
workers, volunteers were working together for more than five weeks to realize the project. The architecture students
were a link to other residents of Monor. For the first time, the owner of the tool shop visited the segregation to see
the results of the work and other people were went to the opening ceremony as well.
5. Conclusions
There are various social and architectural benefits of social based constructions. Review, organize, compare these
benefits can be useful for the people involved and make clear the participants goals, roles and possibilities. The
clear-cut, intensive communication between architects and social workers can enable the creation of a more effective
and more specific program for the people involved, can improve the existing initiatives and .creates the possibility of
an architectural mentality that takes into consideration the question of sustainability. This is a fundamental aspect of
social based constructions. Without sustainable society there is neither sustainable architecture nor sustainable
economy.
7. Figure - the team of local participants
464
References
[1] Reflekt Studio roundtable discussion, Szocilis ptszet: az egymsra figyels, embersg, bizalom mfaja (http://reflektstudio.blogspot.hu/)
(2015.03.10.)
[2] Fejerdy P., Architectu0ral Cooperation, Biobriquettebuilding_Monor Designbuild (ISBN 978-963-12-1167-2), Budapest (2014), pp. 24-25.
[3] Fazekas K., International outlook, Biobriquettebuilding_Monor Designbuild (ISBN 978-963-12-1167-2), Budapest (2014), pp. 18-21.
[4] Kemes B., Student workshops, Biobriquettebuilding_Monor Designbuild (ISBN 978-963-12-1167-2), Budapest (2014), pp. 22-23.
[5] Kemes B., "Kzssg(i) pts - a fenntarthatsg rtegei az oktatsban" Kzssgi ptszet - ptszet/oktats 2014 conference,
conference speech, Budapest, (2014)
[6] BC Architects, http://www.bc-as.org/, (2015.03.10.)
[7] Bell, Bryan, Katie Wakeford, Steve Badanes, Roberta Feldman, Sergio Palleroni, Katie Swenson, and Thomas Fisher, Expanding Architecture:
Design as Activism, Metropolis Books, (2008)
[8] Oppenheimer A., Hursley T., Rural Studio: Samuel Mockbee and the Architecture of Decency (ISBN13: 9781568982922), Princeton
Architectural Press, New York, (2002)
[9] Oroszlany M., Briquette manufacturing, Biobriquettebuilding_Monor Designbuild (ISBN 978-963-12-1167-2), Budapest (2014), pp. 36-39.
[10] Quirk V., Introducing Potty-Girl, The Architect of the Future?, http://www.archdaily.com/529934/introducing-potty-girl-the-architect-ofthe-future/ , (2015.03.10.)
[11] Murphy M, Ricks A., Baan I., MASS Design Group: Empowering Architecture: The Butaro Hospital, Rwanda (ISBN13 9780615534152),
MASS, (2012)
[12] Kiss D., Cignytelep nyolctl ngyig, Magyar Mltai Szeretetszolglat (ISBN 978-963-89445-0-4), Budapest, (2011)
465
Roofs of the future: rooftop greenhouses to improve buildings

metabolism
Oriol Pons1 *, Ana Nadal2, Esther Sany-Mengual2, Pere Llorach-Massana2,3, Eva
Cuerva4, David Sanjuan-Delms2, Pere Muoz5,2, Jordi Oliver-Sol2,6, Carla Planas4,
Maria Rosa Rovira2
1
Department of Architectural Technology I, School of Architecture (ETSAB), Universitat Politcnica de Catalunya (UPC-Barcelona Tech),
Avinguda Diagonal 649, 08028 Barcelona, Spain.
2
Sostenipra Research Group (SGR 01412), Institute of Environmental Sciences and Technology (ICTA), Z Building, Universitat Autnoma de
Barcelona (UAB), Campus UAB, 08193 Bellaterra, Barcelona, Spain.
3
ELISAVA Barcelona School of Design and Engineering. La Rambla 30-32. 08002 Barcelona, Spain.
4
Department of Construction Engineering, School of Industrial Engineering (ETSEIB), Universitat Politcnica de Catalunya (UPC-Barcelona
Tech), Avinguda Diagonal 647, 08028 Barcelona, Spain.
5
Institute of Food and Agricultural Research (IRTA), Carretera de Cabrils, km 2, 08348 Barcelona, Spain.
6
Indit. Indit Innovaci, S.L. UAB Research Park, Eureka Building, 08193 Bellaterra, Barcelona, Spain.
Abstract
Ancient civilizations had agriculture production in their metropolis but modern urban planning separated agriculture from cities,
such as Chandigarh by Le Corbusier. At present, FAO estimates that urban agriculture produces food for a quarter of worlds
population, reducing food transport, package and waste impact among others and improving food safety. Meanwhile, city
governments and citizens are reinventing their roofs usage in order to take more advantage of them. Rooftop Greenhouses (RTGs)
are an interesting option because they increase the scarce green area of the cities, create new agricultural spaces and promote food
self-sufficiency in urban areas among other growing interests. RTGs are greenhouses located on the roof of the buildings that usually
produce food using soil-less culture systems. These structures as well as the green faades called Vertical Farming (VF) are part of
the building-based Urban Agriculture (UA).
In this sense, this article presents the first results of the research project Fertilecity, which aims to analyze, from a technological and
sustainability approach, a new agricultural production system for Mediterranean urban areas through the integration of greenhouses
on the roof of buildings. This innovative system is an integrated RTG (i-RTG) that includes energy, water and CO2 flows in the
metabolism of the building. Multidisciplinary experts participate in Fertilecity Project using multiple methods such as Life Cycle
Assessment and the Integrated Value Model for Sustainable Assessment (MIVES). Their first results are: a review of the main
experiences in UA; an environmental and economic life cycle analysis of implementing Rooftop Greenhouses (RTGs) in Barcelona
and the construction of the ICTA Rooftop Greenhouse Lab (RTG-Lab) near Barcelona. This project aims to demonstrate the
potential of i-RTGs and quantify their environmental, economic and social benefits, as well as study how they can change the image
of our cities.
Keywords: Food safety; rooftop greenhouses; urban agriculture; urban sustainability; LCA.

E-mail address:oriol.pons@upc.edu
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1. Introduction
Urban agriculture (UA) has been developed for centuries, for example in times of splendor of Egypt, Roman, Greek
and Byzantine cultures. During these periods there were vegetables, herbs, palms and fruit trees in gardens and orchards
within the urban area of major cities [1]. Also in Middle Age, there were gardens with herbs and vegetables to feed the
city inhabitants in monasteries, palaces and houses [2]. From then on there have been several similar cases of UA.
Some have been private orchards such as garden cities starting with Norman Shaws Bedford Park (1877- 1897) and
Unwins y Parkers Letchwoth Garden City (1903) and Hampstead Garden Suburb (1907). On the other hand, there
have also been community actions such as the North American Potato patches and Relief Gardens during the economic
crisis of the 1893 and the 1929 respectively [3]. During the First World War UA was part of strategies to complement
food rationing, such as the North American US School Garden Army [4]. In the Second World War UA had a political
use in examples such as the English Dig for Victory in 1940 [3]. In the 70s, UA gardens were used as community and
social support activities like the City Farms and Community Gadens movement in Netherlands and UK [5]. In the
90s there were similar interesting experiences, for example the London 2012 Capital Growth, 56St Blaiser in Paris
Rosa Rose Garden in Berlin. In the 21st century UA moves forward to Sustainable green cities, Eco monumentality,
zero emissions projects [6], energy production or Green design, like the gardens along Tokyo Highways.
However, at present, cities agriculture production is not self-sufficient but it relies on distant agriculture areas.
Therefore, cities food safety depends on these distant foods cost, transport, distribution and its stability as well as its
variety and quality. This issue has a high impact because, for example in Europe, about 75% of population live in cities
and it is foreseen to be 80% in 2020 [7]; while in Latin America and the Caribbean cities population is the 79% [8]. In
this sense FAOs definition of UA comes as part of the solution small areas within cities, such as vacant lots, gardens,
verges, balconies and containers, that are used for growing crops for own-consumption or sale in neighborhood
markets. [9]. Producing food inside the city with UA increases agriculture performance because it minimizes costs
and improves city areas, it permits changing the current lineal food production system for a circular agro-urban system
that optimizes urban cycles [2] and moreover, it contributes to the food safety for vulnerable people with less resources
among others.
In this case, Rooftop Greenhouses (RTGs) on urban buildings are a smart option that has been increasing in recent
years, because they generate new agricultural spaces and increase the low green area of most cities. RTGs consist of a
greenhouse built on the roof of a building that usually produces food through the use of soil-less culture systems [10].
These structures can be considered as part of the building-based UA movement and closely related to Vertical Farming
(VF) [11], Skyfarming [12], and Zero-Acreage Farming [13] among others.
RTGs are the scope of the Fertilecity Project; the objectives, methods and present results of which are presented in
this paper. As shown, Fertilecity aims to analyze, from a technological sustainability vision, a new agricultural
production system for Mediterranean urban areas through RTGs integrated in buildings that improve their metabolism
exchanging energy, water and CO2 flows between RTGs and buildings.
2. The Fertilecity Project
This project carries out multidisciplinary assessments of RTGs using multiple tools and methods: Life Cycle
Assessment; Life Cycle Costing; Geographic Information Systems; Rainwater Harvesting Software (PluGriSost);
Sustainability Assessment; Building Energy Modeling softwares (TAS) and the Integrated Value Model for
Sustainable Assessment (MIVES). Fertilecity also works with a real prototype, The ICTA Rooftop Greenhouse Lab
(RTG-Lab). This is an integrated RTG (i-RTG) located on the rooftop of the ICTA-ICP building (UAB campus,
Bellaterra, Spain). As a novelty, the RTG-Lab integrates the energy, water and CO2 flows (Figure 1) in the metabolism
of the building. The RTG-Lab aims to demonstrate the potential of i-RTGs and quantify their environmental, economic
and social benefits.
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Figure 1. Exchange of flows between ICTA-ICP building and i-RTG. Legend: E is energy interconnection including residual heat and cold
recovery; W is water interconnection considering rainwater and greywater and G is gas interconnection taking into account CO2.
This paper presents the methods and present results of the following parts of the Fertilecity project: 2.1) review and
MIVES assessment of current UA systems; 2.2) LCA analysis of implementing RTGs in Barcelona area, Spain, and
2.3) analysis of the flows between RTGs and building by monitoring the RTG-Lab.
2.1. Review and MIVES assessment
This part is an analysis of the main present UA systems: a) Urban vegetable gardens and orchards (UVGO), which
can be public like Added Value in New York or private like Tomba LOlla in Valencia, Spain; b) Urban parks
with vegetable gardens (UPVG) like Lincoln Park Chicago; c) Rooftop gardens (RTG) either domestic or
commercial or for research like Gotham Greens also in New York; d) Vertical agriculture (VA) like Pasona Inc in
Tokyo, Japan, and c) Indoor agriculture (IA) like The Plant in Chicago.
First, this UA systems have been studied and classified according to: i) its metropolis, district or building scale; ii)
its business, community-social, domestic, educational, research or integral purpose; iii) their types of crops either fruits
or vegetables and iv) the technologies to exchange flows of energy and water such as thermal curtains, advanced glass
skins, Light Emitting Diode (LED), recirculating watering, watering with nutrients like Hydroponics and Aeroponics
technologies among others.
Then, an Integrated Value Model for Sustainable Assessment of UA is being defined using MIVES. MIVES is a
Multi-Criteria Decision-Making (MCDM) method developed in the 2000s that includes the value function concept.
This method has already been used to define several sustainability assessment models to assess the construction of
schools [14], wind turbine support systems [15], etc. Following MIVES, Fertilecity is building a decision making tree
for UA, which includes only the main and the most discriminatory indicators, in order to obtain a correct assessment
decision because indicator amount is not excessive. This tree has 3 requirements: 1) economic, 2) environmental and
3) social and each requirement has several criteria and indicators. These requirements, criteria and indicators have
different weights. Multidisciplinary experts in UA are deciding these indicators and their weights during several
seminars, in which they rely upon extensive bibliography and using Analytic Hierarchy Process (AHP). These experts
also decide the value function of each indicator. Assigning weights and value functions during these workshops brings
rigor and objectivity to the assessment.
These seminars are considering the following economic indicators: food cost, food affordability, support to local
economy, jobs creation. Some of the environmental indicators under study are: cities sustainability improvement,
resources efficient usage, biodiversity increase, urban landscape improvement. Finally, some of the social indicators
under analysis are: support to food safety, support to environmental and nutritional sensibility education, life quality
and health improvements, recuperation of abandoned urban sites.
Their value functions vary from 0 to 1, 0 being the minimum satisfaction and 1 the maximum satisfaction for each
indicator. These adimensional values Vi(xi) can be aggregated in order to obtain the global sustainability index V,
although they are the result of different indicators with different units. Each value functions depend on 5 parameters,
as can be seen in equation 1. These parameters define its shape and consequently how each indicator value variation
468
is translated to the adimentional scale. For example, if the function shape is an S, then the initial and final indicator
value variation will have an adimensional value variation smaller than the middle value variation. In equation 1, A is
the response value Xmax (indicators abscissa), and Xalt is the assessed indicator abscissa which generates a value Vind.
Pi is a shape factor that defines if the curve is concave, convex or shaped as a S. Ci establishes, in curves with Pi >1,
abscissas value for the inflexion point. Ki defines the response value to Ci . B is the value that keeps the function in the
range from 0 to 1 [16].
ki
VI 1 = A + B 1 e
Xalt X max
Ci
Pi
[1]
2.2. LCA analysis of implementing Rooftop Greenhouses (RTGs) in Barcelona area, Spain.
Within the Fetilecity project, the environmental and economic performance of the RTG-Lab will be assessed from
a life cycle perspective, thereby applying the Life Cycle Assessment (LCA) [17] and Life Cycle Costing (LCC) [18]
methodological frameworks. The quantification of the energy, water and CO2 flows exchange and the agronomic
assessment of food production agronomic assessment will be complemented with the corresponding environmental
and economic analysis.
To date, preliminary analysis of the greenhouse structure and the theoretical production and local supply-chain have
been accounted for [19]. This analysis quantified the environmental burdens and the economic cost of 1m2 of the
greenhouse structure of the RTG-Lab and compared it to the values for the conventional greenhouse technology of the
study area (i.e., multitunnel greenhouses). The RTG structure showed a greater environmental impacts than multitunnel greenhouses (between 17% and 75%), and an economic costs was 2.8 times higher. Thus, RTGs are a less
attractive greenhouse structure than conventional technologies from an environmental and economic perspective.
These results agree with the RTGs risks and limitations already mentioned in the literature [10, 13].
Beyond the greenhouse structure, the potential production of 1 kg of tomatoes in the RTG-Lab was compared to the
production in multitunnel greenhouses in Almeria, which is the main source of tomatoes to the Barcelona area [20].
LCA data for this conventional production was available from the EUPHOROS project [21]. Since no experimental
data is still available for the production stage, a theoretical scenario was analyzed. The assessment considered that in
the RTG-Lab two crop periods during 11 months can be performed: a spring-summer crop and an autumn-winter crop,
while in Almeria crop period is limited to 9 months due to climatic constraints in summer. The theoretical crop yield
of this RTG-Lab scenario is of 25 kgm-2, while reference crop yield for Almeria is of 16.5 kgm-2 [21]. From a cradleto-farm gate approach, the environmental impacts of 1 kg of RTG-grown tomatoes were between 9% and 26% lower
than that of the multi-tunnel production. However, the economic cost was 21% higher.
Finally, the entire supply-chain of tomatoes was compared. For both systems (i.e, the local RTG and the multitunnel
in Almeria) the tomato supply of tomatoes to Barcelona city center was considered. The consumption life cycle stage
was excluded of the system boundaries. From a cradle-to-consumer perspective, locally produced tomatoes through
RTGs in Bellaterra (25 km away from Barcelona) would have between 33% and 42% lower environmental impacts
and would be 21% cheaper.
Further research on the environmental and economic balance of the RTG system and the RTG products will focus
on introducing experimental data in the life cycle inventories (e.g., crop yield, production of multiple vegetables),
exploring improvement scenarios (e.g., water recirculation, residual heat use) and assessing potential local supplychains for RTG products (e.g., community-supported schemes).
2.3. Analysis of the flows between RTGs and building by monitoring the RTG-Lab
The building in which the RTG-Lab is located was designed by H Architects [22], who considered compact volume,
multi-functionality, energy efficiency and building-integrated agriculture concepts among others. This building has a
total area of 7500 m2 and the current RTG-Lab consists of two RTGs 125 m2 each (Figure 2). The implementation of
this RTG obviously satisfies the Spanish Technical Code of Edification [23] and the fire safety laws [24]. So, its
structure is reinforced concrete and its covering is polycarbonate instead of cold formed steel sections and LDPE
respectively. In consequence, RTG-Lab has a higher environmental impact compared to conventional greenhouses.
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Figure 2. RTG-Lab location in the ICTA-ICP building, in the rooftop level and greenhouse in use dimensions.
In 2014, RTG-Lab started running in order to demonstrate the feasibility of RTGs in Mediterranean areas as well
as the potentialities of i-RTGs. It takes advantage of the residual heat from the building (e.g., air from the labs), the
CO2 concentration in this residual air (i.e., which will be used as natural fertilizer), and the rainwater collected on the
rooftop. To this end, the first software tool to control and a rooftop greenhouse integrated to a building has been
developed and applied to RTG-Lab. This tool is flexible and permits researchers a management of the RTG-Lab that
improves the greenhouse thermal conditions based on the crops requirements. This management of the RTG-Lab is
also compatible with the building usage because the mentioned software tool takes into account building requirements
like users optimum temperature and air quality. This management tool permits researchers to define multiple control
configurations that permit to carry out tests in order to determine the most efficient and effective management for iRTG. This management system will improve by incorporating an intelligent system, capable to take automatic
decisions in order to achieve a predefined temperature, humidity and CO2 conditions.
In the RTG-Lab, to control the temperature and humidity researchers use the following Campbell instruments with
radiation protection: a data logger CR3000, 12 temperature probes model 107 using thermistor and 3 T/%HR probes
model CS215. These instruments are uniformly distributed inside the RTG and in other spaces of the rooftop level of
the building. They are located at the levels 0.40 m, 1.20 m, 1.70 m and 2.20m of four vertical supports. Each vertical
support has 3 temperature probes and some also have a T/%HR probe. Measurements are taken every 5 seconds and
an average is done every 10 minutes. External data is obtained from the meteorological station of Sabadell Agricultural
Park. For example Figure 3 shows the temperature measurements from the 19th to the 23rd of February 2015.
Figure 3. Temperatures from the 19th to the 23rd of February 2015. The blue curve is RTG-Lab temperature, the red curve is rooftop level
temperature and green is the temperature outside the building.
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RTG-Lab temperatures differ an average of 10 C compared to temperatures recorded outside the building. During
the night, this 10 C difference is really important because it means keeping an adequate overnight temperature for
cultivation. This difference is due to the thermal inertia that has the building and specifically the greenhouse reinforced
concrete slab floor inertia. This difference does not occur in conventional greenhouses, where at night the indoor and
outdoor temperatures are similar.
3. Summary
In the first phase of Fertilecity Project some first results highlight after reviewing UA systems, carrying out a LCA
about the implementation of rooftop greenhouses near Barcelona and controlling energy and emissions flows of RTGLab. At present, UA is a growing trend with a broad variety of typologies, from high-tech to traditional, from private
terraces to public gardens, which is foreseen to continue increasing in the future. UA brings numerous advantages: it
promotes sustainable development, food safety and affordability, environmental and food education, local economy,
biodiversity and therefore it should be included in cities urban and management plans. In the particular case of iRTG, the presented LCA demonstrates that from a cradle-to-consumer point of view, locally cultivated tomatoes in
RTG-Lab are cheaper and have lower environmental impacts. And control of RTG-Lab temperatures show that i-RTG
has higher temperatures at nighttime due to underneath buildings thermal inertia that keep an adequate cultivation
temperature, a phenomena that not occurs in conventional greenhouses.
Acknowledgements
To the Spanish Ministry of Economy and Competitiveness for founding the Fertilecity project CTM2013-47067C2-1-R. Also to Gara Villalba, Juan I. Montero, Xavier Gabarrel, Alejandro Josa and Joan Rieradevall for their
valuable advice.
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[3] Morn,A; Aja, A. Historia de los huertos urbanos. I Congreso Estatal de Agricultura Ecolgica Urbana y Periurbana. 2011.
[4] Spudi, S., (2007). The new victory garden. Royal Horticultural Society Dissertation. Wisley. Diploma in Practical Horticulture.
[5] McKay, G. (2011): Radical gardening: politics, idealism and rebellion in the garden. Ed. Frances Lincoln. London.
[6] Arredondo Garrido, David (2013). Agricultura en la Ciudad: de la Utopa a la Conciencia de Lugar. Granada: Universidad de Granada.
[7] European Commission Making our cities attractive and sustainable - How the EU contributes to improving the urban environment.
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[8] P. da Cunha, J; Rodrguez Vignoli, J. Crecimiento urbano y movilidad en Amrica Latina. Rev. Latinoame. Pobl., 3, 4-5, e-d, 2009, pp. 27-64.
[9] FAO Cuestiones de la agricultura urbana, Enfoques: agricultura urbana, enero de 1999. http://www.fao.org/ag/esp/revista/9901sp2.htm
[10] Cern-Palma I, Sany-Mengual E, Oliver-Sol J, et al. (2012) Barriers and Opportunities Regarding the Implementation of Rooftop
Eco.Greenhouses (RTEG) in Mediterranean Cities of Europe. J Urban Technol 19:87103.
[11] Despommier D (2011) The vertical farm: controlled environment agriculture carried out in tall buildings would create greater food safety and
security for large urban populations. J fr Verbraucherschutz und Leb 6:233236.
[12] Germer J, Sauerborn J, Asch F, et al. (2011) Skyfarming an ecological innovation to enhance global food security. J. Verbr. Leb. 6:237251.
[13] Specht K, Siebert R, Hartmann I, et al. (2014) Urban agriculture of the future: an overview of sustainability aspects of food production in and
on buildings. Agric Human Values 31:3351.
[14] Pons, O., Aguado, A., 2012. MIVES applied to technologies used to build schools in Catalonia. Spain. Build. Environ. 53, 49-58.
[15] de la Fuente, A., Armengou, J., Pons, O., 2014. Multi-criteria decision making tool for assessing the sustainability index of wind turbine
support systems: application to a new precast concrete alternative. Journal Civ. Eng. Manage. doi: 10.3846/13923730.2015.1023347.
[16] Alarcn, B.; Aguado, A.; Manga, R.; Josa, A. (2011). A MIVES: Application to Industrial Buildings. Sustainability, 3: 35-50.
[17] ISO, 2006. ISO 14040: Environmental management - Life cycle assessment - Principles and framework, Geneva.
[18] ISO, 2008. ISO 15686-5: Buildings and constructed assets - Sevice-life planning - Part 5: Life-cycle costing, Geneva.
[19] Sany-Mengual, E. et al., 2015. An environmental and economic life cycle assessment of Rooftop Greenhouse (RTG) implementation in
Barcelona, Spain. Assessing new forms of urban agriculture from the greenhouse structure to the final product level. Int J of Life Cyc Assess.
[20] MercaBarna, 2014. Mercabarna Stats: Vegetables - Commercialized tonnes - 2013. Available at: http://www.mercabarna.es/estadistiques/
[21] Montero, J. et al., 2011. EUPHOROS Deliverable 5. Report on environmental and economic profile of present greenhouse production
systems in Europe. European Commission FP7 RDT Project Euphoros. Available at: http://www.euphoros.wur.nl/UK.
[22] Centre de Recerca UAB ICTA ICP. Available online at: http://www.harquitectes.com/projectes/centre-recerca-uab-icta-icp/
[23] Ministerio de la Vivienda. Cdigo Tcnico de la Edificacin (CTE). 2006.
[24] BOE (2010) Ley 3/2010, de 18 de febrero, de prevencin y seguridad en materia de incendios en establecimientos, actividades,
infraestructuras y edificios. Boletn Of del Estado 89:32918 32943.
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Sustainable energy planning. Design shading devices with integrated

photovoltaic systems for residential housing units
Alexandra Saranti*, Theocharis Tsoutsos, Maria Mandalaki
Technical University of Crete, Polytechneioupolis, GR 73100 Chania
Abstract
The study scopes to optimize the characteristics of shading devices (SDs) with integrated photovoltaic panels (PVs) that are
designed for residential building facades. The SDs are located on the external part of a window facing south, in a distance from
the external wall, in order that a semi - outdoor space is created. The research deals with the integration of solar technologies in
buildings. Focusing on the optimization of the relationship between the energy technologies and the architectural design.
Concerning the design process we took into consideration the definition of users visual comfort and the optimization of the
design process of the final product. This experiment focuses on the integration of flexible shadings in order to use the external
space as a consecution of the internal space. Methodologically the parameters of the research are defined and the decision on the
type of the experiment is taken according to the summer at three different weather conditions in Crete. So, the physical model
type of experiment was preferred to the computer simulation model. The results are being categorized and the process is being
evaluated according to the above mentioned parameters. The research seeks to highlight how experimental shading devices with
integrated PVs can achieve better view for the users while performing as energy production and reduction machines. Finally as a
result the daylight analysis value is compared with the human's comfort view to outside and the energy needed for the
performance of the examined unit during the day. Our main goal is to optimize the comfort in combination with the energy
generated and the best suited space for the everyday activities.
Keywords: BIPV shading devices, electricity production
1. Introduction
The electricity consumption of buildings is part of the overall energy consumption of a country. Due to this fact,
together with the increase of renewable energy resources (RES), there is an interest of their integration in buildings.
The assessment of local photovoltaic (PV) potential plays a critical role in the development of planning policies and
financing schemes for the successful deployment of PV systems in cities [1]. way of integrating RES in buildings
is by placing PVs. PVs have been proved ideal for buildings because their placement can lead to partial or total
energy independence. The possible positions of PV panels on the buildings is the facade, the roof and the shading
devices. The use of shading devices is essential for south oriented facades, especially in Mediterranean climates [2].
The SDs determine the daylighting of the building and it is highly related with the visual comfort of the users. The
use of daylight in buildings, with its variations, its spectral composition, and the provision for external views, is of
* Corresponding author. Tel.: + 30 6946626423

E-mail address: alexandra.sar@gmail.com
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great importance for the comfort and well-being of occupants [3].The idea of integrating SDs with Photovoltaic
panels (Building Integrated Photovoltaic (BIPV)) derived from the need to cover energy needs and use RES specially
in the Mediterranean area in order to produce energy and supply electricity for artificial lighting or other energy use.
BIPV systems are photovoltaic modules integrated into elements of building envelope, such as the roof or the
faade. These systems are very important because they serve the dual function of building skin, replacing
conventional materials, and energy generator. They modify the architectural appearance of the construction [4].
Besides the large available area on vertical walls, the use of photovoltaic modules and solar collectors on facades
may lead to other interesting benefits such as the combination of energy production with other functions of the
buildings, such as heat insulation (Quesada etal., 2012) or illumination, by using semi-transparent photovoltaic
modules on windows [2].
This research evaluates south facing SDs that were designed for a residential building facade respecting the sun
glazing and the lighting. There is also a provision for the energy production.
The solar energy that reaches earth, at any time depends, on the weather conditions, the position, the orientation
and the area of the surface. In fact, several factors like the global radiation on a horizontal surface, the ground
reflectance and the day of the year constitute the parameters of a complex function that determine the amount of
solar radiation incident on an inclined surface at any time [5]. In the text below we are going to talk about the design
method of the SDs, describe the experiment process, and evaluate the results.
1.1. International scientific experience on the subject
The awareness of the available area on vertical walls, which in a modern city far exceeds the available area on
roofs thus of setting the relatively lower irradiation falling in non-optimum inclination, has recently lead to the
development of methodologies for the analysis of the solar assessment of facades (Carneiro
etal.,2010;Redweiketal,2011;Hofierka and Zlocha, 2012). This paper is based on previous international research
made on the subject of BIPV and especially on the research of M. Mandalaki who has constructed the basic model of
the experiment in 2011, in order to test the integration of the SDs in an office building facade.
When talking about shading, there is a need to clarify the type of the building and specify the use of the space, we
intend to shade. This research concerns residential housing units facing south. The demand in shading and visual
comfort differs from an office building to a housing unit. The space of an office is usually limited to an exclusive
use, on the contrary, the living room of a house may have several everyday uses, in variable hours of the day that
require a different design approach, which will be discussed further more.
2. Methodology
2.1. General
As mentioned the living room of a house can accommodate number of activities including working as well as
different number of occupants. Therefore this room is chosen to be given flexibility in daylighting and visual comfort
that will encourage several activities during the day and season. Mainly living room spaces need to have external
outspreads, so the SDs are positioned 2m from the building facade covering a semi-external patio. During summer in
south orientation in Chania shading is a priority need. Especially the SDs will be used to shade firstly the cover patio
and secondly the interior space because everyday activities in Mediterranean climates after April take place outdoors.
So, the user exits the building to transform the flexible SD between two possible positions according to his need of
shading or lighting, cooling or heating.
2.2. Design process
Natural light is a vital force for human beings. Successful daylighting in buildings requires trade-offs and
optimization between competing design aspects (e.g. light distribution, glare, solar gains, views, etc.), whilst also
including consideration of faade layout, space configuration, internal finishes and choice/operation of shading
devices [3]. The basic function of a shading device is to intercept the suns rays before reaching the building interior
during the heating season. An external shading device requires many design consideration such as solar geometry,
physical dimension of the elements, materials, finishes, control strategies, and aesthetics [6]. The design process and
optimization of the SDs is not incorporated in previous research. The design is defined by the parameter of the users
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visual comfort and the users personal desire [7]. Taking for granted that the SDs have two possible positions
open(down)-shut(up). The flexibility in the transformation of the SD is a main aspect of this research as it is very
convenient for the different user's activity and also in terms of thermal and visual comfort as well as privacy matters.
The most common reason for activation of the shading device is therefore assumed to occur if discomfort by solar
heat gains or glare or the need for privacy predominates the desire for daylight and view. And the main reason for
opening the shading again is assumed to occur if perceived discomfort by heat, glare or lacking privacy is reduced
and the desire for daylight and view is becoming predominant [8].
As already mentioned the aim the design is to make the BIPVs more user friendly by integrating them to the
facade and connect their use with the users everyday activities. So the basic intention of the design it that the
position of the panels reflects the inside needs in shading. Additionally it is well known that the highest production
of a PV panel is achieved when the panel is vertical towards sun rays. But vertical SDs could not be transformed in a
building facade so we optimized the horizontal facade by a 10 inclination to the south. 10 is the less inclination
allowed so that the SDs could be located vertically in a building facade. If the inclination augments then the SDs
would not be easily moved by the user.(1)
1. Level eye view, transformable SDs
2. Experiment box, inclination to the south
In order to eliminate any mistakes in the fabrication process a 3d model was constructed. And the two different
positions of the SDs were checked as shown at the figures below.
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3. In this figure we can see the 2 different positions of the SDs. a. shut (up) b. open (down). The first part of the facade is a stable PV. The second
is the moving SD with integrated PV. The third is a transparent material and it is also stable.
2.3. Experiment
The parameters examined are time of the day, position of the SDs (defined by the user) and distance of the light
source (window) inside the living room. The testing procedure takes place in a site situated in Chania Crete
(35.5167 N, 24.0167 E) in a residential coastal area.(2)
In Chania the extreme positions of the sun are about 77 height in the summer and about 30 height in the winter
at 12 oclock for a south facing plane. The overheated period for this latitude point is considered to be between June
to middle of September [2]. Thus we choose to realize the experiment between this period two times per day 12o
clock and 17o clock.
In order to check the sustainability of the SD concerning the daylight production we choose to realize the
evaluation through a physical model instead of using simulation software. Thus the physical method was preferred to
be more accurate as it is being held on the exact under study environment. The scale of the physical model is 1/10.
The physical model of 1/10 scale was constructed according to the specific instructions for making daylighting
models and was tested in real sky conditions [2]. A typical room of 3.5 m 5.4 m 2.9 m (width*depth*height) is
used as a reference [2]. For this investigation all windows are considered not to be shaded by opposite or neighbor
buildings, this might not be realistic for all inner city locations, but it results in higher solar heat gains and is
therefore a safe assumption regarding the evaluation of thermal comfort and view [11]. Methodologically and based
on Mandalaki s experiment the parameters were separated in two categories, stable and variable. The stable are the
south orientation, the location and the type of glazing (sun) and the variable are the time, the position of the SD and
the distance from the window.
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3. Results
3.1 Illuminance
Definitions: Illuminance is the amount of light falling on a surface, and is measured in lx. Luminance is the
2
amount of light emitted by a surface, and is measured in candelas per square meter (cd/m ). It is a function of the
light falling on a surface (its illuminance) and the surface's reflective properties. [9].
In this research we counted the illuminance. The measurements took place at three different weather conditions
during the summer 2014. The three different days are a| 1/7/2014 , b| 24/7/2014, c| 13/8/2014, at two times per day
12 o clock, 17 o clock in a residential building s roof. The equipment we used is a lx meter LX 101 and the value
is lx/ h, in two different positions of the SDs .(3)(4)
a| 1 July 2014 | 22C - 34C - 1 Bf plain sky | 12.00 = 789 lx
b| 24 July 2014 | 23C 29C - 5 Bf cloudy | 12.00 = 660 lx
17.00 = 540 lx
17.00 = 423 lx
c| 13 August 2014 | 23C - 34C - 3 Bf plain sky | 12.00 =770 lx
17.00 = 467 lx (5)
Obviously the position that is far from the light source in every experiment has low light values in comparison
with the position near the window.
The highest value is 12 o clock at the experiment C. But the lower light value is at 17 o clock in the experiment
B.
The results should be analyzed further and be compared with the human visual comfort.
Looking at the results, all the middle position of the SDs values are over 100 lx. So during the summer time in
Chania there is enough light in the residential unit even in the lower position of the shutters. It is also remarkable that
the values of the open and the shut position of the SDs are ranging around 100 and they are close to each other, so in
the middle of the room the lighting is almost the same during sunny summer days.
4. In this figure we can see an axonometric plan of the residential unit examined showing the positions of the Lx meter for the three different
measurements
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5. Experiments table, A,B,C during three different days of the summer. The results are analyzed further.
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3.2 Total energy produced

The total energy produced by the PVs depends initially on the total energy radiation which reaches the surface. In
case of embedded in the building PV systems solar gain actions for specific meteorological data of the region
depends on the orientation of the building and the total area of PV modules that are installed on the surface.
At this research the total PVs area used is 8 panels of 0.9 X 0.70 = 0.63 m2
Total sum=8.0m x 0.63m = 5 m2
According to the total area of our PVs we assume that we are going to need PVs of about 36 cells of 100 Watt.
From an online software was calculated the energy generated (www.selasenergy.gr/solar-calculator-main.php ) we have the
results below:
Q=135,000 kW/h for stable south orientation.
So for further research we can compare the total annual energy production with the visual comfort.
4. Conclusions
Nowadays more and more of the everyday activities oblige people to spend time in interior environments where
natural light is very important. But in south oriented facades of Mediterranean countries natural light should be
accompanied with shading devices during some time of the day. When the SDs include PV panels the solar
radiation absorbed can be transformed into energy.
The task at hand for the designer is generally to identify the most appropriate properties of daylighting systems
that provide adequate luminous levels and contribute to visual comfort. [3]
According to Energy Design for Architects [10] the recommended lighting level for housing units is summarized
below:
Entrances : 50-100 lx
Dining room : 100 lx
Living room, kitchen : 200 lx
Offices: 300-500 lx
Bedrooms : 150-200 lx
Indoor activities : 200-300 lx
Reading : 300-500 lx
Resting : 50-150 lx
So according to the values found through this current experiment the best activity for each SD position is shown
on the board below:
Open SDs : All the rooms are suitable and all the activities can be done without lack of lighting. Best room which
fits the open SDs during the day is the living room, the kitchen or the bedroom. During the evening (time examined)
the natural light is not sufficient.
Shut SDs : All the rooms are suitable except for the office. During the evening (time examined) only the
entrances and the dining room is well suited in general the natural light is not enough.
The best position for reading activity is the one near the window where daylight is over 225 lx. In the middle of
the room where daylight is quite stable during the whole day is very appropriate for indoor activities other than
reading.
The patio is an exterior space which is suitable for every activity as there is plenty of natural light.
Further topics for discussion:
Carry out the experiment during the winter, so as to find out the more suitable activity during the whole year time.
Calculate the energy needs for lighting during the day through the year
Test the energy produced from the SDs and how much energy can be used for artificial lighting during the night
or under bad weather conditions.
References
[1] C. Catita, P.Redweik, J.Pereira, M.C.Brito, 2013. Extending solar potential analysis in buildings to vertical facades.
[2] M. Mandalaki , K. Zervas, T. Tsoutsos , A. Vazakas, 2011. Assessment of fixed shading devices with integrated PV for efficient energy use.
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[3] Sergio Altomonte, 2008. Daylight for Energy Savings and Psycho-Physiological Well-Being in Sustainable Built Environments.
http://www.ccsenet.org/journal/index.php/jsd/article/viewFile/1198/1160
[4] Moschella A., Salemi A., Lo Faro A., Sanfilippo G., Detommaso M., Privitera A.,The Mediterranean Green Energy Forum 2013. Historic
buildings in Mediterranean area and solar thermal technologies: architectural integration vs preservation criteria.
[5]Hassane Darhmaoui, Driss Lahjouji, 2012. Latitude Based Model for Tilt Angle Optimization for Solar Collectors in the Mediterranean
Region.
[6] Gon Kima, Hong Soo Lima, Tae Sub Limb, Laura Schaeferc, Jeong Tai Kimd 2013, Comparative advantage of an exterior shading device in
thermal performance for residential buildings.
[7] Saranti Alexandra, 2013. Social housing:Flexible types of dwelling and group home for Children at Dymaion shore in Patra Greece.
Postgraduate design Thesis Supervisors: Prof.A. Vazakas, Prof.S. Yiannoudes.
[8] Astrid Roetzel, 2008. Evaluation of thermal and visual comfort in offices considering realistic input data and user behaviour in building
simulation. Department Architecture, HafenCity University Hamburg, Germany astrid.roetzel@hcu-hamburg.de
http://nceub.commoncense.info/uploads/W2008_47Roetzel.pdf
[9] G.R. Newsham, J.A. Veitch, C.F. Reinhart and D.M. Sander, Lighting Design for Open-Plan Offices Construction Technology Update No. 62,
Oct. 2004
[10] Erotokritou Tsigga, 1992. Energy Design for Architects, Malliaris
[11] Samoladas Christos 2008. Integration of Photovoltaic Systems in building office. Diploma thesis project.
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Optimising the elements of a construction health and safety (H&S)

programme and audit system
John Smallwood
Nelson Mandela Metropolitan University, PO Box 77000, Port Elizabeth 6031, South Africa
Abstract
The Master Builders South Africa (MBSA) are reviewing the elements of their national H&S Audit System, and the author was
approached to assist with respect to the review in terms of research to identify where the focus of such an H&S Audit System should
be. Although audits focus on the physical aspects of construction, there is concern that there is too much focus on administration.
Furthermore, anecdotal evidence and the findings of audits indicates that there should be more focus on risk management and hazard
identification and risk assessment.
2013 and 2014 Regional H&S competition award winners were surveyed using a self-administered questionnaire delivered per email.
The salient findings include: cost, quality, and time are marginally more important than H&S to the respondents organisations;
hazard identification and risk assessment (HIRA), and risk management are critical; worker participation, H&S education, H&S
training, construction H&S management competencies, supervision, management, and construction management competencies are
important, and are all predictors of H&S performance, which manifests itself in the physical state of H&S, and 50 / 52 (96.2%) of
aspects / interventions / stakeholders contributed to respondents organisations achieving an H&S competition award to a major as
opposed to a minor extent, and therefore a multi-content cocktail is required to optimise H&S performance.
Emphasis should be placed on HIRA assessment, and risk management. Auditing should focus on predictors of H&S performance
such as H&S practitioners, hazard identification and risk assessment, and interventions that contribute to a healthy H&S culture,
and which result in a healthy H&S climate such as management commitment, supervision, and worker participation.
Keywords: Audit, Competition, Construction, Health and Safety
1. Introduction
The Master Builders South Africa (MBSA) has a national H&S Audit System, which is used to assess contractors
in terms of H&S performance, either during initial, general, H&S star grading, or H&S competition assessments. The
rationale for the study reported on is that the author was approached to assist with respect to the review in terms of
research to identify where the focus of such an H&S Audit System should be, the reason being that although audits
focus on the physical aspects of construction, there is concern that there is too much focus on administration.
Furthermore, anecdotal evidence and the findings of audits indicates that there should be more focus on risk
management and hazard identification and risk assessment.
Currently the H&S Audit System addresses nineteen elements with a total of 918 possible points. There are a
possible 156 points relative to Administrative and Legal Requirements, which equates to 17% of the total possible
points. It is notable that there are only a possible 25 points relative to Education, Training and Promotion, which
equates to 0.3% of the total possible points. Then, in terms of risk being mentioned per se there a possible: 5 points
relative to CR 7: Hazard Identification and Risk Assessments; 3 points relative to CR 27: Fire Precautions, and 2
points relative to Mobile Cranes. Then, in terms of indirect or implicit reference to risk being mentioned there is /
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are a possible: 1 point relative to Ergonomics; 1 point relative to Noise, and 4 points relative to Site vehicles (Preignition checks).
The objectives of the study were to determine the:
Perceived importance of project parameters;
Perceived importance of eleven aspects of an H&S programme as posed to respondents;
Perceived extent to which aspects / interventions / stakeholders contributed to respondents organisations
achieving an H&S competition award, and
Perceptions relative to H&S issues and the management of the construction process and activities in general.
2.1. Importance of the project parameters
Historically, research findings indicate that the traditional project parameters of cost, quality, and time, take
precedence over H&S in terms of the importance of project parameters. An image of contractors study conducted by
Smallwood [1] required respondents to indicate the importance of twenty-six image related aspects. The mean scores
recorded between parentheses are between 1.00 (lower limit) and 5.00 (upper limit). Based upon the client related
responses, quality (4.75) and remaining within budget (4.75) were ranked joint first, time performance (4.25) eighth,
health (4.00) eleventh, and safety (3.75) thirteenth.
2.2. Causes of poor health and safety performance
According to the Construction Industry Development Board (cidb) [2], research findings indicate that, at the
organisational and site level, poor construction H&S performance is attributable to a lack of management commitment,
inadequate supervision, and inadequate or a lack of H&S training. A lack of workers involvement, personal risk
appreciation and work pressures also contribute to poor performance. Peterson, Reynolds and Ng [3] state that the high
accident rate of the construction industry is a result of the poor attitude of construction professionals as well as their
lack of knowledge with regards to H&S and risk management practices.
2.3 Improving health and safety
The cidb [2] states that management and leadership at all levels are crucial to improve construction H&S in South
Africa. According to a study conducted by Dejus and Antucheviciene [4], education and training of construction
workers is the main area of focus to mitigate the risk of H&S risk occurrence. The cidb [2] report states that H&S
relevant education and training (or lack thereof), at all levels, has a major impact on construction H&S. At the tertiary
level, not all construction related programmes in South Africa include H&S within their curricula. At the site level,
studies suggest that about 18% of site supervisors and about 33% of site workers have not received any H&S training.
In order to achieve an improvement in construction H&S, attention needs to be given to improve on-site supervision
and education and training in H&S.
A United Kingdom (UK) construction company, namely Frank Haslam Milan (FHm), which already had an above
average H&S record in 2002, achieved its target of a zero accident rate through a training and awareness initiative
involving its employees [5]. The Human Resources Manager, Irene Liddle, states that they realised they had to raise
H&S awareness throughout the company and ensure that everyone, from director to subcontractor, was highly
competent in general H&S issues. Furthermore, she states that employees are increasingly contributing their own ideas
to improve H&S, as opposed to simply following managements H&S instructions, which amplifies the value of worker
participation in H&S [5].
According to Shiplee, Waterman, Furniss, Seal and Jones [6], the workforce on the Olympic Park site in east London
peaked at 12 000 and a total of 30 000 people will have worked on the project through its lifetime. Through careful
planning, implementation of strategies with a proven track record and clear leadership, the Olympic Delivery Authority
(ODA) managed to achieve an accident frequency rate comparable to the average for all British employ-ment,
significantly better than the construction sector. There were five key elements to the H&S programme, as follows.
Safety clear policies, risk assessments, method statements, common standards, visual standards, daily activity
briefings. Health pre-employment medical checks, prevention programme, assessment and control, health
surveillance, training, emergency response. Well-being advice, well man / woman clinics, good food strategy,
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campaigns, sexual health clinics, partnerships. Competence induction, training, supervisor academy, briefings,
apprenticeships, checks and records. Culture leadership, action plans, near-miss reporting, communications, reward
and recognition, climate tool.
The Health & Safety Executive (HSE) has demonstrated over many years that well-managed companies achieve
high H&S standards because it is an integral part of the management task [7]. Strong, visible management commitment
is crucial for good H&S performance. Top management must be seen as actively interested and committed. If
commitment is not expressed in practical terms and thus visible at working level, then statements of commitment will
lack credibility in the eyes of the workforce. Placing H&S at the top of board meeting agendas is important, however
directors and senior managers need to reflect the importance of H&S through their behaviour in addition to what they
say. When directors and senior managers visit sites they can use the opportunity to show staff that H&S is a priority,
for reinforcing the H&S messages, as well as for listening. A key management task is, therefore, communication
specifically communicating the organisations H&S goals clearly to all employees. The HSE believes that H&S should
be integrated with the other training that workers receive. This will reinforce the message that H&S is an integral
aspect of all tasks. The HSE also refers to risks and states that some major projects now operate a risk register, where
all the risks are set out and quantified along with the steps taken to mitigate them and questions whether the use of risk
registers should be developed further. Many projects have the potential to be a major hazard, possibly leading to
multiple fatalities to workers and the public. Examples include tunnelling under occupied buildings or roads, lifting
materials with a crane over a busy street, working adjacent to a railway and premature collapse of a structure. Although
the likelihood of such an events occurring may be low, the potential consequences can be catastrophic. These can be
termed low probability and high impact risks.
Othman [8] evolved a number of recommendations based upon a study conducted among general contractors in the
province of Kwazulu-Natal, South Africa: contractors should increase the level of awareness of their labour force in
terms of the causes and effects of site incidents; contractors should be more proactive in terms of implementing H&S
plans through the integration of H&S procedures into the overall management of projects; contractors must ensure that
their labour force is properly trained for their specific tasks; contractors should continuously brief their labour force to
maintain proper H&S procedures through repetitive teaching, and contractors should appoint H&S Officers to
continuously identify and evaluate the shortcomings of their H&S plans, implement novel solutions, ensure
compliance with H&S regulations, and provide the necessary H&S induction. Although Othman does not refer to
toolbox talks, the latter mentioned in essence are ideal in terms of repetitive teaching, and along with H&S induction
constitute H&S training.
3. Research method
The 2013 and 2014 Kwazulu-Natal Master Builders Association (KZNMBA) competition award winners were
initially surveyed, then the Master Builders Association Western Cape (MBAWC) competition award winners, and
then the 2013 East Cape Master Builders Association (ECMBA) competition award winners, using a self-administered
questionnaire delivered per e-mail. A total of eleven (11) responses were included in the analysis of the data seven
(7) KZNMBA, two (2) MBAWC, and two (2) ECMBA.
For this study a five-point Likert type scale was used for most of the questions. The scale ranges from 1-5, 1 being
not important / strongly disagree and 5 being very important / strongly agree. An Unsure option was added to the
five-point scale. Descriptive statistics in the form of frequencies and a mean score (MS), a measure of central tendency,
were computed from the data gathered. The MS ranges from 1.00 (lower limit) to 5.00 (upper limit), the midpoint
being 3.00.
4. The results
SHE Manager (36.4%) predominates in terms of respondents occupations, followed jointly by SHE Officer (18.2%)
and Manager / Director (18.2%). > 5 10 years (54.5%) predominates in terms of the length of time respondents
have worked for their current employer, followed by > 1 5 years (27.3%). > 5 10 years (36.4%) and > 10 20
years (36.4%) predominate in terms of the length of time respondents have worked in construction, followed by > 20
years (27.3%).
Respondents were required to indicate the importance of six project parameters to their organisations on a scale of
1 (not important) to 5 (very important), and a mean score (MS) ranging between 1.00 and 5.00. The resultant MSs and
482
ranks are as follows: Cost (5.00, 1=); Quality (5.00, 1=); Schedule (Time) (5.00, 1=); Health and safety (4.91, 4);
Productivity (4.82, 5), and Environment (4.64, 6).
Table 1 indicates the importance of eleven aspects of an H&S programme in terms of achieving optimum H&S in
respondents organisations on a scale of 1 (not important) to 5 (very important), and a MS ranging between 1.00 and
5.00. It is notable that all the MSs are above the midpoint score of 3.00, which indicates that in general the respondents
perceive the aspects as important in terms of achieving optimum H&S in their organisations. However, given that all
the MSs > 4.20 5.00, the respondents can be deemed to perceive them to be between more than important to very
important / very important. It is notable that hazard identification and risk assessment, and risk management are ranked
joint first with a MS of 5.00, followed closely by administration and legal requirements. The latter in turn is followed
closely by a cluster of five aspects ranked joint fourth with a MS of 4.82. It is notable that administration and legal
requirements is ranked marginally ahead of physical aspects (MS = 4.82), as the prevailing contention in industry is
that the physical aspects are more important. Then, whereas worker participation, one of the two pillars of an H&S
programme, is ranked joint fourth with a MS of 4.82, the other pillar, management is ranked tenth with a MS of 4.64.
Supervision is ranked marginally ahead of management with a MS of 4.73. This reflects the reality on site, namely that
supervisors supervise the physical construction activities. H&S education, H&S training, and construction H&S
management competencies were also ranked joint fourth (MS = 4.82), whereas construction management competencies
is ranked eleventh with a MS of 4.45. In essence, all the aspects achieved high MSs.
Table 1. Degree of importance of aspects of an H&S programme in terms of achieving optimum H&S in respondents organisations.
Aspect
Hazard identification and risk assessment
Risk management
Administration and legal requirements
Physical aspects
Worker participation
H&S education
H&S training
Construction H&S management competencies
Supervision
Management
Construction management competencies
Unsure
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
Response (%)
Not...Very
1
2
3
4
5
0.0
0.0
0.0
0.0
100.0
0.0
0.0
0.0
0.0
100.0
0.0
0.0
0.0
9.1
90.9
0.0
0.0
0.0
18.2
81.8
0.0
0.0
0.0
18.2
81.8
0.0
0.0
0.0
18.2
81.8
0.0
0.0
0.0
18.2
81.8
0.0
0.0
0.0
18.2
81.8
0.0
0.0
0.0
27.3
72.7
0.0
0.0
0.0
36.4
63.6
0.0
0.0
0.0
54.5
45.5
MS
Rank
5.00
5.00
4.91
4.82
4.82
4.82
4.82
4.82
4.73
4.64
4.45
1=
1=
3
4=
4=
4=
4=
4=
9
10
11
Respondents were required to indicate the extent to which 52 aspects / interventions / stakeholders contributed to
respondents organisations achieving an H&S competition award on a scale of did not and between 1 (minor) to 5
(major), and a MS ranging between 0.00 and 5.00. It is significant that 50 / 52 (96.2%) of the MSs are above the
midpoint score of 2.50, which indicates that the aspects / interventions / stakeholders can be deemed to have contributed
to respondents organisations achieving an H&S competition award. Furthermore, it is notable that 36 / 52 (69.2%) of
the MSs are > 4.17 5.00, which indicates the aspects / interventions / stakeholders contributed to respondents
organisations achieving an H&S competition award between a near major extent to a major extent / major extent (Table
2). Six interventions / stakeholders are ranked joint first with a MS of 4.82: H&S Coordinator / Manager; H&S Officer;
hazard identification and risk assessment; H&S induction; H&S training, and toolbox talks. These are followed by
joint seventh ranked H&S management system (H&SMS) and H&S education (MS = 4.73) and joint ninth ranked
focus on H&S and H&S awareness (MS = 4.64). The aforementioned constitute the top ten. Other notable aspects /
interventions / stakeholders within this upper range (> 4.17 5.00) are H&S culture, H&S Representatives, safe work
procedures (SWPs), H&S measurement, allocation of financial resources to H&S, H&S plans, first line supervision,
site management, H&S goal setting, management commitment to H&S, integration of H&S into all activities / tasks,
management involvement in H&S, Quality Management System (QMS), management accountability for H&S, and
worker participation.
Table 3 indicates the extent to which respondents concur with eighteen (18) statements relative to the construction
industry in general. It is notable that 17 / 18 (94.4%) MSs > 3.00 5.00, which indicates agreement as opposed to
disagreement.
483
Table 2: Extent to which aspects / interventions / stakeholders contributed to respondents organisations achieving an H&S competition award.
Response (%)
Unsure
Did
Minor Major
MS
Rank
Aspect / Intervention / Stakeholder
not
1
2
3
4
5
H&S Coordinator / Manager
0.0
0.0
0.0
0.0
0.0
18.2
81.8
4.82
1=
H&S Officer
0.0
0.0
0.0
0.0
0.0
18.2
81.8
4.82
1=
Hazard identification and risk assessment
0.0
0.0
0.0
0.0
0.0
18.2
81.8
4.82
1=
H&S induction
0.0
0.0
0.0
0.0
0.0
18.2
81.8
4.82
1=
H&S training
0.0
0.0
0.0
0.0
0.0
18.2
81.8
4.82
1=
Toolbox talks
0.0
0.0
0.0
0.0
0.0
18.2
81.8
4.82
1=
H&S management system (H&SMS)
0.0
0.0
0.0
0.0
0.0
27.3
72.7
4.73
7=
H&S education
0.0
0.0
0.0
0.0
0.0
27.3
72.7
4.73
7=
Focus on H&S
0.0
0.0
0.0
0.0
9.1
18.2
72.7
4.64
9=
H&S awareness
0.0
0.0
0.0
0.0
9.1
18.2
72.7
4.64
9=
H&S culture (refer to * below the table)
0.0
0.0
0.0
0.0
9.1
27.3
63.6
4.55
11=
H&S Representatives
0.0
0.0
0.0
0.0
9.1
27.3
63.6
4.55
11=
Safe work procedures (SWPs)
0.0
0.0
0.0
0.0
9.1
27.3
63.6
4.55
11=
Feedback on H&S performance
0.0
0.0
0.0
0.0
9.1
27.3
63.6
4.55
11=
Construction Regulations
0.0
0.0
0.0
0.0
9.1
27.3
63.6
4.55
11=
Participation in H&S competitions
0.0
0.0
0.0
0.0
9.1
27.3
63.6
4.55
11=
Participation in H&S star gradings
0.0
0.0
0.0
0.0
9.1
27.3
63.6
4.55
11=
H&S measurement
0.0
0.0
0.0
9.1
0.0
18.2
72.7
4.55
18
Allocation of financial resources to H&S
0.0
0.0
0.0
0.0
9.1
36.4
54.5
4.45
19=
H&S inspections
0.0
0.0
0.0
0.0
9.1
36.4
54.5
4.45
19=
H&S rules
0.0
0.0
0.0
0.0
18.2
18.2
63.6
4.45
21=
H&S notice board
0.0
0.0
0.0
0.0
18.2
18.2
63.6
4.45
21=
H&S legislation (OH&S Act & COID Act)
0.0
0.0
0.0
0.0
18.2
18.2
63.6
4.45
21=
H&S plans
0.0
0.0
0.0
9.1
0.0
27.3
63.6
4.45
24
First line supervision
0.0
0.0
0.0
9.1
9.1
9.1
72.7
4.45
25
H&S policy
0.0
0.0
0.0
0.0
18.2
27.3
54.5
4.36
26
Site management
0.0
0.0
0.0
9.1
0.0
36.4
54.5
4.36
27
H&S goal setting
0.0
0.0
0.0
9.1
9.1
18.2
63.6
4.36
28
Management commitment to H&S
0.0
0.0
0.0
0.0
27.3
18.2
54.5
4.27
29=
H&S meetings
0.0
0.0
0.0
0.0
27.3
18.2
54.5
4.27
29=
Integration of H&S into all activities / tasks
9.1
0.0
0.0
9.1
0.0
0.0
81.8
4.27
31
Management involvement in H&S
0.0
0.0
0.0
0.0
36.4
0.0
63.6
4.27
32=
Quality management system (QMS)
0.0
0.0
0.0
9.1
9.1
27.3
54.5
4.27
32=
Recognition of H&S performance
9.1
0.0
0.0
0.0
9.1
18.2
63.6
4.18
34
Management accountability for H&S
0.0
0.0
0.0
0.0
27.3
27.3
45.5
4.18
35
Worker participation
9.1
0.0
0.0
9.1
0.0
9.1
72.7
4.18
36
Statement
Unsure
Strongly
disagree
Disagree
Neutral
Agree
Strongly
agree
Table 3. Respondents degree of concurrence with statements relative to H&S and the construction industry in general.
Response (%)
MS
Risk management is an integral part of construction management

There should be more focus on worker participation in H&S
H&S management is an integral part of construction management
H&S is an integral part of risk management
There should be more focus on management involvement in H&S
There should be more focus on supervisions role in H&S
There should be more focus on management accountability for H&S
H&S management and quality management are interrelated
H&S management and environmental management are interrelated
The emphasis in terms of H&S should be on active hazard identification and
risk assessment
The emphasis in terms of H&S should be on the physical aspects
Administration provides the basis for addressing the physical aspects of H&S
Too much administration results in ticking boxes and cutting and pasting
The H&S Officer function creates the impression that H&S is someone elses
function
Too much administration is required relative to H&S to the detriment of the
physical aspects of H&S
H&S Officers are not included in the overall management of projects
Too much administration is required relative to H&S
H&S Officers have the organisational authority to integrate H&S into the
construction process
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
0.0
10.0
0.0
0.0
0.0
10.0
10.0
11.1
20.0
20.0
10.0
50.0
50.0
100.0
90.0
90.0
88.9
80.0
80.0
80.0
50.0
50.0
5.00
4.90
4.90
4.89
4.80
4.80
4.70
4.50
4.50
484
0.0
0.0
0.0
10.0
40.0
50.0
4.40
0.0
0.0
0.0
0.0
0.0
10.0
0.0
0.0
20.0
20.0
20.0
0.0
20.0
40.0
10.0
60.0
40.0
60.0
4.40
4.20
3.90
0.0
10.0
20.0
0.0
10.0
60.0
3.90
0.0
11.1
11.1
0.0
44.4
33.3
3.78
0.0
0.0
10.0
11.1
20.0
11.1
10.0
11.1
20.0
44.4
40.0
22.2
3.60
3.56
0.0
10.0
20.0
30.0
40.0
0.0
3.00
However, 11 / 18 (61.1%) statements have MSs > 4.20 5.00, which indicates that the concurrence is between
agree to strongly agree / strongly agree: risk management is an integral part of construction management; there should
be more focus on: worker participation in H&S, management involvement in H&S, supervisions role in H&S, and
management accountability for H&S; H&S management is an integral part of construction management and H&S is
an integral part of risk management; H&S management is interrelated with quality management and environmental
management, and the emphasis in terms of H&S should be on: active hazard identification and risk assessment, and
the physical aspects. 6 / 18 (33.3%) Statements attracted concurrence between neutral to agree / agree (> 3.40 4.20):
administration provides the basis for addressing the physical aspects of H&S; too much administration: is required
relative to H&S; results in ticking boxes and cutting and pasting, and is required relative to H&S to the detriment
of the physical aspects of H&S; the H&S Officer function creates the impression that H&S is someone elses function,
and H&S Officers are not included in the overall management of projects. 1 / 18 (5.6%) Statement attracted
concurrence between disagree to neutral / neutral (> 2.60 3.40), namely H&S Officers have the organisational
authority to integrate H&S into the construction process.
5. Conclusions and Recommendations
Although all eleven aspects of an H&S programme as posed to the respondents are important in terms of achieving
optimum H&S in respondents organisations, the high ranking of hazard identification and risk assessment, and risk
management, leads to the conclusion that these are critical, and that emphasis should be placed on these aspects during
auditing. Then, although administration and legal requirements are marginally more important than the physical
aspects, there is a high level of agreement with The emphasis in terms of H&S should be on the physical aspects.
The relatively high agreement with Too much administration results in ticking boxes and cutting and pasting, Too
much administration is required relative to H&S to the detriment of the physical aspects of H&S, and Too much
administration is required relative to H&S is tempered by the agreement with Administration provides the basis for
addressing the physical aspects of H&S.
Therefore it can be concluded that auditing should focus on the physical process, but also give the administration
process the requisite attention. However, the importance of worker participation, H&S education, H&S training,
construction H&S management competencies, supervision, management, and construction management competencies
introduces a further dimension. Firstly, H&S education and H&S training influence the others, and in turn management
commitment influences the degree of H&S education and H&S training. Secondly, they are all predictors of H&S
performance, which manifests itself in the physical state of H&S. Therefore, it can be concluded that auditing should
focus on such predictors.
References
[1] Smallwood, J.J. 2010. The Image of Contractors: A South African Case Study. In: C. Egbu (ed) Proceedings of 26th Annual Conference of
ARCOM, Leeds, 6-8 September 2010. Reading: ARCOM, 939-946.
[2]Construction Industry Development Board (cidb). 2009. Construction Health & Safety in South Africa Status & Recommendations. Pretoria:
cidb.
[3] Petersen, A.K., Reynolds, J.H. and Ng, L.W.T. 2008. The attitude of civil engineering students towards health and safety risk management: a
case study, European Journal of Engineering Education, 33(5-6), 499-510.
[4] Djus, T. and Antucheviien, J. 2013. Assessment of health and safety solutions at a construction site, Journal of Civil Engineering and
Management, 19(5), 728-737.
[5] Pollitt, D. 2006. Training means zero accidents for FHm. Human Resource Management International Digest, 14(4), 23-25.
[6] Shiplee, H., Waterman, L., Furniss, K., Seal, R. and Jones, J. 2011. Delivering London 2012: health and safety. Proceedings of the Institution
of Civil Engineers Civil Engineering, 2011, 164 May 2011, 46-54.
[7] Health and Safety Executive (HSE). 2002. Revitalising Health and Safety in Construction. Sudbury, Suffolk: HSE Books.
[8] Othman, A.A.E. 2012. A study of the causes and effects of contractors' non-compliance with the health and safety regulations in the South
African construction industry. Architectu.ral Engineering and Design Management, DOI:10.1080/17452007.2012.683242
485
Probabilistic risk assessment of oil and gas infrastructures for

seismic extreme events
Alon Urlainis, Igal M. Shohet, Robert Levy
Department of Structural Engineering Ben-Gurion University of the Negev, Beer Sheva 84105, Israel
Abstract
Modern economy and society are constantly increasing dependent on a variety of critical infrastructures (CIs) over the last
decades. However an observation and review of the extreme events that occurred during the last two decades reveal that while the
interdependencies between the CIs are growing and getting more complex there is an increasing gap between the growing risk and
the actual preparedness. Therefore there is an utmost importance to ensure reliable and robust performance of critical
infrastructures on a continuous basis, particularly during and after the occurrence of extreme events. In this study a methodology
is developed to act as decision support tool for decision makers to appraise and mitigate the risk of CIs after the occurrence of
seismic events. The methodology analyzes the damage of critical infrastructures components by Fault-Tree-Analysis, Decision
Trees and Fragility Curves. Though the methodology is suitable for a variety of critical infrastructures, this study will focus on
critical Oil and Gas Network Systems, which are vital to the energy supply infrastructure of Israel. In order to assess the risk that
Oil and Gas Critical Infrastructures are exposed to in case of seismic extreme events, fragility curves are derived and adjusted to
different components of the Oil and Natural Gas systems. Subsequently, a variety of possible seismic scenarios are examined and
analyzed in order to determine the damage of the components. The overall expected damage of the Oil or Gas system is assessed
by considering the damage state of all components of the system. The expected damage states of the components disclose and
emphasize the most vulnerable parts of the system. Also discussed are guiding principles for decision makers to mitigate risk
based on benefit-cost ratio.
Keywords: critical infrastructures; fragility curves; risk assessment; seismic events
1. Introduction
Critical Infrastructures (CIs) play a crucial role in the normal performance of economy and society. Over the last
decades the amount and the variety of critical infrastructures grew rapidly, and the interdependency between them
increased constantly; consequently more and more essential services depend on the continuous performance of one,
two or even more critical infrastructures such as power, water supply, communications, etc. An observation and
review of the extreme events occurred during the past two decades reveal that while the interdependencies between
the CIs are growing rapidly and getting more complex there is a great gap between the increasing risk and the actual
preparedness of critical infrastructures to extreme events [1-3]. After the Izmit earthquake in 1999, the electricity
power supply failed for several days within minutes of the earthquake, few highway bridges collapsed, and water
distribution system was interrupted. A fire that broke out at refineries of Turpas, which were responsible for the
refining of major part of Turkey's oil, endangered industrial sites in the area for days until it was turned off [4-7]. The
Indian Ocean earthquake and tsunami at 2004 and the Haiti earthquake at 2010 demolished most of the CIs in those
areas, beyond the fatal number of casualties. CIs such as educational facilities, medical centers, government
facilities, and water distribution system were completely destroyed and arduous the rescue and rehabilitation efforts
[8-11]. The Fukushima- Daiichi event exhibited insufficient preparedness of the Nuclear Power Plant (NPP) in
486
aspects such as robustness (height of breakwater walls), resilience, and redundancy [12-15] and demonstrated the
failure in the hazard scenarios detection.
The review of extreme events over the last two decades shows that loss and damage of CIs that developed
countries suffer from, is significantly higher than the developing countries witness. This trend is stimulated by the
density of critical infrastructures and the growing consequences of events due to higher risks. Therefore there is an
utmost importance to ensure reliable and robust performance of critical infrastructures on a continuous basis,
particularly during and after the occurrence of extreme events.
2. Methodology and Objectives
This manuscript presents a preliminary probabilistic methodology that examines the preparedness of critical
infrastructures through an appraisal of the risk the CIs are exposed in case of seismic extreme. The goal of this
research is to establish a quantified model to assess the total risk of CIs to extreme earthquake events and allow the
decision makers to manage the course of actions in order to mitigate the risk. The methodology will include risk
assessment of CIs components and guiding principles to mitigate the risk analogous to benefit-cost ratio. The
methodology analyzes the damage of infrastructures components by fragility curves, fault-tree-analysis, and decision
trees. Though the methodology is suitable for a variety of critical infrastructures, this research will focus on critical
Oil and Gas Network Systems, which are vital to the energy supply infrastructure.
The proposed methodology is composed of seismic hazards identification, components seismic vulnerability
function adjustment, damage assessment due to seismic extreme events to different components, and risk appraisal
procedure.
3. Seismic Scenarios
The first step of the risk appraisal process is the definition of the threat scenarios (Hazards scenarios) that Critical
Infrastructures (CIs) components are exposed to. The main effects of an earthquake are ground shaking and faulting
which are the major causes of failure of gas and oil infrastructure during an earthquake event [16, 17]. When
computing the risk of critical infrastructures, there is an upmost importance of the ground shaking intensity and site
effects across different areas, as opposed to standard structures which resilience will be determined according to its
local ground shaking and site effect. Critical infrastructure components such as oil and natural gas systems deployed
on wide range area and distances of hundreds of kilometers from each other. Therefore the resistance of critical
infrastructures systems to seismic events will be determined in accordance with the site effects and ground shaking
measures of each component at different locations which are obtained by different soil conditions that effect on site
response and different distances from the epicenter.
A main issue related to the seismic risk analysis of CIs components is the selection of the earthquake intensity
measure (IM) which correlates the best with the response of each component. In most cases for aboveground
structures, the PGA is directly related to the expected damage, because of its proportionality with inertial effects due
to the seismic loadings. On the other hand, when in case of pipelines or underground structures, the damaging effects
are generally proportional to the Peak Ground Velocity (PGV) which is related to ground strain that is the main cause
of pipeline damage [18-22]. The most commonly used intensity measures for Oil and Gas systems are; Peak Ground
Acceleration (PGA), Peak Ground Velocity (PGV), Peak/Permanent Ground Displacement (PGD), and Peak ground
strain [22, 23].
4. Oil and natural gas systems
In general Oil and Gas transportation and distribution systems components can be divided into three main groups
[24]; the first group consists of pipelines elements (buried or above ground), the second group consists of storage
structures (Tank Farms) and the third group consists of processing/operational facilities (i.e. pressure control,
pumping).
4.1. Pipelines
Pipelines are categorized to transportation/transmission network that is generally used to transfer from the
production place to the industrial plants or urban distribution system and to and distribution network for urban users.
487
However for the research approach the difference between transportation and distribution systems is essentially
related to the nominal diameter of pipelines. According to HAZUS methodology [25] the pipelines can be
categorized into (a) D 400mm for high pressure transmission system and (b) D 400mm for distribution and low
pressure transmission systems. The damage patterns occurred in pipelines are largely dependent on the material and
joint type and many possible combinations of material and joints were divided by [18, 26] in two categories;
continuous pipelines (CP) and segmented pipeline (SP). Similar approach has been proposed by [25], where the
pipelines are categorized in brittle (SP) and ductile (CP).
4.2. Storage facilities
Modern oil storage tanks included in lifeline systems vary from 12m to 76m in diameter with heights that are
nearly always less than the diameter. Storage tanks are designed as elevated, partly buried or underground and
mostly are circular cylindrical. [17, 27]. The most common classification of storage tanks are based on the following
features [27-29]:
Material: steel or reinforced concrete
Construction type: underground, at grade or elevated
Anchored or unanchored subcomponents
Roof type: fixed-roof, floating roof
Shape factor: height-on-diameter ratio (H/D)
Amount of content in the tank: full, half-full, empty
Finally, it should be noted that tanks are just part of the storages facilities, and that most of those facilities are
composed of several storage tanks which includes also components such as inlet/outlet pipelines or mechanical
equipment.
4.3. Processing plants/stations
Processing stations such as compression, metering or pressure reduction and pumping plants are located along the
pipelines to maintain the flow over long distances. Most of these plant/stations are housed in low-rise buildings and
often classified as anchored or unanchored subcomponents [25] or within low-rise buildings, made of masonry or
reinforced concrete structure [24].
5. Damage assessment
This methodology is intended to assess the expected damage of different components of the gas and oil system
with multiple fragility curves/functions. In our case fragility functions represents the probability that a component
will be damaged or disrupted to a given or more severe damage state as a function of an intensity parameter. Fragility
functions for Oil and Gas systems components other than pipelines are modeled as lognormal cumulative distribution
function (CDF) that expresses the probability of reaching or exceeding different damage states for a given level of
ground motion (quantified in terms of PGA, PGV, and PGD) [30-32] as presented in Eq. 1.
( )
[ | = ] =
; {1,2, }
(1)
[ | = ] Represents a conditional probability of being at or exceeding a particular Damage State (DS)

for a given seismic intensity x defined by the earthquake Intensity Measure. Where,
Uncertain damage state of a particular component. {0,1,... Nn}

A particular value of DS
Number of possible damage states
Uncertain excitation, the ground motion intensity measure (i.e. PGA, PGD, or PGV)
A particular value of IM
Standard cumulative normal distribution function.
Median capacity of the asset to resist damage state ds measured in terms of IM
488
Logarithmic standard deviation of the uncertain capacity of the asset to resist damage state
ds
In sequential damage states, the damage states are ordered and the probability of being in specified damage state
is calculated as follows:
1 ( |)
( = |) = ( |) ( +1 |)
( |)
= 0
1 1
=
(2)
Another way to present the damage function, that important to notice, is by Damage Probability Matrices (DPM).
The DPM presents the probability of a level of damage being reached at specific intensity measure level for a given
component [23].
1,0
0,35
0,30
0,8
0,25
0,7
Frequency
Probability [Ds > ds | IM ]
0,9
0,6
0,5
0,4
ds1
0,3
0,0
0,05
ds3
0,1
0,15
0,10
ds2
0,2
0,20
ds4
0,00
Intensity Measures (IM)
ds0
Figure 1. Fragility curve
ds1
ds2
Damage state
ds3
ds4
Figure 2. Illustration of PDM
For pipelines components the fragility relations is described as the expected Repair Rates (RR) due to ground
motion (quantified in terms of PGV) or ground failure (quantified in terms of PGD). The RR function represents the
expected number of repairs needed per a determined length of pipe, it is usually defined as a power model as
described in eq. 3 below, where and represent coefficients set using the standard linear least squares method.
=
(3)
In general four types of fragility curves are proposed [30, 31, 33]; Empirical, Analytical, Expert judgment, and
Hybrid. The development of the fragility curves is based mainly on the type and quality of data. Fragility functions
can best be derived when there is a large quantity of appropriate test data available on the behavior of the component
of interest at varying levels of intensity.
6. Damage and risk assessment
The damage is calculated in terms of the expected cost as a result of the seismic event. Direct economic losses are
computed based on (1) Probabilities of being in a certain damage state (P [Ds ds i]), (2) the replacement value of the
component, and (3) the damage ratios (DRi) for each damage state. The losses are evaluated by multiplying the
damage ratio (DRi) by the replacement value; the compounded damage ratio (DRc) is computed as the probabilistic
combination of damage ratios as follows [25].
= ( |)
Where
DRi
Damage rate of damage state i
489
(4)
The probability of being in damage state i
The total damage of seismic scenario can be calculated with reference to indirect loss that composed of potential
loss due to shutdown of the service. Furthermore, the total consequences will consider possible environmental
pollution and the expected results of it. The risk of seismic event is the product of the occurrence probability and the
estimated consequences; therefore an annual rate of exceeding to IM function is required in order to define the total
risk to seismic events.
According to the fragility functions (Figure 3) that were developed for CIs components, the damage ratio of
components (DRc), and the repair cost (RC) of the system, one can calculate the repair cost as a function of the
intensity measure (Figure 4). Subsequently, combined with annual rate of exceedance function (Figure 5), the
development of the annual risk function is possible. The total annual risk of the scenario can be computed as the
product of the total damage and the annual probability of the seismic event. One can see that by using the described
methodology it is feasible to calculate the total annual seismic risk that critical infrastructures are exposed to, and
integration of this function gives the annual risk expectancy (Figure 6).
1,0
0,8
0,7
Repair cost ($US 103)
Probability [Ds > ds | IM ]
0,9
0,6
0,5
0,4
0,3
0,2
0,1
0,0
0,2
0,4
0,6
PGA
ds2
ds1
0,8
1,2
ds3
1,4
ds4
Figure 3- Fragility Curves
1,5
7,0
0,18
6,0
Annual Risk (($US 103)
0,16
Annual rate of exceedence
PGA
Figure 4 - Repair cost as a function of PGA
0,20
0,14
0,12
0,10
0,08
0,06
0,04
5,0
4,0
3,0
2,0
1,0
0,02
0,00
0,5
0,0
0
0,5
PGA
1,5
Figure 5 - Annual rate of exceedance function
0,2
0,4
0,6
0,8
PGA
1,2
1,4
Figure 6- Annual Risk of Component
7. Conclusion
A significant gap between the level of preparedness of critical infrastructures in case of extreme events and the
risk that those infrastructures are exposed is existing. The last decades extreme events emphasize the importance of
proper and suitable preparedness of CI in terms of resilience, robustness and redundancy; most of government,
490
economics, and social services are highly dependent on continuous and stable performance of CI such as electric
power supply, and communication. This research intends to develop a risk appraisal and mitigation methodology for
CIs (highlighting oil and gas systems), which will help to optimize the courses of actions for increasing the
preparedness of critical infrastructures for seismic extreme events. The presented methodology analyzes the damage
of critical infrastructures components using fragility curves and annual rate of exceedance function. This method
allows calculating the total annual seismic risk that critical infrastructures are exposed to, and integration of this
function gives the expectancy the total annual risk and based on those findings the optimal mitigation strategy may
be developed. Further research is needed to investigate the usefulness and the effectiveness of various risk mitigation
strategies such as robustness, resilience, and redundancy.
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2011. 2011
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A comprehensive damage assessment using very high resolution areal imagery. Presented at Proceedings of the 8th International Workshop
on Remote Sensing for Disaster Management. 2010.
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492
Assessment of casualty and economic losses from earthquakes in

Israel an semi-empirical model
Hsi-Hsien Wei1,*, Igal M. Shohet2, Mirosaw J. Skibniewski3, Stav Shapira4, Robert
Levy2, Tsafrir Levi5, Amos Salamon5, Moti Zohar5
1
Department of Civil and Environmental Engineering, University of Maryland, College Park, 20742, U.S.A., Email: hw2208@umd.edu
2
Department of Structural Engineering, Ben-Gurion University of the Negev, Beer Sheva, 84105, Israel
3
Department of Civil and Environmental Engineering, University of Maryland, College Park, 20742, U.S.A.
4
Emergency Medicine Department and PREPARED University center for Emergency Response Research Faculty of Health Sciences, Ben-Gurion
University of the Negev, Beer Sheva 84105, Israel
5
Division of Engineering Geology and Geological Hazards, Geological Survey of Israel, Jerusalem, 95501, Israel
Abstract
A complete seismic risk assessment generally takes into consideration the interaction of three components hazard, exposure and
vulnerability and after these three components are well defined for the purpose of interest, the risk can be assessed by the
intersection of these three components, and in turn risk can controlled by countermeasures to each aspect of risk. The goal of this
study is to develop and implement a semi-empirical model for casualty estimation that will enable to forecast the extent, types and
severity of casualties that may happen in Israel and its surroundings in the case of several scenarios of given earthquakes. The
expected deliverables will enable the research team to assess the risk, and develop strategies for retrofitting the vulnerable
structures, and improve preparedness of the population in the case of destructive earthquakes.
Keyword: seismic risk assessment; seismic hazard; casualty loss
1. Introduction
Mitigating the results of potential earthquakes requires an estimation of the casualties that may incur, and
accordingly an appropriate response model can be developed. Based on an extensive literature review of the
consequences of earthquakes, the following parameters were identified as significant in estimating human casualties:
(1) the earthquake hazard in the designated area, such as active faults, liquefactions, landslides and ground motion
amplifications; (2) building and structural vulnerabilities to seismic hazards, assessed by an empirical or analytical
approach combining simulation of seismic events with the data bases of structures, geological data, seismic data; and
(3) assessment of the socio-economic conditions in the designated area, in order to estimate the potential population
that was present in different building types at the time of the shake-out.
Many studies have focused on the extent of fatalities incurred from the numerous earthquakes that occurred in
different parts of the world. In contrast, only a limited number of studies focused on surviving casualties depicting
different extent, types and severities of injuries. Generally, the number of casualties and the level of injury are not
easily attainable due to the limited quality and lack of information in earthquake casualty data. However, several
studies that established casualty rates with respect to various building types and damage levels were published during
the last two decades. There are four common approaches that have often been utilized to estimate casualties that
might be caused by earthquakes: 1) an empirical approach consists of direct correlation between ground motions and
493
the population that was present in the area at time of earthquake occurrence, based on historic earthquake statistics;
2) a semi-empirical approach takes into account the types of buildings that characterize the area and estimates
damage rates according to the different structures; 3) pure analytic approach predicts behavior of buildings and their
effects on individuals that are inside them, based on seismic hazard analysis; and, 4) hybrid approach consists of
estimating the fraction of the population killed due to collapse of different types of buildings, considering macroseismic intensities.
The empirical analysis ignores many relevant variables, such as building and structural vulnerabilities, as well as
the presence of the population inside the structures during the event. The hybrid and analytic approaches do not
address behavior of the numerous types of buildings that might be situated in the area struck by an earthquake and
necessitate accumulation of data that are usually difficult to obtain due to inconsistent and poorly characterized
historical earthquake casualty data. Therefore, a semi-empirical approach can more effectively estimate the damage
and casualties that might be caused by a given earthquake, as it includes the identification of different types of
buildings, the presence of the population during different time-frames, and the types of injuries that might be caused
taking into account different socio-economic condition. Israel is situated in an area prone to earthquakes. To present,
the estimation of casualties that might be incurred during an earthquake in the region has not taken into consideration
the different types of buildings and the presence of the population in the different structures at different time-frames.
The research employs the semi-empirical approach to estimate the surviving casualties and fatalities that might be
caused by a potential earthquake. The city of Tiberius and its surroundings are used as the case-study to develop the
model that will then serve as the basis for estimating the overall number of casualties that might be caused in the
country.
2. Background
2.1 Natural Risk Assessment and Management
In general, risk mitigation actions include risk avoidance, reduction, transfer and acceptance, which lessen the
impact of risk by dealing with its corresponding components of the risk. A large number of researches have studied
the loss estimation and corresponding risk mitigation actions in seismic-active areas. For instance, risk avoidance is
to reduce the impact of risk by the means of shunning the exposure at risk, as depicted in Fig.1 through actions such
as urban plans by not allowing properties to be built on the areas which is consider as being at high risk (Wang
2012). For another example, as also depicted in Fig.1, one of the common countermeasures of risk reduction is to
reduce the vulnerability of building stock by retrofitting structures to higher standard (Erdik et al. 2010). However,
risk reduction can also be conducted by non-engineering means to lower social vulnerability such as enhancement in
public education and awareness of risk (Nirupama and Maula 2013) (Siagian et al. 2014).
For an area with low hazard (e.g. infrequent severe earthquakes), it in fact could be exposed to high risk as a result
of its high vulnerability of built environment due to the lack of seismic design and mitigation actions, and lack of
public perception and preparation. In addition, the high exposure of interest at risk like population and assets also is
another reason making the area at high risk. Therefore, it is obvious that even a low hazard would cause disastrous
consequences in terms of social and economic losses. Due to implementation of risk mitigation actions, such as
upgrade building seismic resistance, community one has lower risk comparing to community two which has no
mitigation action, although community one has higher potential impacts from earthquakes. Fig.1 also shows how
mitigation actions can help reduce risk in the areas subjected to significant risk, and also how areas with moderate
hazards could be subjected to significant loss due to a lack of mitigation plan.
Risk
Risk
Avoidance
Hazard
Exposure
Hazard
Exposure
Response
Transfer
Vulnerability
Vulnerability
Reduction
Fig. 1 Risk Assessment Model
494
2.2 Seismic Hazard in Tiberias, Israel

Tiberias was reported to have been hit by earthquakes several times in its history. Much of the damage had been
documented in historical sources that were written by different authors and in many languages (e.g. Ambraseys
2009; Guidoboni & Comastri 2005). Ideally, comprehensive characterization of past events is better achieved if
based on reliable and complete historical sources. However, this is almost never the case whereas considerable share
of the sources are doubtful and ought to be screened carefully with a critical approach. Thus, we have graded the
reliability of the historical reports and apply a level of authentication to each entry of the events and the damage it
caused (Zohar et al., 2013). The result is a compiled list of events that probably hit Tiberias and its close vicinity
during the last 2,000 years (Fig.2). The list shows seven reports (363, 749, 1546, 10/1759, 11/1759, 1837, 1927) that
mention damage in Tiberias, as well as four others between the 8th and 16th centuries (1033, 1057, 1070, 1202) that
do not mention Tiberias but affected strongly nearby locations and thus may be considered as if having hit Tiberias
as well. Overall, it is reasonable to assume that Tiberias was most probably damaged at least eleven times since its
establishment in 19 CE with irregular intervals of time between the events. The average repeat time would be at the
range of ~185 to 150 years, depending whether the counting starts from the first event in our list (31 BC) or the first
mention of reported damage in Tiberias (363 CE), respectively (Fig.3). Since there is no sign of change in the
geology and tectonics of the region, it is reasonable to assume that the seismic activity of the last two millennia will
continue in the near future. Thus, the experiences of the past damaging earthquakes are extrapolated for hazard and
risk assessment to the future.
Figure 2. Damage Recurrence and its Severity in Tiberias during the Last 2000 years
Figure 3. Temporal distribution of damage in Tiberias during the last 2,000 years. Green bars represent events that reported to damage Tiberias
while the blue bars represent events that caused damage around Tiberias but Tiberias was not mentioned explicitly.
495
3. Methodology
3.1 Risk Assessment Models and Tools
Loss estimates are a key tool in prioritizing the allocation of limited resources, as well as preventing the cascading
effect of events, which can exacerbate the initial effects of a disaster. Hypothetical scenarios provide references for
emergency response training exercises, response plans, and resource assessment. Effective emergency response
depends on quick and precise estimates of extent of damage and magnitude. Advanced loss estimation programs can
provide managers with quantitative loss projections for planning purposes, including cost benefit analysis of building
codes and proposed mitigation efforts. After an event, loss estimation programs can provide answers at the critical
time when the damage extent and distribution are unclear (Levi et al., 2010). Earthquake risk is defined by 1). the
occurrence probability of a seismic event, 2). the exposure of people and property to the event, and 3). the
consequences of that exposure. Based on this definition of risk, several earthquake losses estimation tools, integrated
with geographic information system (GIS) has been developed for three different models for their use of purposes
(Yeh et al., 2006). These three models of earthquake risk assessment may be classified into three categories 1). Realtime, 2). Scenarios, and 3). Probabilistic. Real-time loss assessment model helps to obtain estimates of seismic
hazards and losses soon after the occurrence of earthquakes (Yeh et al., 2006). These involve the generation of real
time ground motion estimation maps as products of real-time seismology and/or generation of alarm signals directly
from on-line instrumental data (Erdik et al., 2011). Many real-time loss assessment tools have been developed for
rapid loss assessment to assist emergency decision-making, such as PAGER (Wald et al., 2008; Earle et al., 2008)
and NERIES-ELER (Earle et al., 2009). Secondly, scenario assessment tools, such as HAZUS, help to simulate
earthquake scenarios and to provide useful estimates for local governments or public services to propose their
seismic disaster mitigation plans. Third, probabilistic tools, like TELES (Yeh et al., 2006), helps to provide
catastrophic risk management tools, such as proposing the seismic insurance policy for residential buildings and
developing public policy towards the preparedness to seismic scenario.
3.2 Casualty Loss Assessment
To estimate the casualties in earthquakes, three common approaches have been developed and partially used in
different tools mentioned above, which includes 1) empirical, 2) analytical, and 3) semi-analytical models. In regions
that have experienced numerous earthquakes with high fatalities history, typically in developing countries with dense
populations living in vulnerable structures, enough data exist to calibrate fatalities from the historical earthquake
record alone (FEMA, 2008). In such regions, building inventories are typically lacking, as are systematic analyses of
their vulnerabilities; hence, analytical tools are inadequate for loss estimation. In contrast, in the most highly
developed countries, particularly those with substantive building code implementation, structural responses are more
easily characterized analytically and their distributions and occupancy are more readily available (Jaiwal et al.,
2010). Due to the success of such building codes, for the purpose of fatality loss modeling, this category of countries
typically has had relatively few fatal earthquakes, making it difficult to use empirical calibration from past events
alone. In such cases, fatality estimates are largely informed from analytically-derived collapse rates and inferred
fatality ratio given a structural collapse (Jaiwal et al., 2011). The key distinction between the semi-empirical and
analytical methods is that the semi-empirical method uses intensity-based, collapse-probability functions primarily
derived from expert opinion while the analytical method uses physics- and engineering-based collapse-probability
functions obtained using spectral response and the capacity-spectrum approach.
4. Results
A case study was conducted to illustrate the proposed methodology. The case study illustrates its application to
the evaluation of number of fatalities and repair cost at the four possible seismic-damage states of an individual RC
building. Meanwhile, HAZUS seismic-loss estimation was employed to obtain the expected number of buildings,
within the inventory of RC buildings in the city of Tiberias, which would be in each of these four damage states
following each of 12 hypothetical seismic events. The casualty and economic losses were evaluated for a typical
three-story, two-bay old RC residential building with a total floor area of 600 m2 in the city of Tiberias. We chose
496
this building type for our first case study because, having been built before 1980 when the first Israeli national
seismic building code was enacted, it embodies a high level of seismic risk.
Accurate and well organized demographic data is the basis for proper casualty estimations. Casualties are
calculated at the census tract level. The building stock for each tract is distributed into basic groups of residential,
commercial, educational, industrial, and lodging. Specific information on the demography, such as the number of the
residential population during the day and that at night, enables a better estimate of the expected casualties. In order to
provide advance estimates of the demographic (e.g., number of shelter needs) and economic losses, it is necessary to
assign complete demographic data to the census tracts (FEMA 2008). Since the demographic data available in
Tiberias were incomplete (e.g., distribution in the census tracts of those working in commercial and industrial
occupancies based on time of day), the process of completing the demographic data was carried out by data
collection from the Central Bureau of Statistics calculations based on a number of statistical parameters (e.g.,
population density and population working in the commercial and the industrial sectors; number of visitors in the
hotels). The number and severity of casualties are strongly related to the extent of both the structural and nonstructural building damage (Erdik et al. 2005). Therefore, in HAZUS and in other kinds of such a software, one of
the major inputs necessary for earthquake casualty estimation is the correlation between the number and severity of
injuries and the damage level of the structures. As a result, Fig.4 shows the Average annual losses by buildingdamage states; Fig.5 shows the average annual losses by repair costs attributed to damaged buildings, and Fig.6
displays the average annual losses by number of fatalities.
$30,000
C3L-PC
60.0
C3L-LC
40.0
C3L-MC
20.0
0.0
Slight
Moderate
Extensive
Complete
$25,000
Extensive
$20,000
Moderate
$15,000
Slight
$10,000
$5,000
Complete
Fig. 4 Average annual losses by building-damage states
$0
C3L-PC
C3L-LC
C3L-MC
Fig. 5 Average annual losses by repair costs attributed to damaged

buildings
50
# of fatalities
Repair cost (103)
# of buildings
80.0
Complete
40
30
20
10
0
C3L-PC
C3L-LC
C3L-MC
Fig. 6 Average annual losses by number of fatalities
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Visualization, Building Information Modeling
4D/BIM simulation for pre-construction

and construction scheduling.
Multiple levels of development within a single case study.
Conrad Boton1, Sylvain Kubicki2 *, Gilles Halin3
2
1
cole de technologie suprieure (ETS), 1100, rue Notre-Dame Ouest, Montral (Qc) Canada
Luxembourg Institute of Science and Technology (LIST), 5, avenue des Hauts-Fourneaux, L-4362 Esch/Alzette, Luxembourg
3
MAP-CRAI, ENSA Nancy, 2, rue Bastien Lepage, 54001 Nancy, France
Abstract
4D modeling has been an applied research area for around two decades since the first seminal works. In the last years, a number of
case studies have been published both for demonstrating the various applications of 4D and for assessing technological propositions.
However, in most papers only little place is given to the particular content of 4D models. In parallel, following the growing
implementation of Building Information Modelling, 4D is usually recognized as a BIM use. In BIM protocols, the Level Of
Development of datasets is a fundamental issue. This paper describes two distinct 4D uses conducted on a single pilot project. They
aim to assess the levels of graphical and temporal details required for the implemented uses. The authors finally discuss the diversity
of 4D uses with 4D models, both planned or ad-hoc, as well as the logical understanding related to 4D LOD.
Keywords: 4D simulation, Construction scheduling, BIM, LOD, Case study research
1. Introduction
4D simulation consists in linking construction activities in a planning to 3D objects in a building model in order to
simulate the construction process over time. 4D simulations can be used at different stages of a construction project to
analyze the design and its constructability, as well as for construction planning and monitoring [1, 2]. The 4D
simulation concept was introduced before the advent of Building Information Modeling (BIM) [3] but gained from
the development of BIMs three-dimensional models. BIM is a recent approach to object-oriented modeling and
integration of multi-dimensional construction data. In the last years it is also more and more related to efficiency and
quality of digital information exchanges fostering collaboration between construction practitioners.
It could be mentioned that the adoption rate of 4D simulation by construction practitioners remains low [46].
Although it is increasingly used in wide-scale or very specific building/engineering projects, there are quite a few
feedbacks from experiments on regular projects. One must say that it is a young technology that still has to be adapted
to the real business needs [7]. In particular, if 4D modeling fits with traditional Anglo-Saxon approaches to project
management, it is not exactly the case in the French nor Luxembourgish construction management culture. One of the
main issues is related to the level of detail of the information comprised in Building Information Models, which should
fit to the expected 4D usage performed practitioners. This is a particularly complex issue because 4D simulations
incorporate both 3D models objects and construction activities schedules. It must therefore manage both the graphical
* Corresponding author. Tel.: +352 275 888 1; fax: +352 275 885.
E-mail address: sylvain.kubicki@list.lu
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level of details and the temporal level of detail [8]. In addition, levels of detail must match to business needs
corresponding to the usage of the model at different stages of the construction project. In the BIM approach, the term
level of development (LOD) is widely used to show that detailing is not only about geometry but also deals with
non-graphical information.
This paper presents a multi-phases and multi-LOD 4D case study on a construction project in Luxembourg. The
theoretical background, the context, the study and its main results are presented. A discussion is finally provided about
the findings.
2. Related works
Case studies using 4D simulation have been reported in literature. In 2002, Dawood et al. used two real life case
studies in order to introduce a new approach of extensible 4D simulations development. Their aim was to assess the
Man-Hours input necessary to run the model prototype. The two cases studied are a school of health project (a complex
project) and a primary school project considered as a simpler project [9]. They concluded that man-hours increase
according to availability of design information.
In 2011, Hartman reported an ethnographic-action research experiment on safe planning of hospital renovations
based on 4D models and proposed a method to develop hospital construction process based on 4D simulation [10].
Olde Scholtenhuis and Hartmann presented a second experimentation in 2014 [11]. Using the same ethnographicaction research approach, the researchers explored the influence of scheduling purpose changes on the 4D-model setup.
Thus, they studied how practitioners iteratively implemented and used a real-life 4D model. As result, they observed
that identifying tasks, allocating resources and communicating among stakeholders are the main purposes at planning
stage. Planning logistics, studying dependencies between tasks and mitigating delay are the main focuses of jobsite
scheduling. Other recent experiments have been reported including those related to the use of 4D simulation to support
workspace conflict analysis [12], path analysis [13], construction quality inspection [14] and fall hazard identification
[15].
All these experiments are of course very informative but do not focus on the particular issue related to LOD. But
the question of the level of development was only quickly addressed in the 4D research works. In 2000, Koo and
Fischer noted that 4D models convey a unique perspective of the project, i.e. related to scheduling, with a dedicated
LOD. According to them, it does not enable the various practitioners involved in the project to use the 4D model for
other needs. These authors studied the feasibility of 4D simulation in commercial buildings and concluded that users
should be able to generate models with different LOD, in order to rapidly explore different alternatives [16].
The principle of LOD is to specify the information that the model must contain according to its use at the different
stages of a project lifecycle. Numerous definitions were proposed in the context of BIM implementation or BIM
guidelines [1719]. The American Institute of Architects (AIA)s project BIM protocol is one of the most cited. It
defines five levels of development: LOD 100 to LOD 500 [18]. An intermediary level (LOD 350) has been proposed
between LOD 300 and LOD 400, to support coordination between different trades [17].
To address the question of the LOD required for particular phases in construction lifecycle, Kriphal and Grilo [20]
made a state about the compatibility between design and construction building information models. According to them,
the LOD grows during the design phase, and reaches its peak during construction. They then stated that level of
detail for design BIM focuses on geometric complexities, while in construction BIM it specifically focuses on the
construction resources including equipment, materials, labour and productivity.
In the following parts, the authors characterize development levels on the basis of these LOD definitions. The
research approach is quite similar to the ethnographic-action research approach used in previous research works [21].
3. A multi-LOD case study: The NeoBuild Innovation Center
The NeoBuild Innovation Center (NIC) is a building project planned to host the team of NeoBuild, an innovation
cluster for sustainable construction in Luxembourg. The NIC project is highly experimental and the building is
designed to support different forms of activities related to construction research, experimental and educational
purposes. The construction started in April 2013. BIM has been implemented in the project for multiple purposes: 1)
to experimentally model the building, 2) to provide accurate information for the construction site monitoring as well
as 3) to include technical assets data required for further facility management. This article focuses on the aspects related
to 4D simulation. The 4D experiment presented here was conducted in two parts during the project development: the
first part at pre-construction phase and the second part during the construction phase.
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3.1. Part 1: 4D simulation at pre-construction phase

The first part of the experiment aimed to study the constructability of technical design choices and to anticipate the
sequencing issues in early design stage of the project development. The design work was not entirely over at the time
of developing the 4D simulation. In particular many technical details were still to be defined but it did not really impact
the results of this part of the experiment which was conducted at a low LOD. The main actors involved in the
simulation were the architect, the structural and energy engineers, the project manager (technically skilled in this
project) and the 4D modeller.
Among the 4D simulation goals identified by Kriphal and Grilo [20], three goals appear more or less clearly in this
part of the experimentation: planning (pre-construction planning), visualization and analysis. It consisted in realizing
a first sequencing of the construction activities over time on the basis of a rough schedule produced by the architect,
in order to spatially visualize the construction sequences, and to analyse the technical constructability, the possible
clashes and the other issues in collaborative team meeting sessions. A particular analysis studied the front wall
construction steps and the interface between the sealing and the glazed wall.
The 3D model was created using SketchUp at LOD 200 on the basis of architectural design drawings imported from
ArchiCAD. The volume and the orientation of the building were precisely modelled but many other 3D elements were
approximated. The activities sequencing was done directly within the 4D Virtual Builder plugin for SketchUp.
Results and details are directly exported as slides in MS Powerpoint format. The front wall and the glazed wall were
modeled at LOD 300. This made it possible to analyze the wall construction (Figure 1a) and to study with more details
the interface between glazed wall and the sealing (Figure 1b). The 4D simulation at this stage made it possible to note
that the stairwell and the atrium were planned to be built at the same time, after the construction of the main building
and removal of scaffolding. This obviously highlighted an issue for allowing workers to access to the upper floors of
the building, as well as to the roof (Figure 1c).
Figure 1: Illustrations from the pre-construction model
3.2. Part 2: 4D simulation at construction phase

The main purpose of the second part, which was developed in parallel with the evolution of the construction, was
to control and coordinate the project, to simulate logistics and manage construction site areas, but also to study more
finely some construction details. Apart from the architect, the project manager and 4D modeler, others actors
participated in the realization of this part. These actors are the BIM manager, the MEP specialist and the site manager.
Many of the goals identified by Kriphal and Grilo [20] appeared in this part of the case study: visualization, analysis,
documentation, coordination, planning and control. The aim was to plan, control and coordinate the construction by
the various trades, to visualize and analyze conflicts and clashes in models before construction, to analyze and
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document logistics management (cranes, scaffolding, restricted areas, etc.). In particular the team aimed also to study
in a more detailed way the components of the front wall.
Four models were developed. First the architectural model was created with RevitTM. The level of development of
the architectural model was LOD 350, but the front wall was modelled at LOD 400. At the same time, a HVAC model
(LOD 200) was created using Plancal NovaTM and improved to level 300 (through addition of parameters) with Revit
MEPTM. Moreover, the architectural model was the basis for the creation of a fourth model with RevitTM: the logistic
model (LOD 100) with generic logistics elements. The macro schedule proposed by the architect has been detailed in
MS ProjectTM. All these files have been imported into NavisworksTM to create the 4D model.
Some clashes were identified. For example, some HVAC elements were not at the right height level and generated
overlaps with the ceiling (Figure 2a). For logistics management purpose, restricted areas, worksite huts and garbage
collection areas were indicated (Figure 2b). The cranes and scaffolding movements were also studied and optimized.
The construction of the front wall was studied with accurate details (Figure 2c). The aim here was about the
construction sequence of wooden wall, which is built through many steps involving multiple subcontractors (i.e.
woodwork, insulation, and cladding). Moreover windows had to be installed in two separate processes, during and
after the assembly of the wall itself. A smooth coordination among actors was then necessary to drill accurate
reservations within walls and to ensure that the openings on the wall fit the windows dimensions. This kind of situation
often causes issues because of a lack of coordination. In our case, the woodwork subcontractor has been obliged to
come back many times to adjust the chambers. The 4D simulation was useful to model the components of the wall, to
find the optimal construction sequencing and to provide visual support for contractors.
Figure 2: Illustrations from the construction phase model
4. Discussions
4.1. About the work time investment for the case study
In the pre-construction case study, the modelling of architecture components was the most time-consuming effort
because data imported from architects BIM authoring software was not correctly retrieved in SketchUp mainly
because of errors in the way the software was used. Numerous adjustments was required for correctly linking 3D
objects to schedule tasks. The modelling of logistics elements took very less time because logistic model consisted in
a few generic logistic elements at LOD 100, mainly retrieved from the Sketchup 3D Warehouse.
In the construction phase case study, only the logistics model was created by the 4D modeler. The others models
were already created for other purposes in the framework of the BIM approach. It took more time to create the 4D
model than in the first part of the case study mainly because the number of elements and details was higher. Although
this part aimed to manage more elements and was much more accurate, we noted that it was less time-consuming than
the first part. This is because 4D simulation was fully integrated in a wider BIM development workflow where the
coordinated architecture, MEP and structure models used had been prepared in previous BIM processes and were
reusable by the 4D modeler.
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4.2. About the graphical LOD

Overall, the level of development was between LOD 200 and LOD 300 at pre-construction phase and between LOD
100 and LOD 400 during the construction phase. Compared to the Kriphal and Grilo work [20], it is confirmed that
the level of development required for the construction phase is higher than the level used at pre-construction stage. But
the assumption that a single LOD is sufficient is not justified, particularly during the construction phase. Indeed, if the
analysis and planning have used a unique level of development for the two phases, it was not the same for visualization,
coordination and documentation for which different levels of development were necessary depending on the 4D model
purpose and the particular construction issues that arised during the construction and modeling processes. What
determines the choice of levels of development seems to be the usages and the simulation needs which are not uniform
throughout the building development phases and also specific to the project and constructive system.
In addition, the models developed by different stakeholders often present different levels of development. Specific
issues discovered during the construction process can also require 4D details to be modeled on very limited areas of
the project model, either with more or less details (from LOD 100 to LOD 400). Of course, the owner may prescribe a
uniform LOD for coordination goal (i.e. LOD 350 according to the BIM Forum working group). But, as observed in
our cases some simulation needs may require to model with more or less details a few elements without this given
level of development being necessary for the entire model.
4.3. About the temporal LOD
Managing the correspondence between the graphical LOD and the temporal LOD is not a trivial issue in 4D
simulation. In the first part of the experiment (pre-construction phase) only a rough schedule was available, as shown
on Figure 2. Approximated sequences of construction process were proposed by the 4D modeler mainly based on the
major changes from one step to another and not on dates nor milestones or work breakdown structure. The temporal
LOD was therefore derived from the 3D model LOD. But a detailed planning was made available from the beginning
of the second part of the case study (construction phase). It was a macro planning with a very low LOD, showing the
major stages of the construction process. The Project Breakdown Structure elements were not at the same LOD as the
3D models elements. In addition, the site manager had a more detailed schedule but it did not cover the whole
construction process. It was therefore necessary to the 4D modeler to define an additional work sequence representing
detailed activities in order to make them correspond to 3D models elements.
The creation of this detailed planning has led to a considerable workload. To the extent of our knowledge, this is
mainly due to the lack of guidelines for managing temporal LOD requirements. Indeed, it was necessary to export a
selection sets nomenclature from 3D model, to sequence the activities corresponding to these selection sets, and to
validate the sequences with the site and project managers. It was then also necessary to import the new schedule in
order to link construction activities to 3D building elements. This suggests that it might be interesting to define
standardized temporal LODs which correspond to the graphical LODs of BIM approach. The ultimate goal can be the
creation of standardized 4D LOD, as combinations of graphical LOD and temporal LOD. The seminal research
performed by Aalami et al. [22] can be a very interesting starting point.
4.4. About the bidirectional exchange between the construction site and the model
The second part of the experiment took place during the construction phase. It was a situation of interesting
bidirectional communication and exchange between the 4D model and the construction site. It was then possible to
study on the model a number of problems and to anticipate them before they appear on the construction site. But the
model also benefited from feedbacks from the site. Indeed, some problems appeared on the construction site before
being studied on the model. In such cases, the feedbacks from the site made it possible to run simulations on the 4D
model in order to analyse alternatives, to choose the best solutions to apply on site, and to update the model. For
example, it was the case of the front wall construction (see Fig. 2).
Some problems on the site could not be solved with the 4D simulation because of the limitations of the software
features. For example, the site manager wanted to automatically generate cable-trays according to the position of cranes
and space constraints of the site. The aim was to ensure that electric power supplying was still possible especially when
mobile cranes were at some particular locations. This feature was not covered by the software used. A solution of nonautomatic cable-trays has been used.
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5. Conclusion
This paper reported a 4D simulation case study conducted on the NeoBuild Innovation Center project in
Luxembourg. The first part of the experiment was conducted at the pre-construction phase and aimed at studying the
constructability of technical choices and at anticipating sequencing issues in collaborative team meetings. The second
part was conducted during the construction phase and the aim was to coordinate the site work, to simulate the logistics
and site areas but also to analysis more precisely some construction details.
It was shown that it is required to manage multiple graphical LOD corresponding to the different usages of the
model either expected (i.e. required) or unexpected (ad-hoc analysis with the model). Moreover different parts of the
model came from different actors with different LOD. The graphical LOD necessary for construction phase is higher
than the graphical LOD at pre-construction phase. Uniformed temporal LOD should be proposed and validated in order
to define LOD for 4D/BIM purposes, a first step towards models sharing among 4D tools. The bidirectional exchange
between the construction site and the 4D model in the second part of the experiment was another very interesting
finding.
In future works, authors will work on the issue of 4D LOD specifications, including temporal LOD description and
correspondence between temporal LOD and existing graphical LOD in BIM approaches.
Acknowledgements
The authors thank NeoBuild, the innovation cluster for sustainable construction in Luxembourg, and its team for
the support provided to this research.
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Koo, B., Fischer, M.: Feasibility study of 4D CAD in commercial construction. J. Constr. Eng. Manag. 126, 251260 (2000).
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The U.S. Army Corp of Engineers traditional design review vs. A

BIM review: A case study
Miranda Griffin, Scott W. Kramer, Ph.D.*
118 M. Miller Gorrie Center, Auburn University, Auburn Alabama 36849 USA
Abstract
In the current turbulent funding environment, it is important that the U.S. Government spends every construction dollar wisely and
does everything possible to get the best rate of return on those dollars. It is essential that cost control is managed during the design
and construction phases of a project. The United States Army Corps of Engineers (USACE) recognized that having construction
documents that are easily understood, free of design errors and omissions and met the needs of the customer saved time and money
during the construction phase of the project. Because of this realization, USACE developed a formal design review process known
as Bidability, Constructability, Operability and Environmental (BCOE) reviews. The BCOE review process has three goals (1)
Identify problems related to errors, omissions, and inconsistencies that would keep contractors from bidding on a project; (2) Identify
inappropriate construction methods and materials that would increase construction cost; (3) Identify building systems and
components that would result in buildings that are difficult to maintain and operate. This case study was performed to analyze the
effects of the Bidability, Constructability, Operability, and Environmental (BCOE) review process and Building Information
Modeling (BIM) on a complex construction project managed by Mobile District, USACE. It was determined that performing the
BCOE review ensures code compliance and customer requirements but BIM modeling easily identified design errors and conflicts.
Keywords: BIM; Constructability; Design Errors; Project Delivery
1. Introduction U.S. Army Corp of Engineers BCOE Review Process

The United States Army Corps of Engineers is mandated to perform a bidability, constructability, operability and
environmental (BCOE) review for all construction projects [1]. Constructability and bidability are defined as the ease
with which a designed project can be built and the ease with which the contract documents can be understood, bid,
administered and executed. Operability is defined as the ease with which a project can be operated and maintained.
An environmental review is performed to assure the protection of land, water, animals, plants, air and other natural
resources from the effects of construction as stated in the environmental assessment. Also, the operation of the
constructed project must protect the environment as stated in the environmental assessment. The purpose of the BCOE
process is ensure efficient construction that is environmentally sound, to minimize cost and time growth, to avoid
unnecessary changes and claims, as well as to ensure safe, efficient operations by the user [1].
The assigned reviewers are required to enter their review comments into the Automated Review Management
System (ARMS). The PM collates the comments and sends them to the responsible design Architect Engineer (AE)
firm. The AE firms provides copies of the comments to their sub architect engineer firms- electrical, mechanical,
structural, and specialty systems. The AE firm and the sub architect engineer firms reviews the comments presented
Tel.: +1-334-844-4518; fax: +1-334-844-5386.

kramesw@auburn.edu
506
by the assigned reviewers and prepares a response for each comment. The PM coordinates a meeting to be attended
by the assigned reviewers, AE firm and sub architect engineer firm, and project management personnel. During the
meeting, agreement is reached between the AE firm and the person who made the comment of the action required in
response to each comment. Either the AE firm clarifies that the design as presented is correct or the AE agrees that a
change should be made to the design documents. This process continues until the final design has been corrected per
the final design review meeting. After the approved final design is presented to the PM from the AE firm, the contract
documents are put out for the construction contractors to bid.
2. Background Information for the Case Study
The 7th Special Forces, Phase I Military Construction project is a project that is part of the Base Realignment and
Closure Program (BRAC). The project involves the construction of the entire compound on a virgin site for the Armys
7th Special Forces Group. As part of the BRAC program, the 7th Special Forces Group was slated to move their function
to Eglin Air Force Base, which houses many other Special Forces group, in an effort to maximize joint training of all
the Special Forces components. Phase I includes the construction of eight facilities, two elevated water towers, an
underground communications and power distribution system, asphalt roads, a new intersection at Highway 85 and the
clearing of 350 acres.
Of the eight facilities constructed, four were designed by one Architect Engineer (AE) firm coded AE1. The
remaining four facilities were designed by another AE firm coded AE2. The facilities designed by AE1 were four
different facilities: Group Headquarters (GHQ), Group Support Battalion (GSB), Dining Facility (DF) and Combat
Training Readiness Facility (CRTF). The four facilities designed by AE2 were four Battalion Headquarters (Batt HQ)
that were exactly the same, so AE2 was responsible for only one design. The site work design was performed by one
sub-architect engineer firm for the entire project. AE1 and AE2 worked with this sub-architect engineer firm to design
the layout of the compound and to design all of the exterior systems to the facilities like the communications, power,
storm water, and roadways. Each of the facilities has multiple electrical and mechanical systems within them. Each
facility has a fire protection system, Heating, Ventilation Air and Conditioning system, Access Control system, and
plumbing. The Batt HQ, GHQ, and GSB have weapons vaults and a Secure Compartmentalized Information Facility
(SCIF). The Dining Facility is a complex design of its own because a food kitchen consultant must work with the AE
to coordinate the mechanical systems within the food kitchen equipment with the mechanical systems of the building.
AE1 decided of his own accord to use BIM for each of the facilities that were his design responsibility. However,
he was not able to use BIM for the other disciplines, electrical, mechanical, structural, because the sub architect firms
did not have the BIM software and were not trained on how to use it (AE1, personal communication, November 17,
2012). AE2 did not use BIM for any portion of his design.
The design concept of Phase I began in 2007. The average time from design concept to actual construction
completion for the United States Corps of Engineers is five years. Because the project was a BRAC project, there was
a definite completion date of September 15, 2011. However, there was an uncertainty of when the actual construction
could begin because the site selection was held up in an environmental assessment with another project that was being
challenged by the community. The AE firms were instructed to design the facilities without having a firm site selection.
The Corps of Engineers continued the normal BCOE process and completed the design of each facility. When the site
selection was finally completed the sub AE firm worked with each of the AE firms to finalize the layout of the
compound and the location of each facility within the compound.
The construction contract was awarded in January, 2009. The contract amount was $154,683,000. As stated earlier,
the contract had a congressionally set completion date of September 15, 2011 which gave the contractor a construction
time of two years and nine months to build eight facilities plus the power, communications and site infrastructure.
Recognizing that the construction time had been significantly reduced, Mobile District, USACE decided to implement
BIM during the construction phase. Because of funding, the BIM model of the facilities and the infrastructure was
delayed at the onset of construction by four months. When the modeler was able to start the BIM models of the
buildings, requests for information (RFIs) were generated to address the design errors that were detected by the BIM
software.
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3. Rational for the Case Study

Mobile District, USACE has a robust military construction program. Each year billions of dollars are used to
construct facilities for their military customers. Because of the national budget crisis, funding for military projects is
highly competitive and the customers want the greatest return on their investment through cost effective design and
construction processes. Controlling the time and cost growth of the project during the construction phase is very
important to having a successful project. For many years, USACE has used the BCOE review process to eliminate as
many design omissions and errors as possible during the design phase. Using the traditional BCOE approach, the
designers, reviewers and builder are limited to using the two dimensional (2-D) drawings/views [2]. Using BIM, the
designer creates an accurate geometric representation of the facility that is data-rich and facilitates collaboration among
the designer and the reviewers. The BIM model is a common model of the facility that each person uses to either
create their portion of the design or to use the software to analyze the design. Once the final BIM model is signed off
on, the design is locked and can be transferred to the constructors for the construction phase. Since the BIM model
can be used for virtual visualization, the constructors can use it to plan the most time efficient construction schedule
for the project. The traditional BCOE review process stops at the design phase and is of no benefit to the constructors.
BIM has the benefit of being used to same time during the design and the construction phase. Saving time and cost
during the life-cycle of the project is of major importance to UASCE and our customers. Because using construction
funding wisely is crucial as funding for construction projects becomes more competitive, USACE can show their
customers that we are taking a proactive approach to finding effective management of this problem by investigating
how BIM and other tools can be used to improve our construction process.
4. Data & Analysis
BCOE REVIEW COMMENTS BY BUILDING & DISCIPLINE
35% REVIEW
65% REVIEW
FINAL REVIEW
Table 1
Discipline
GHQ
DF
GSB
CRTF
BATT HQ
GHQ
DF
GSB
CRTF
BATT HQ
GHQ
DF
GSB
CRTF
BATT HQ
Facility
Mech
Architect
Elect
Plumbing
Structural
Fire Prot
Total
9
103
59
3
7
13
194
10
37
12
0
14
15
88
16
68
50
3
9
14
160
10
23
25
5
29
13
105
13
104
59
3
15
23
217
26
101
138
2
22
21
310
19
23
18
0
14
0
74
6
44
76
9
19
16
170
16
68
50
3
9
14
160
14
126
94
4
49
35
322
25
131
184
4
7
3
354
3
11
14
0
0
18
46
11
46
49
0
15
0
121
1
34
46
6
6
2
95
19
126
79
3
18
25
270
Table 1 depicts the number of comments by trade and by facility given by the reviewers during the three phases of
the BCOE review process. As stated earlier in this paper, the civil/site work design was not completed until it was
time to advertise the project for bidding and did not have a BCOE process. There are no comments for the civil/ site
work design. The number of comments given for the GHQ and Batt HQ from the 35% review to the final design
remained almost the same indicating that either the original comments revised the design in such a way that each time
the design was presented it appeared like it was new design, the design was not back checked per the comment or the
designer did not sufficiently correct the design per the original comment. If this facility were modeled during the
design phase using BIM, the designer could have made the change per the comment in real time and collaborated in
real time for accuracy and clarity to resolve the review comment. The steadiness of comments for these two facilities,
also, was an indication that the documents for these two facilities would create the greatest difficulty for the contractor
to understand during the construction phase. This fact is shown in Table 2 by the number of RFIs that were generated
using BIM. Both the GHQ and Batt HQ have the two highest numbers of RFIs.
The disciplines that have the three highest numbers of RFIs are architecture, structural and electrical. Two of these
disciplines had the highest number of comments during the BCOE review. This indicates that the traditional BCOE
process did not resolve whatever the issues were for these portions of the design. Whatever the errors were, the BIM
modeler found them and quickly identified them for correction. If the error was identified early enough in the
508
construction phase and no additional materials were needed, no additional cost was involved with making the change.
If the response to the RFI, required the re-order for material that was either already onsite but not installed, the
Government was assessed a cost for re-procurement. In a worse case, material actually installed, the Government was
assessed a cost for re-procurement, re-work and overhead for time impacts. The installation of the structural steel and
the electrical conduit for the security system for the first Battalion Headquarter facility was a worse case situation. The
responses to the RFIs for the structural steel installation of the Battalion Headquarters would result in a new conflict
and a new RFI to describe the new conflict. If the designer was using BIM, the conflict could have been resolved
quicker and without creating a new conflict because the clash detection ability of the software would have identified
any conflicts when the object was moved. The BIM modeler could have identified what correction was needed but in
the contract arrangement the modeler was not to perform any design, only identify where the conflicts were in the
design.
Request for Information (RFIs) by Building & Discipline
GHQ
GSB
CRTF
DF
BATT
INFRASTRUCTURE
HQ
TOTAL
Discipline
Architect
Structural
105
40
61
14
91
14
71
25
177
457
6
0
511
550
Mech
Elect
Fire Prot
Plumbing
Concrete
Civil/Site
Total
32
100
11
18
1
0
307
15
70
7
10
2
0
179
15
70
7
10
2
0
209
25
75
11
26
1
0
234
65
123
12
27
7
0
868
1
32
0
1
4
25
69
153
470
48
92
17
25
1866
Table 2
Facility
Comment
50% of these are

resubmissions.
Table 3 shows which portion of the design had the most changes and the cost for those changes. The CRTF and the
Dining Facility had the least number of changes and the lowest cost for changes. These two facilities also, had the two
lowest numbers of comments during the BCOE review process. The two things that the two facilities did not have that
the others did have are a weapons vault and a SCIF. A SCIF requires careful coordination between the electrical,
mechanical, structural, and architectural designers. The structural steel for the walls of a SCIF has a precise layout
requirement that must be met for it to be certified for its intended use. The steel design sets the precedence for how
the remaining items are designed for the SCIF. An error in the steel design starts a domino effect on the remaining
design of the SCIF. The numerous structural steel errors of the Battalion Headquarter facility caused a change order
late in the construction phase that caused an expensive change for the electrical installation. The electrical conduits
were installed but the design correction required them to be removed and re-installed.
Table 3
# of Changes by Facility &

Discipline
$ Value of Changes by Facility & Discipline
GSB
CRTF
DF
BATT. HQ
Infrastruc.
Discipline
Mech
Architect
Elect
Plumbing
Structural
Fire Prot
Concrete
Civil/Site
Total
GHQ
Facility
4
6
9
2
8
4
0
1
34
4
5
4
0
2
1
0
0
16
4
2
2
0
4
0
0
0
12
5
6
2
3
0
1
0
0
17
20
33
14
0
19
1
1
1
89
0
0
6
4
0
0
1
28
39
GHQ
GSB
CRTF
DF
BATT
HQ
Infrastruc.
51,763
1,11,196
876,704
58,468
380,235
169,024
0
-93,938
1,553,452
52,892
353,407
357,271
0
38,519
53,258
0
0
855,347
46,529
8,835
73,213
0
3,158
0
0
0
131,735
74,458
78,772
73,213
72,189
0
58,526
0
0
357,158
292,766
685,180
6,554,776
0
685,180
291,277
20,836
40,879
8,570,894
0
47,221
732,519
205,348
0
0
23,823
9,574,666
10,794,577
509
The portion of the design that had the second highest number of changes but the highest cost was the infrastructure.
The infrastructure design was completed late in the design phase and did not go through the formal BCOE process.
However, in this instance the BCOE review process would not have helped to eliminate most of the changes that
occurred on the infrastructure because the changes were related to environmental permitting. The Florida Northwest
Florida Water Management (NWFWM) department mandated most of the changes for the infrastructure design. The
changes were related to meeting their standards for establishing stabilized site after all of the trees were removed from
the 350 acres. The civil/site work designer provided a design that was easily constructible but NWFWM had strict
standards of how they wanted the civil/site work designed. NWFWM issues the permit for the project and is the
Authority Having Jurisdiction (AHJ) so the Government and the civil/site work designer were at their mercy. Two of
the 39 changes on the infrastructure design were due to a different site condition. There was clay discovered in areas
of the site that were not revealed by the borings. There were six changes on the electrical design for the infrastructure
that were due to conflicts with the storm water piping. The BIM modeler did not model the infrastructure but if the
model was performed it would have revealed the conflict between the electrical conduits and the storm water piping.
The $732,519 that was spent on the electrical changes could have been saved. The BIM model would not have helped
save the cost due to NWFWM requirements though the BIM software has the ability to verify code compliance. BIM
could have been used to show that the civil/site work designed met those code requirements. In this instance the
opinion of the NWFWM would override, regardless.
Table 4 - Constructability Analysis
Building
# of Issues Identified
BHQ
90
CRTF
14
DF
56
GHQ
51
GSB
11
TOTAL
222
Trade
Framing
HVAC
Fire Protect
Steel
Concrete
All other trades
Percentage
58%
17%
2%
19%
3%
1%
(Information Courtesy of Thompson Engineering, Mobile, AL)
The information shown in Table 4 shows the number of issues identified in each facility by the BIM software and
the percentage of those items by trade. Per the constructability analysis report, the cost savings that was realized
during the construction phase of the project was $3,064,000 to $6,432,000. (Thompson Engineering, personal
communication, November 21, 2012) The cost savings are based upon the construction time saved and the labor that
was saved by not having to do re-work.
Constructability Report showing Clash Detection.
Cut view from design document indicating conflict.
Figure 1 (Courtesy of Thompson Engineering, Mobile, AL)
510
The BIM software indicates the conflict by clash detection and provides a report of the issue as shown in Figure 1.
These reports can be used during the design phase to correct the design or during the construction phase to assist the
constructor. The constructability reports were used by the construction contractor on the Phase I project to save time
during the construction. In Figure 1, the conflict indicated is between the HVAC ductwork and structural steel
members. This same report was used to show the HVAC ductwork was entering the electrical room in a location that
would violate the National Electrical Code. The traditional BCOE review process did not reveal these design errors.
5. Conclusion
On the 7th Special Forces Phase I project, the RFIs that were saved by the BCOE review process was mainly code
compliance and customer specific requirements. Very few of the comments revealed any design conflicts. Both code
compliance and customer satisfaction items are very important and do result in time and cost savings. The elimination
of conflicts and design omissions in the construction documents results in cost savings and customer satisfaction
through the construction of a facility that is constructible, operable and maintainable.
The design errors were discovered through the use of BIM. Although the BIM model was delayed by four months
from the construction start, the modeler was able to build the models of the facilities in time to report the many conflicts
between the structural steel and other systems in time to minimize construction delays. If BIM had been used during
the design phase, the number of RFIs eliminated during the design phase would have virtually erased the RFIs that
were generated during construction phase. The BCOE review process alone did not eliminate the RFIs that were
generated from design conflicts and omissions. The cost savings realized of using BIM for the design review would
easily have been approximately $10,798,067 which is the cost of the mechanical, electrical, architectural and structural
changes. The clash detection software of the BIM models of the facilities identified design conflicts between the
various systems that were not identified through the traditional BCOE review process.
All design conflicts will not be discovered or eliminated by either the BCOE review process or BIM because there is
a human factor involved with each. However, using the two processes together may eliminate the majority of the
design conflicts.
References
[1] East, W., Roessler, T., Lustig, M., (1995) Improving The Design-Review Process: The Reviewers Assistant, Journal of Computing In Civil
Engineering, 229-235.
[2] Korman, T., Simonian, L., Spiedel,E., (2008), Using Building Information Modeling to Improve the Mechanical, Electrical, and Plumbing
Coordination Process for Buildings, American Society of Civil Engineers.
511
Prospects for the use of BIM in Poland and the Czech Republic
Preliminary research results
Micha Juszczyk*, Miloslav Vskala**, Krzysztof Zima*
*Tadeusz Kociuszko Cracow University of Technology, Faculty of Civil Engineering, Warszawska 24, Cracow 31-155, Poland
**Brno University of Technology, Faculty of Civil Engineering, Veve 331/95, Brno 602 00, Czech Republic
Abstract
The building information modelling (BIM) has received increased attention in the construction sector. BIM is becoming a
widespread and common approach in the design, construction and maintenance of building facilities. BIM is also one the most
widely discussed topics both by the academics and professionals from the construction industry all over the world. The purpose of
this article is to present the initial results of studies on the use of BIM in construction projects in Poland and the Czech Republic.
The studies cover a widely understood field of management in construction projects. Research concerns the scale of the use of BIM
in the construction project management, the awareness of the BIM possibilities and a potential for the participants of construction
projects. In the paper the authors discuss the results of the studies and compare the situation in Poland and the Czech Republic. The
general conclusion which can be drawn from the initial results of the research is that in general BIM is known in both countries.
The survey revealed that the knowledge is rather superficial.
Keywords: Building Information Modelling, BIM tools, construction management.
1. Introduction
Building Information Modeling (BIM) is one of the most attention gaining issues for the construction sector. The
development of BIM and its impact on the construction projects and the construction companies is widely discussed
both by academics and professionals. Evolution of BIM can be seen in different aspects:
BIM software tools development,

development of information exchange format for BIM software tools,
development of standards, rules and guidelines for modeling,
development of new approaches to construction projects delivery,
implementation of BIM in the construction projects,
implementation of BIM in construction companies.
This paper aims to present the initial research results on BIM understanding and its adoption in Poland and the
Czech Republic. The objective of the research, (carried out parallelly in the two countries), is to determine the
awareness of BIM among the broad group of the professionals that participate in the construction projects from the
clients side and contractors side as well. (The research is conducted with use of an online, web-based questionnaire).

E-mail address:mjuszczyk@izwbit.pk.edu.pl
512
The first part of the paper presents basic information about a global adoption of BIM. The following sections present
initial research results mentioned previously. In the final section the authors compare the results obtained for surveys
in Poland and the Czech Republic; subsequently, a short summary and conclusions are presented.
2. Basic information about the BIM in the world
This section includes some basic information about the development of BIM in the world. The authors intention
was to provide the background to the presentation and discussion on the research carried out in Poland and the Czech
Republic. In accordance to the reports available and analyses, the fastest pace of BIM development is seen in North
America. The USA and Canada are world leaders in the implementation of BIM in construction projects. McGrawHill report [5], dated 2012, states that a rate of an overall BIM adoption reached 71% in 2012 in North America. The
dynamics of change between years 2007 and 2012 for North America (including USA and Canada) is presented in
Table 1. It is noteworthy that there is a variation in the overall rate of BIM adoption between the major regions of
North America, however according to the McGraw-Hill report [5] the differences found in 2009 have lessened
dramatically in 2012. Differences between major regions in 2009 and 2012 are also reported in Table 1.
Table 1. Level of an overall BIM adoption in North America in years 2007-2012 (on the basis of [5]).
North America
2007
2009
2012
USA and Canada (average)
28%
56%
72%
USA West
56%
77%
USA Midwest
52%
73%
USA Northeast
38%
66%
USA South
45%
68%
Canada
49%
72%
Major regions of North America (variations):
In other reports and analyses that McGraw-Hill published in 2012 [6] it is evident that the adoption of BIM rates at
58% in South Korea. According to the RICS School of Build Environment at Amity University report [8], adoption of
BIM in India rates at 22%, whilst in the Middle East 25%. Report by Masterspec [3] issued in 2012 states that the rates
for New Zealand and Australia are at 34% and 19% respectively. Finally the research carried out for Western Europe
in 2010 by McGraw-Hill [7] revealed that the level of BIM adoption is 36%. The comparison of rates for the countries
and regions all over the world is presented in Table 2.
Table 2. Current overall global BIM adoption (on the basis of [3], [5], [6], [7], [8]).
Regions / Countries
Year
Rate of overall
BIM adoption
North America (including the USA and Canada)
2012
72%
South Korea
2012
58%
India
2014
22%
The Middle East
2011
25%
Australia
2012
19%
New Zealand
2012
34%
Western Europe (average)
2010
36%
France
2010
38%
Germany
2010
36%
The United Kingdom
2010
35%
Countries of Western Europe (variations):
To summarize the numbers given above, it is clear that BIM is constantly finding increased attention from the
construction sector. However, the level of BIM adoption varies in different regions.
513
One of the key factors for the BIM adoption and implementation is an introduction of national policies and
mandates. Requirements of BIM for the public projects is becoming a trend all over the world. A concise summary,
based on McGraw-Hill report issued in 2014 [4], is presented in Table 3.
Table 3. Summary of BIM National Policies (on the basis of [4]).
Country
Name of
Mandate / Policy
BIM data required
Projects requiring BIM
USA
National 3D-4D-BIM Program
Architecture and design
All national public projects

(from 2007 onwards)
South Korea
BIM Guide Version 1.2
Architecture and property data
All public buildings costing

over $27.6M (from 2010 onwards)
Singapore
BIM Road map

and e-submission requirements
Architecture and engineering

data
All new buildings

over 20,000 sq.m. (from 2012 onwards)
Denmark
Executive Order No. 118
Project lifecycle
(architecture through O&M)
5M kroner and higher for national projects

20M kroner and higher for regional and
municipal projects
(from 2007 onwards)
Norway
Statsbygg BIM Manual 1.2.1
Architecture and handover data

(from 2005 onwards)
Finland
Common BIM Requirement 2012
Project lifecycle
(architecture through O&M)

(from 2007 onwards)
United Kingdom
Government Construction Strategy
Project lifecycle
(architecture through O&M,
defined in the U.K. as Level 2)

(from 2011 onwards)
According to the McGraw-Hill report [4] dated 2014, the reasons for establishing national policies or mandates for
BIM implementation in different countries and regions can be summarized as follows:
to reduce and control the costs of construction projects (primarily, in 2000s, attention was focused on design and
construction costs, currently there is shift towards lowering the total lifecycle costs),
to achieve energy efficiency and lower long-term operational costs, reduce energy consumption in buildings, meet
carbon reduction requirements for buildings,
to support making the design and construction lifecycle process compliant with sustainable development,
to increase project quality, productivity and efficiency throughout project lifecycles, to improve productivity,
coordination and communication among team members,
to standardize data processes and data formatting for facility lifecycle sustainment,
to reduce errors and omissions and to shorten project delivery timeframe,
to utilize models for facility management,
to make national design and construction industries more competitive globally.
3. BIM in Poland state of the art
A web-based survey was carried out to analyze the construction industrys use of Building Information Modeling
in Poland. The survey was conducted to assess the knowledge of the BIM concept, academic research included. The
study involved 43 respondents. The survey was completed by individuals in a variety of positions within the
construction industry, including owners (2%), designers (21%), designer assistants (28%), site managers (9%), work
managers (5%) and others (35%), such as engineers, and estimators. 16 % of the respondents worked as a building
contractor, 25 % as a structure engineer, 19 % as a sanitary installation engineer, 12 % as an architect, 7 % in the road
sector and twenty eight in other kinds of construction profession. The participants in this survey worked mainly in
micro companies (39%) and in average companies (26%), small (23%) and large companies (12%). Work experience
of the respondents was for 32% below 2 years, for 26% between 2 and 5 years, for 21% between 5 and 10 years and
for 21% above ten years.
514
The knowledge of the idea of BIM was high, since as many as 81 % of respondents admitted that they had heard
about this concept (Fig. 1).
Fig. 1. Knowledge of the BIM concept in Poland.
Some of them (23%) use BIM in their work. Respondents derive their knowledge of BIM (Fig. 2) from training and
courses (27%),the Internet (23%), construction press (19%), their work (19%) and other sources like higher education
or postgraduate studies (12%).
Fig. 2. Sources of information about BIM.
The majority of the respondents did not know about any plans to introduce BIM in their companies within the
following 2 years, 17% said that there were no such plans, and only 9% stated that BIM would be introduced in their
company soon.
Fig. 3. The reasons for the non-use of BIM in companies (own studies).
515
The main reasons for not using BIM at work included the lack of knowledge and lack of requirements from owners
(Fig. 3).
As far as software is concerned, the one most frequently used was AutoCAD (50% of respondents), but only in 10%
of cases the respondents used software based on BIM technology. Other software using BIM included programs
common in Poland, namely ArchiCAD, Tekla Structure and Tekla BIM Sight, Benltey Microstation and Bentley
Navigator, and Vectorworks.
93 % of the respondents understood the necessity to implement BIM in Poland. The main arguments for the
introduction of BIM concerned the need to facilitate and accelerate work, to organize information throughout the life
cycle of the building, to facilitate communication between designers of different industries working on the same object,
to avoid collisions and to speed up the quantity takeoff process.
4. BIM in the Czech Republic state of the art
With regards to the development of the issue described here, the Czech Republic just begins to use BIM technologies
and to develop information modelling [1], [9]. Architectural studios have already used 3D modelling for visualisation
of their concepts. However, in most areas of the construction process, a 2D design documentation is still the preferred
one. The reason for this situation is, especially, the absence of standards and legislative regulations for BIM application
and disagreement about the level BIM should be implemented, even if the BIM methodology can be used in relation
to awarding and evaluating public procurement, especially in terms of [2]). Research into the area of prerequisites of
BIM usage was performed in the Czech Republic in a similar way as the research in Poland, as described above. 32
respondents were interviewed. Employees across the construction industry took part in the survey. The highest number
was represented by employees from the domain of architecture (47%) and civil engineering (32%), others were
represented by construction department staff (15%). Professional distribution of respondents was spread among
authorized engineers and independent designers (4,5% and 33% respectively), owners of construction companies (7%)
and employees of engineering offices (assistants to architects 51%).
The respondents were employed mainly in smaller companies with fewer than 9 members (50%), middle companies
(38%), and big ones (16%). Professional experience of the respondents ranged between two (63%) to nine years (37%).
The awareness of the BIM method proved relatively low in professional public and only 41% had already seen a project
implemented by means of the BIM method (Fig. 4).
60%
40%
20%
0%
59%
41%
Yes
No
Fig. 4. Knowledge about the concept of BIM in Czech Republic.
42% of respondents met the BIM method at work (especially architects, designers and their assistants). Another
important source of information about this method was, according to the respondents answers, training courses (42%).
The same number (8%) learned about this issue from scientific literature and at scientific conferences.
BIM modelling was currently used at work by 19% of respondents, especially architects, designers and their assistants
with foreign experience (Fig. 5). 19% of respondents used the BIM method in their company. The introduction of BIM
was expected by 8% of the respondents, while 24% of them did not expect its introduction and 68% did not know.
The main reason for the companies to fail to introduce BIM was, according to the respondents, the lack of knowledge
about the method (58%), insufficient demand from clients (25%) and high cost of purchasing the required software
equipment (10%). The software commonly used in the Czech Republic, that is AutoCAD and Microstation, only
supports 2D design drawings. The software enabling 3D modelling, on the other hand, is ArchCAD, Allplan and
Sketchup. Compared to the Polish respondents, none of the Czech ones used software enabling 3D modelling.
516
The respondents main arguments for the gradual introduction of BIM into the construction industry included
possibilities for a simplification of design activities, more comfortable cooperation between individual professions,
elimination of errors in design and transparency in compilation of construction costs (according to [10]).
In comparison to the Polish results, it can be clearly seen that the Czech Republic is falling behind in the area of BIM.
A gradual process of becoming familiar with the relevant information and experience can be observed in those
respondents who already had foreign experience from working in such countries as Finland or Denmark, where BIM
use is widespread.
other
8% 0%
internet
42%
42%
8%
work
construction press
courses, trainings,
etc.
Fig. 5. Sources of information about BIM.
5. Comparison of the state of knowledge and prospects for the use of BIM in Poland and The Czech Republic
In the Czech Republic and Poland, both in private and public procurement there is a strong preference for 2D digital
documentation. The reasons for this situation include: the lack of legislation or any system solutions and lack of indepth knowledge about the concept of BIM. While it is true that the knowledge about the concept and basics of the
BIM idea increases (in Poland, 81% of respondents declare its knowledge, in Czech Republic about half of it - 41%),
still the lack of a practical use of BIM is evident. The situation in Poland seems better than in the Czech Republic in
terms of familiarity with the idea, the number of investments undertaken in accordance with BIM and the situation on
the local software market (for example, Polish browser BIM Vision, or cost estimation software, BIMestiMate).
Sources of information in the Czech Republic involved mainly work experience and training courses, while in
Poland the sources also included trade press and the internet. This may indicate a slightly higher interest in novelty in
Poland than in the Czech Republic. 23% of respondents in Poland and 19% in the Czech Republic used BIM software
in their work, which proved a similar degree of implementation in both countries. The introduction of BIM within the
following 2 years in their companies was declared by 9% of respondents in Poland and the Czech Republic. Despite
the greater interest in the idea of BIM in Poland, the current use of the work and plans for the future look similar.
However, it seems that in Poland a more diversified software in both kind of designing is applied: 2D and BIM. In
addition, it is noticeable that IT companies actively attempt to introduce Polish software involving BIM into
management and cost estimation of construction works.
The main arguments for the introduction of BIM in the Czech Republic and in Poland are as follows:
simplification and acceleration of work,

organization of information throughout the life cycle of the building,
more comfortable cooperation of individual professions,
elimination of errors in design and transparency in compilation of construction costs.
In conclusion, it seems that despite the declared use of BIM in the Czech Republic and Poland, the latter revealed
a relatively greater knowledge concerning BIM. The dynamics of development also seemed to be at a higher level
there.
517
6. Summary and conclusions

The general conclusion which can be drawn from the actual results of the research is that in general BIM as an idea,
approach or technology is known in both countries. However the survey revealed that the knowledge is rather shallow.
Currently the issue of BIM is discussed on conferences, courses and meetings by both the academics and
professionals in Poland and the Czech Republic; however it is still far from the actual implementation of BIM in the
construction industries of the two countries. In comparison to the worldwide state of BIM adoption, which is regularly
surveyed, the rates of adoption in Poland and the Czech Republic are very low. In both countries there are only few
projects in which BIM was partially or fully implemented. One of the key factors for the broad adoption of BIM in
Poland and the Czech Republic is the understanding by the clients (owners) the advantages coming from BIM usage
in construction projects.
It is also probable that BIM implementation by international construction companies in their Eastern Europe
divisions will be followed by other construction companies.
A positive aspect, which could be mentioned here, is the development of BIM software tools by a few companies
in Poland.
In both countries there exist no public policies or mandates for BIM implementation in public investments (though
the authors plan to investigate this issue in the near future). One of the factors driving the change in the approach to
BIM in Poland and the Czech Republic, as well as in other Eastern Europe countries, may be the European set of
reforms to the public procurement. The clauses included in the Directive of European Parliament from January 2014
[2], encourage adoption of BIM and electronic tools in public works contracts. According to the McGraw-Hill report
[4] It is widely believed that the directive will encourage some EU nations to adopt BIM mandates or incentives.
References
[1] ern, M., BIM pruka, Praha, Odborn rada pro BIM, 2013, ISBN 978-80-260-5296-8
[2] Directive of European Parliament and of the Council 2014/24/EU of public procurement and repealing Directive2004/18/EC, online:
http://eurlex.europa.eu/legalcontent/en/txt/pdf/?uri=celex:32014l0024&from=en
[3] Masterspec , New Zealand National BIM Survey 2012, Auckland, Construction Information Ltd., 2012
[4] McGraw-Hill Construction, The business value of BIM for Owners, Smart Market Report, New York, McGraw-Hill, 2014
[5] McGraw-Hill Construction, The business value of BIM in North America: multi-year trend analysis and user ratings (2007-2012), Smart
Market Report, New York, McGraw-Hill, 2012
[6] McGraw-Hill Construction, The business value of BIM in South Korea: How building information modeling is driving Positive Change in the
South Korean Construction Industry, Smart Market Report, New York, McGraw-Hill, 2012
[7] McGraw-Hill Construction, The business value of BIM in Europe: Getting building information modelling to the bottom line the united
kingdom, France and Germany, Smart Market Report, New York, McGraw-Hill, 2010
[8] RICS School of Build Environment, Amity University, State of BIM Adoption and Outlook in India, RICS School of Build Environment,
Amity University 2014
[9] Matjka, P., Anisimova, N., Zklady implementace BIM na eskm stavebnm trhu, FinEco, 2012, ISBN 978-80-86590-10-3
[10] Bryde, D., Broquetas, M ., Volm, Jm., The project benefits of Building Information Modelling (BIM), International Journal Of Project
Management, 2013 Oct, Vol.31(7), pp.971-980, ISSN 0263-7863
518
A virtual demonstration for engineering class:

The case of beam deflections
Christoph Merschbrocka *, Magnus Nilsena
a
Oslo and Akershus University College, P.O. Box 4, St. Olavs plass, NO-0130 Oslo, Norway
Abstract
It is well documented how first year engineering students around the world struggle with understanding the underlying concepts of
classical beam theory. Classical beam theory introduces the case of small deflections of a beam that is subjected to lateral and axial
loads. Computer generated visualizations have proven their value for supporting student learning in tertiary education. This article
reports on the development of a simple and easy to use visualization system illustrating different problem situations in classical
beam theory. Designing a new and simple visualization system was perceived as necessary since most students lack computers
powerful enough to run existing off-the-shelf structural engineering software. Moreover, using more sophisticated software is not
easy and requires expertise in engineering. To design a solution fit for the purpose of teaching first year civil engineering students
we deployed a Design Science Research (DSR) approach. DSR is an outcome based analytical technique for performing research
in information systems. The initial results of trying out an early beta-version of the new system by ten engineering students are
promising. Students found the system easy to use, intuitive, and felt that the system helped acquiring an initial understanding of
beam theory. However, several shortcomings need to be addressed before the system is ready to go live in the context of
engineering classes. These were: (1) the user interface could be improved; (2) the relationship between theory and visualization
needs to be presented clearer; (3) the effect of changing parameters needs to be simulated more responsively. The work presented
is early stage and further work should evaluate the system in the context of a taught engineering class once its shortcomings are
addressed. The article contributes an early view on how the teaching and learning of classical beam theory could be improved by
simple visualizations.
Keywords: classical beam theory; design science research; engineering education; visualization system
1. Introduction
It is widely accepted that students learning outcome can be improved by deploying digital three dimensional
visualizations in engineering and science education [1, 2]. When designed properly, digital visualizations foster
students conceptual understanding by highlighting salient information and removing confusing detail [3]. In science
and engineering education digital visualizations can take the form of virtual laboratory demonstrations [4]. Such
virtual demonstrations have been applied in various subject areas including quantum physics and electrical engineering
[4, 5]. In the context of civil engineering, one application area for a virtual demonstration could be teaching of classical
beam theory, which is focused in this article.
In many of todays engineering programs a combination of mathematical models, physical models, and physical
laboratory demonstrations are utilized for illustrating the mechanisms of beam theory. Complementing existing
physical demonstrations by virtual demonstrations yields the opportunity to generate learning outcome gains [2].
E-mail address:Christoph.Merschbrock@hioa.no
519
Traditionally, physical foam models and plastic beams have been deployed as means for illustrating beam theory in
classroom settings. More recently digital games like Halycon Medias bridge project have emerged for illustrating
how forces work on trusses. Such games focus on demonstrating the behavior of trusses whereas the software proposed
in this article places the understanding of beam theory at its core. Beyond showing how forces work on a structure it
is intended for teaching students theory.
Scholars claim that using digital visualizations and demonstrations would (1) enhance student motivation and
attitude, (2) permit experimental learning, (3) provide opportunities for exploring phenomena, and (4) encourage active
learning and participation [6]. Given the importance of attaining a solid understanding of classical beam theory for
engineering students we ask the following research question in our article:
How can a virtual demonstration complement classical beam theory teaching for first year engineering students?
To address this research question a simple visualization system was developed based on MATLAB (matrix
laboratory) software. The user interface was designed for easy use and was intended to be self-explanatory. The system
allowed for manipulation of beam length, lateral and axial loads, and choice of beam type (i.e. cross section) and
material. Moreover, the system allowed users to select different support conditions for a beam. The core idea was to
show users how beams would deflect once subjected to lateral and axial loads. Moreover, for illustrating how
compression and tension worked on a particular beam a color scheme indicating different conditions inside the beam
was applied. Thus, this system can be seen as a virtual laboratory demonstration where students could explore the
behavior of materials. We put the program to an initial test by making it available for ten engineering students. These
students were then interviewed and asked to provide their opinion on how well the program would work in an
educational context. To design a solution fit for the purpose of teaching first year civil engineering students we deployed
a Design Science Research (DSR) approach. DSR is an outcome based analytical technique for performing research in
information systems [7]. The initial feedback from students is promising. However several weaknesses requiring further
work with the system have been identified. These would need to be overcome before the virtual demonstration could
be deployed and rolled out in a taught engineering class.
The remainder of the paper is arranged in accordance with the publication schema for design science research (DSR)
studies [8]. Section two introduces the application domain and provides a brief review on information systems used in
structural engineering education. Section three introduces the DSR research methodology applied. Section four
provides a description of the technological artefact. Section five presents the initial evaluation of the new system by
ten engineering students. The last two sections present the discussion and the conclusion of the article.
2. Application domain: structural engineering introductory class
Classical beam theory (e.g. Euler-Bernoulli beam theory) is a simplification of the linear elasticity theory. Despite the
wide availability of more sophisticated approaches, such as finite element method, classical beam theory continuous to play
an important role in structural analysis because it provides the designer with a simple tool to analyze numerous structures
[p.173, 9]. Understanding classical beam theory is important as it provides engineering students with valuable insight into
the behavior of structures. Beam theory establishes the interrelations of stress and deformation in beams. Moreover,
understanding beam theory represents the foundation for the study of any other, more sophisticated, structural analysis
methods [9]. Thus, beam theory is typically taught to first year engineering students.
There is substantial interest in increasing the utility of advanced information technology in the context of science and
engineering education [6]. Consequently, a wide variety of advanced engineering software packages have been phased into
todays engineering curricula. For instance, it is not uncommon to introduce building information modelling (BIM) systems
already in the freshman year [10, 11]. However, advanced structural engineering software run based on BIM models is frequently
not introduced before later stages in the studies [12]. Robot Structural Analysis Professional software is one example of a
system used by second year structural engineering students at the authors college. Systems like Robot are developed for
industrial practice, are not easy to use, and require a good understanding of structural engineering. Thus, these systems are unfit
for the purpose of introducing students to the underlying concepts of beam theory.
The importance of beam theory for structural engineering education in conjunction with the absence of systems supporting
its teaching provides an opportunity for systems development [13]. How simple virtual demonstrations could support teaching
has been illustrated in the context of mechanical engineering, where scholars report that student engagement can be increased
by using three-dimensional visualizations [14, 15]. Further, it has been established that using three dimensional visualizations in
teaching can foster student understanding of theories by creating an effective and engaging learning experience for students [14,
520
15]. Thus, developing a simple visualization system for demonstrating beam theory provides the opportunity to increase student
learning in the domain of first year structural engineering class.
3. Method: design science research
In this article we use a design science research (DSR) methodology for developing a new solution to a known problem which
represents a research and knowledge contribution opportunity [8]. DSR is an important research paradigm in the field of
information systems [8]. According to Simon, design science is research on the science and practice of design and developed
elements driven by the desire to improve an environment [16]. Nowadays, it is widely accepted that system development in
information systems can be viewed as a research method [17]. In our article we develop a simple demonstration system for
improving students understanding of beam theory in structural engineering class. DSR is a well suited methodology for inquiries
with the goal of finding better or new solutions to existing problems [7, 8]. DSR is a method taking, as far as it is practical
possible, the research process in use [18]. In this article we follow the three cycle view of design science research as suggested
by Hevner [19]. A graphical depiction of this view is shown in figure 1.
Design science research
Environment
Knowledge base
Application
domain
Problems
and
opportunities
Relevance
cycle
Design artifact
Design
cycle
Rigor
cycle
Evaluate
Design
products and
process
Expierience
and expertise
Scientific
theories and
methods
Figure 1. Design Science Research Cycles [p. 88, 19]
The relevance cycle provides the requirements for the research in form of opportunities and problems that need to be
addressed. An application domain consists of the people and technical systems that interact to work towards a goal. The
application domain of the system presented in this article is structural engineering education similar to what has been introduced
in section two of the article. Moreover, the opportunity provided by the new system is improving student learning. The rigor
cycle insures that the DSR work is rigorously done. It provides a reflection on the relative advantage of the new system over
existing solutions in the application domain. Moreover, it reflects the experiences and expertise that define the state-of-the art in
the application domain of the research. How our work contributes to the knowledge base is debated in the discussion and
conclusion parts of this article. The design cycle is at the heart of the study, it iterates between the design of an artefact and the
evaluation against the requirements. In our research the requirement of the new system was to increase learning gains of students.
Since our work is early stage, we provide an initial evaluation of the system by interviewing ten engineering students who then
evaluated as to whether this system has the potential of improving their learning. In this article the design of the system is
introduced in the fourth section and a brief evaluation of the system is presented in the fifth section.
4. Artifact: virtual demonstration
A screenshot of the visualization systems user interface is presented in figure 2. What is being displayed in the center of the user
interface is a digital, responsive, and three-dimensional model of a beam. A user of the system is then provided with the opportunity
to manipulate several variables all relevant within beam theory. These are namely: geometry of the beam (cross section, material,
and length), boundary conditions, and load intensity. Altogether five graphical symbols are used as input variables required for the
computation of the outputs. Once these variables are manipulated the outputs of the system are: a deformation signified in the threedimensional beam model, the resulting bending moment shown in a graph at the bottom of the user interface, and a color coded
stress distribution in the beam model. The software calculates deflections, moments and stresses according to the Euler-Bernoulli
beam theory. This theory provides a relation between deflection along the beam (u) and the applied uniform load (q) as shown in
equation 1.
4
4
= ()
(1)
Depending on the boundary conditions, there are different solutions to the deflection function u(x). The software assumes a
homogenous beam with a constant cross section. Solutions correspond to the five different boundary conditions available for the
521
user. The beam is then divided into small elements and deflections are calculated for the resulting nodes. The first and second
derivatives of the deflection are used to calculate the curvature and bending moment respectively. Finally, a relation between
bending moment and tensile stresses, based on Hookes law, allows for calculating stresses on a set of points of the cross section,
passing through every node. Plot functions are then used to display the deformed shape and color-coded stresses.
Input variables
(beam length
and load)
Output
(3D beam model
showing
compression
[blue] and
tension [red])
Input variables
(cross-section,
material and
support
conditions)
Output
(Moment
diagram)
Figure 2. Screenshot of the virtual demonstration showing deflections and stresses due to uniform load for a pinned-pinned beam
The program entitled the virtual beam demonstrator has been posted by the authors to the open MATLABCENTRAL
file exchange database. Readers interested in the code and functionality of the program can find it under the following link:
http://www.mathworks.com/matlabcentral/fileexchange/49780-virtual-beam-demonstrator
5. Evaluation
The data was collected based on ten interviews with engineering students. Six out of the ten students undertaking the initial
validation of the program were first year students. The interviews were recorded and transcribed. The interviewees were
provided with the opportunity to test the program on a laptop before they were interviewed. The students were then asked if the
system, if used in engineering class, would have benefited their understanding of beam theory. To reduce possible effect of
social dissonance among interviewer and the interviewees, most of the interviews were conducted by an engineering student.
The following quote indicates that students perceived the program as useful: This was awesome! I really think so. If one could
get some sort of visualization of what is the maximum stress that a beam can withstand, that would also have been nice. In any
case, undeniably a very useful program (Student #1). Several of the students discussed aspects of the user interface and the
functionality of the system: So here you can change cross-sections. Cool! Here one can clearly see the tension and compression
(Student #1). The following statement by another student is along the same lines: So red is tension? Very nice visualization of
tension and compression. Can it calculate diagonal beams? (Student #2) A third example of this is: I liked the moment diagram
on the bottom! (Student #3).
When asked about whether the program should be used by structural engineering lecturers in their teaching one of the students
responded: I think that wouldve been very good [to have seen these models in class], because you perceive the concepts
entirely different in 3D than you do in 2D. And you dont get these real-time effects from changing the variables in class in the
same way, this is very good (Student #1). Another student pointed out: The advantage of this kind of model is when it comes
to visualizing the stresses, something Ive had problems with understanding (Student #2). Another student pointed out how the
new program may benefit teaching: Our structural engineering teacher showed some curves in class, and I found that very hard
to understand, and I think this program would have helped me to get a better understanding of that (Student #4). The application
of the software is however only purposeful at an early stage of the studies: Its very good for first year students to get the
visualizations in 3D instead of pen and paper drawings (Student #3).
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Several weaknesses and shortcoming of the current program were indicated by the students: are you going to add point-loads
as well? (Student #4). Another student comment indicated that the programs functional affordance could be increased: [] it
wouldve been cool is if one couldve gradually increased the intensity of the load over a few seconds or gradually changed the
position of the load. For me, the smartest thing with this program is that one can see where the maximal stresses are located. This is
something I struggled with at the beginning (Student #1). The overall outcome of the student evaluation can be found in table 1.
Further, the program should be widely available so that students could use it on devices like phones of laptops.
Table 1. Results of initial student evaluation
Strength of the system
Weakness of the system
Various beam cross sections available
Value of maximum stress not indicated
Tension and compression visualizations are sufficient
Point loads not visualized
Stress visualized efficiently
Shows only a simple beam
Real time effects from changing variables
Effect of changing parameters needs to be simulated more

responsively
Effective 3D visualization
More cross sections could be added
Moment diagram useful
Should be made available for phones, tablets, and laptops

Relationship between theory and visualization needs to be clearer
6. Discussion
Graphical complexity affects novice users of information technology more than experts as they need to constantly
maintain meaning of symbols in their working memory [p.770, 20]. Moreover, it has been shown that complexity of
a system significantly reduces understanding [21]. Since the system presented above was developed for conveying an
initial understanding of beam theory, keeping the graphical complexity low was a core consideration. The initial
student feedback indicates that the number of graphical symbols for variables (five) was low enough to allow for an
immediate understanding of what the program was about. This is echoed by the discussions being focused on beam
theory phenomena as opposed to a concentration on the program itself.
However, some of the students indicated that the system should have had more functionality. For instance, in
addition to uniform loads, point loads could be simulated. This would then require embedding new graphical symbols
in the user interface. Given that so far only a few minor changes to the graphical symbols appear necessary the authors
expect that adding these would not sacrifice the systems suitability for novice users.
The virtual demonstration is still early stage and further rounds of evaluations are considered necessary before it
can be deployed in class. First, the changes pointed out in the students initial evaluation need to be implemented in
the design of the system. Second, the improved system should then be evaluated again by both students and lecturers.
Third, the system could be evaluated in an experiment where two student groups are taught beam theory. One of these
groups could serve as a control group taught in the traditional way, whereas the other could be instructed based on the
new system. Student learning of beam theory could then be assessed in a test to compare whether the learning would
actually benefit from deploying the new system. Another area in need for further work is to develop an understanding
for how the system is to be used in teaching. Could there be beam theory exercises supported by the virtual
demonstration? Moreover, from the students interviews it followed that there was a desire for the system to be made
widely available on different platforms like smart phones, tablets, and laptops. This would then require developing all
of these. In addition could the software be further developed to include frames and multi supported elements.
Based on initial feedback, it can be claimed that the virtual demonstration presented in this article represents an
opportunity for improving the practice of beam theory teaching. Moreover, the system appears to fill a gap where
current teaching of beam theory falls short. While the authors expect the new system to increase student learning, this
claim should be evaluated in a later experiment and further evaluations. The program has been made freely available
at MATLABCENTRAL to provide readers with the opportunity to try the system and judge for themselves whether
it may benefit teaching. In doing so, it is hoped that other university/college lecturers consider using the system in their
teaching and maybe even consider developing the program further for their context.
523
7. Conclusion
How can a virtual demonstration complement classical beam theory teaching for first year engineering students? The research
question has been answered by developing a virtual demonstration system for beam theory teaching in engineering class.
Moreover, the system has been put under scrutiny and evaluation by ten engineering students. While the initial evaluation results
are promising and indicate that the system provides an opportunity to increase student learning of beam theory, this would need
to be evaluated in further research work. The student feedback indicates that the simple visualization system presented in the
article represents an important contribution to the application domain of first year structural engineering class. A core finding of
our work is that the graphical complexity, in terms of number of graphical symbols used, in a beam theory teaching system
would need to be kept at a level suitable for novice users. What has been left unaccounted for in the present article is how the
system could best be taken into use in the context of teaching. Moreover, several weaknesses of the system have been pointed
out by the students. The weaknesses that still would need to be addressed before the system could be deployed in engineering
class are: (1) the user interface could be improved; (2) the relationship between theory and visualization needs to be presented
clearer; and (3) the effect of changing parameters needs to be simulated more responsively.
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Solution selection in digital construction design

A lazy user theory perspective
Christoph Merschbrocka *, Tor Tollnesa, Christian Nordahl-Rolfsena
a
Oslo and Akershus University College, P.O. Box 4, St. Olavs plass, NO-0130 Oslo, Norway
Abstract
The construction industry is in the midst of a transition with traditional design systems being gradually replaced by novel virtual
modeling technologies. This transition takes place gradually rather than radically and while new systems (e.g. Building Information
Modelling) become increasingly diffused in the industry, many legacy systems and practices are left intact. This leads to situations
where designers have several different information systems at their disposal to fulfill their information needs. This is amplified by
software vendors releasing a myriad of new design systems. How individual designers select an information system from several
available options to fulfill their information need is discussed in this article. The findings suggest that construction designers will
most often select a design system solution fulfilling their information needs with the least effort on their part. The theoretical
approach supporting the analysis in this article is the so-called Lazy User Theory (LUT). LUT explains how users select among
available solutions when there are numerous products and services possible. Preferred solutions reflect (1) a users perceived
information need (e.g. function of urgency, type, and depth) and (2) the user-state which is the situation in which the user is at the
moment of information need. The findings presented in this article are derived from a case study conducted in a Norwegian
construction project. The findings show that users choice of design systems reflected local and circumstantial considerations rather
than what is best for the project. This article is important for several reasons. First it contributes to an understanding of what are
influential considerations for designers when selecting design solutions. Second, it illustrates how local system selection decisions
may affect the digital work at project level.
Keywords: building information modelling; construction design; lazy user theory; system selection
1. Introduction
The architecture, engineering and construction (AEC) industry struggles to efficiently share and reuse digital
information. This is illustrated by construction information needing to be recreated up to eight times throughout the
life-cycle of a project [1]. The cost of inadequate information sharing in the AEC industry has been quantified at a
USD 15,8 billion for the US construction industry alone (US National Institute of Standards and Technology). Novel
virtual modelling technologies like BIM are widely perceived as a means to improve information sharing in AEC
projects [2]. However, at the moment new BIM technologies are used alongside with older existing two- and threedimensional Computer Aided Design (CAD) systems leading to inefficient practice.
Inefficient practice is often a result of involving essentially different information technologies (IT) [3]. This leads
to situations where the assembly of multi-disciplinary digital building models becomes challenging [4]. BIMs potential
to improve information sharing in construction teams is seldom achieved [5]. Why then do design team members
E-mail address: Christoph.Merschbrock@hioa.no
525
choose to work based on outdated technology in situations when BIM technologies are available? Since BIMs full
potential is only attained when deployed by everyone in a project team such a question is worthwhile. Costly re-design
and faulty construction information could be mitigated for by increasing alignment of design technologies [6]. In this
article we explore the considerations undertaken by design team members when selecting information technology. Our
research question is: What are the influential considerations for designers when selecting design solutions, and how
do these choices affect the digital work in the design team?
It is well documented how working on different, incompatible IT solutions negatively affects digital work in
construction projects [7]. Design team members having a variety of design technologies at their disposal frequently
choose incompatible design solutions. This inquiry sets out to explore the reasons behind such choices. One possible
explanation is that design technology is selected based on the lowest level of effort. This view has been advanced by
Ttard and Collan (2009) who suggested Lazy User Theory (LUT) as a conceptualization for information technology
selection [8]. In this paper LUT is used to analyze how a user of IT with a (1) perceived information need (e.g. urgency,
type and depth) in a certain (2) state (user situation at the moment of need) makes a choice amongst a range of available
solutions. This article presents an early application of LUT to explore solution selection in construction design. Our
findings are based on semi-structured interviews with the project team of an office refurbishment project in Oslo,
Norway. BIM was to some extent used in this project, with different levels of experience amongst the users.
2. Theoretical lens
The theoretical approach supporting the analysis in this article is the so-called Lazy User Theory (LUT) as suggested by
Ttard and Collan (2009). A graphical depiction of LUT can be found in figure 1. This theory assumes that users have a tendency
of following a so-called path of least resistance when selecting and using IT. Thus, user behavior is equated with water flowing
downhill following the path of least resistance. LUT has been applied to understand issues arising when users select from
different telecommunication services [9, 10], student use of optional online learning resources [11] and for
understanding choice in buying bus and metro tickets. According to LUT, IT solutions are selected based on what users
perceive as the solution requiring the least effort. The core concepts of LUT are: User need (1) defines a goal users try to achieve
by using IT. The user need is comprised of the type, depth, quality, completeness, and the urgency of information delivery. The
User state (2) accounts for limitations of available choices and the circumstances surrounding a user when the user need arises.
Relevant circumstances can be location, available devices, available resources and available time. User need and user state
define the set of possible solutions to fulfill the user need [8]. Lazy users would choose a solution demanding the least effort,
and select the solution based on the lowest level of effort (see Figure 1). Effort can be defined as a combination of time, money,
and energy (physical work, mental work) necessary for fulfilling a user-need by deploying technology. In the context of a
construction project time and money represent decisive factors when companies select information technology solutions [12].
Moreover, the nature of construction projects with decentralized decision making and loose coupling foster an mindset where
nobody feels responsible for investing in technology that is best for the project [12, 13]. Nonetheless, BIMs benefits will only
come within reach for a construction project team once all members collaborate based on the new technology. Thus, a wellconsidered choice of BIM technology at the local, organizational level will be influential for how seamlessly BIM can be run at
project level. LUT serves well for the purpose of our study in that it provides a fresh, theoretical approach for making explicit
what drives a construction organization to favor one design technology over another.
User need
defines
Set of possible
solutions to fullfill
the need
User state
limits
Figure 1. Lazy User Theory of solution selection [8]
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Selection of solution
based on the lowest
level of effort
3. Method
A case study approach has been selected for exploring whether BIM solution selection in construction projects can be
explained based on LUT. A case study was considered appropriate since it allows for exploring sticky practice based problems
where the experience of the actors are important and the context of the action is critical [p.370, 14]. Moreover, a case study
allows for understanding the process whereby the information system influences and is influenced by the context [15]. We
decided to conduct our case study on a Norwegian office refurbishment project. The project is located at the outskirts of Oslo
and its design made it a national role model for sustainable construction. This is signified by features like photovoltaic rooftop
installations, usage of recycled materials, a super insulated air-tight building envelope, energy efficient windows and ventilation,
thermal mass, geothermal heating / cooling and letting in the maximum amount of daylight. This project in which BIM was
prioritized by the client and used as the main design technology was considered a suitable case for our study.
Our data was collected through semi-structured interviews with eleven design professionals, aiming to gain an understanding
of the phenomenon by asking those experiencing it. Using interviews as means of data collection served as a way to access the
interpretations of informants in the field [16]. The intention was to interview key BIM actors to examine the reasons for their
choices. The interviews were conducted in September 2014, at a point in time when the design and construction had just been
finalized. Table 1 provides an overview of the interviews conducted. Nine interviews took place at the designers offices, one at
HiOA`s Oslo campus, and one was conducted via Skype. Interview guides were designed based on the theoretical lens, the Lazy
User Theory. Informed consent was sought in advance of all conducted interviews. All interviews were voice recorded,
transcribed, and coded by using the qualitative data analysis software NVivo9. Categories were derived from the data assigning
nodes to notions which could be related to the core concepts of the Lazy User Theory presented by Ttard and Collan (2009).
Table 1. Interviews conducted.
Affiliation
Service provided
Interview technique and duration
Client # 1
Project manager
Face-to face, 60 min
Client # 2
Project manager
Architect # 1
Lead architect
Engineering consultant # 1
Heating, ventilation, and air conditioning
Heating, ventilation, and air conditioning
Fire protection design
Acoustical design
Contractor # 1
Project manager
Contractor # 2
Green business officer
Contractor # 3
BIM coordinator
Subcontractor # 1
Photovoltaic installations
Skype,
60 min
4. Analysis
The analysis part of the paper is structured as follows. After examining data on IT solution selection in the case project, the
three most poignant examples were identified and are presented here as vignettes from practice. These are then classified based
on the core concepts of Lazy User Theory presented in section 2 and figure 1 [8], namely: user need, user state, set of possible
solutions, and selection of solutions. The three vignettes from practice cover rooftop photovoltaic installations, fire protection
design and acoustical design.
4.1. Vignette from practice: Photovoltaic rooftop installations
User need: The rooftop photovoltaic elements and the solar-thermal panels were delivered by a specialist subcontractor firm. The agreed specifications required the firm to explore where to best place the rooftop systems to
maximize their efficiency. Positioning the system required compiling knowledge and data about the building itself, the
surrounding landscape, as well as the sun`s predictable movements through the seasons. To accomplish the job the firm
needed to run a solar cell capacity calculation in a system called TRNSYS. Thus, the building data acquired needed
to be interpretable by TRNSYS.
527
User state: Photovoltaic systems have considerable lead times since they need to be manufactured to order. Thus,
the firm was pressured for time and felt a need for conducting their calculations and design work early on in the project.
At this point in time, neither an architectural BIM model nor the contractors landscape scan had been prepared. This
is illustrated by the following quote: the BIM model arrived very late (subcontractor # 1).
Set of possible solutions: The sub-contractor could have fulfilled his user need based on three different solutions:
Modeling the building using SketchUp from 2D pdf-drawings (Site inspection)
Modeling the building in Revit from 2D pdf-drawings (Site inspection)
Waiting for the architectural Revit model and for the contractors point-cloud scan
Selection of solution: The sub-contractor used 2D pdf-drawings from the architect and used SketchUp to make a 3D
model. This information was imported into TRNSYS where the information of the solar cell capacity was determined. The
rationale for this solution selection was the following: you can quickly generate a building model from SketchUp that is
where somebody working with BIM would spend many working hours (sub-contractor # 1). Moreover, the sub-contractor
stated that: We drew it ourselves and then we used this model to, for example, calculate the energy providing areas such as
roofs and facades, and look closer into these. We studied how we could place the photovoltaic elements or other solar-thermic
systems providing the energy for the building. Then we used this information and imported the model into a building
simulation modelling system called TRNSYS where we then connected the information about the photovoltaic to the
geothermal simulation model, to understand how the systems would work together (sub-contractor # 1). In addition, the
subcontractor conducted a site inspection assessing the location of trees and shadows. Using SketchUp, relative to the other
options of having to create a BIM model, or having to wait for others to create a BIM model, represented the path of least
resistance for the sub-contractor.
4.2. Vignette from practice: Fire protection design
User need: The fire protection engineer developed the specifications and design for the safeguards for preventing,
controlling and mitigating the effects of fires on the building. Accomplishing this required producing design principles
and premises for the other designers. Moreover, the work required providing assessments of design solutions and
materials regarding their fire protection performance. From this it follows that the fire protection engineer needed
timely information for setting the premises and then updated information of the design development during the project.
The following quote illustrates this: In a construction project, there is a rapid progress. Suddenly a wall is changed
and something is removed [] then there is a chance we worked on the wrong edition of a drawing (Engineering
consultant #3). Moreover, in late project stages the fire engineer controls whether the set requirements were followed.
User state: I am kind of old-school, right? I grew up drawing with ink, and white lab coats and all that was my youth.
But I believe that digitalization, BIM, and all that is without any doubt the future (Engineering consultant #3). While the fire
protection engineer acknowledges the value of BIM, her preferred way of working is based on traditional two-dimensional
technologies. Moreover, she worked for a small consultancy not extensively using BIM.
Set of possible solutions: There were two different information technology options available:
Designing based on AutoCAD delivering specifications using 2D drawings, written documents, or orally.
Designing based on BIM and communicating requirements by using for instance Revit Fire and acoustics in
Naviate from CAD-Q.
Selection of solution: A fire plan was made in 2D by the use of AutoCAD. In addition, pen and pencil were used.
Requirements and solutions were communicated using 2D drawings in documents, e-mails and orally. More advanced
smoke and fire simulations were run by a colleague, a ventilation engineer. As far as the fire consultancy was
concerned, there was no demand for BIM to be a part of the delivery, [moreover] I did never receive a BIM model and
did not ask for it. From the quote above it follows that the fire protection engineer decided on using 2D CAD, moreover
she did not even consider using BIM: It is clear that [] as BIM is concerned, it was not even present in my mind
(Engineering consultant #3). The following quote illustrates that due to the choice not to employ BIM the fire protection
engineer remained excluded from many project meetings: I could bring a drawing [to the project meetings] and we
sat down and wrote on the drawing, putting it on the table. But I never took part in digital meetings, no, no (Engineering
consultant #3). It can be argued that the fire protection engineer, by sticking to using 2D CAD as opposed changing to
modelling the building in BIM, followed the path of least resistance.
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4.3. Vignette from practice: Acoustics design

User need: The acoustical design work was performed by an electrical engineer specialized in audio technology.
The intention of the acoustician was to collaborate with the architects to find design solutions fulfilling acoustical as
well as the aesthetical and technical standards. The agreed work specifications were to deliver a concept for room
acoustics. The architect needed to share architectural design visualizations to provide the canvas on which acoustical
calculations could be performed. For performing his work in the best possible way acoustician needed a: a ray tracing
program [which] works very good to compute the acoustics in a room (Engineering consultant #4).
User state: The acoustician was pressured for time, leaving little opportunity for learning and working with new
technology, as the following quote illustrates: We are we have too much to do! To work with research and find
new ways to do stuff, its not always that easy (Engineering consultant #4). Nonetheless, the acoustician used a
simulation program developed for venue acoustics named EASE. EASE is a program more or less used [in venue
acoustics], I used it in my former job, to see how speakers will cover areas with sound [] it is not much used for
room acoustics but I use it mainly to get the areas right (Engineering consultant #4). The acoustician pointed out that
there was a different, more advanced way for conducting acoustical design. He mentioned a software called ODEON,
which had been developed for running room acoustics based on 3D models.
Set of possible solutions:
Designing based on AutoCAD delivering specifications using 2D drawings, written documents, and orally.
Conduct initial acoustic analysis based on EASE and do the acoustic calculations manually
Get hold of an architectural IFC-file, send it to SketchUp and then import it to advanced room acoustic software
like ODEON or other similar programs.
Selection of solution: The acoustician received an architectural 3D CAD dwg-file. This file was then imported into
EASE to find the areas of materials used. The calculations were done manually. The acoustician explained his choice
of design technology using the following words: Yeah, acoustics have never really been at the forefront when it comes
to using new technology. We kind of have an old-school approach to it (Engineering consultant #4). From this quote
follows that the traditional way of working based on 2D technologies and hand calculations continues to be the
preferred way of working in acoustics design. Thus, by not changing the established 2D-based way of working the
acoustician chose the way of least resistance.
5. Discussion
Lazy User Theory served well as an analytical tool for explaining user choice of information technology in the
context of a construction project. The results show that in situations where more than one technology is available to a
user there is a tendency to follow the path of least resistance. All three vignettes illustrate that a core consideration in
IT selection was to keep efforts in terms of resources used low. This is echoed by user states such as perceived time
pressure, traditional mindsets, and economic restrictions, all being identified as influential in IT selection. This
resembles earlier research reporting that considerations about local resources drive IT-based work in construction
projects [12]. Moreover, local considerations by individuals and organizations appear crucial in deciding which
technology is deployed in a project. This has similarly been emphasized by Love and colleagues who argue that each
discipline has become dedicated to the optimization of its own function, with little regard to, or understanding of, the
construction process [p.381, 17]. So, how can this be overcome? A starting point could be to further include design team
members working in the periphery of the innovation network in collaborative BIM work [18, 19]. Our findings resemble earlier
work in that they show how especially small companies working in early or late project phases struggle with working based on
BIM [18]. A challenge for construction management is shaping a project culture where collaboration is prioritized over local
thinking. Moreover, it has been argued that clients would need to clearly formulate a set of requirements and contracts for project
level BIM work [6]. We are limited in our ability to generalize from the single case study presented in this article, and further
work would need to inquire into IT selection processes in other projects. Nonetheless, this article is important for several reasons.
First, it contributes to an understanding of what are important considerations when project designers select information
technology solutions. Second, it illustrates that local decision making driven by resource considerations affect digital work at
project level. Last, the present work is important for increasing project managements awareness of how local decisions may
impact BIM use in the entire project.
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6. Conclusion
This paper has presented a case study of a construction project in which the design team worked based on digital
modelling technologies. By doing so it was possible to explore what the influential considerations for designers were
when selecting design solutions and how these affected digital work in the design team. It has been found that
information technology solutions were selected based on the perceived level of effort associated with their usage.
Designers IT decision making was driven by considerations about time, cost, and prior experience at local
organizational level. Decentralized decision making prioritizing organizational level issues over project level issues
appears to affect the overall functionality of BIM. It can be concluded that centralizing IT decision making with a
powerful actor at project level, such as the client, could help to overcome these issues. This article is important since
it uses a fresh theoretical approach, namely Lazy User Theory. Moreover, this article contributes to understanding
what are influential considerations for designers when selecting information technology solutions.
Acknowledgements
This research project is funded by the strategic research initiative BIM for a more sustainable built environment
at Oslo University College which is gratefully acknowledged. Moreover, thanks are due to the editor and reviewers for
their insightful comments.
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User-friendly conceptual design of standardized glass complex

shaped faades
Quim Moya, Oriol Pons*
Barcelona Tech (UPC), School of Architecture (ETSAB), Department of Architectural Representation and Visual Analysis I (EGA1), Av. Diagonal
649, 08028 Barcelona, Spain. q.moya@hotmail.com
Barcelona Tech (UPC), School of Architecture (ETSAB), Department of Architectural Technology I, Av. Diagonal 649, 08028 Barcelona, Spain.
oriol.pons@upc.edu
Abstract
This research study aims to design, apply and optimize a new mechanism that improves curved faades design and construction
processes. In this sense, this investigation has the objective of designing an optimization algorithm that: a) is capable of optimizing
complex geometric curtain wall paneling so that resulting panels are standardized; b) has a responsive feedback system that
visualizes the standardization process and enables users to intervene in this process, permitting an intuitive conceptual design; c)
permits the introduction of BIM to the panels and d) is based on broad application strategies so that is a tool applicable as a general
working strategy.
The new algorithm has been designed combining physics simulations that act on a conventional CAD system with a polygonal
comparative mathematical algorithm. Then it has been applied to Mias Architects honorable mention proposal for the contest
designed for the future Passenger Service Centre at the Kinmen Port in Taiwan. Finally, this application has been compared to the
application of two similar existing software tools analyzing numerous parameters such as mesh density, previous programming
time, mesh definition and optimization time, panels standardization time, maximum deviation, molds savings and standardization
error margin among others.
The new algorithm stands out because is based on glass production and construction information modeling, permits users to
standardize paneling if extra time is dedicated to do so and allows users a detailed edition of the mesh.
This research project concludes that the investigation has accomplished the initial objectives and the new algorithm is a useful
mechanism for conceptual design processes because of their user-friendly environment and their capacity to incorporate glass
construction technical knowledge, which overcomes the existing tools.
Keywords: Complex geometries, Physics based, Glass, standardization, Run-time
1. Introduction
At present, there are numerous recently built complex shaped facades and roofs with an external paneled surface.
When the panels of these surfaces are flat pieces the final surface defined by these pieces does not follow the original
design but a faceted approximation of it. This is the case of curtain walls that are composed of glass panels, which are
mostly flat because their cost is less [1]. However, there are examples of complex surfaces built using curved pieces
such as the Kunthaus that was designed by Peter Cook and constructed in Graz in 2003 [2]. In all these curtain walls,
the paneling of their free surfaces results in panels that often vary from each other, being either flat or curved

E-mail address:oriol.pons@upc.edu
531
respectively. Therefore, the whole surface has a high level of complexity and a high cost. The assembly process has
similar difficulties because each type of panel has to be moved and fixed in a specific way. In consequence, in this
kind of surfaces it is essential to standardize panels in order to simplify its construction. Some researchers have
developed mechanisms based on iterative approximation systems like Evolute tools [3] which is a plug-in of
Rhinoceros 3D to work with surfaces. Based on these mechanisms there are some recent proposals that improve molds
efficiency in order to cut down building costs [4]. But resulting panels are not standardized.
Today there are mechanisms based on physics simulations that can solve some optimization problems in run-time
such as Kangaroo [5] that are compatible with conventional CAD tools. This system proposes different mechanisms
that users can utilize as surface paneling systems. Moreover, Kangaroo permits interaction with users in run-time and
eases the introduction of algorithms and the visualization of the results. But none of these approaches is able to perform
a complex optimization such as maximizing repetitions of pieces at run-time.
A similar proposal to the optimization mechanism exposed here is the consulting service of Evolute Tools Pro in
which this company studies already defined building surfaces and maximizes the repetition of panels [6]. There are
other studies that also use iterative processes specifically designed to solve a particular study case [7].
2. Research project
The aforementioned existing software tools, systems and consulting services have weaknesses, which Table 1
shows.
Table 1. Main weaknesses of the existing mechanisms.
Run-time
Kangaroo
Evolute Tools
Evolute Tools Pro
Quad meshes
Standardization
Yes
No
No
No
No
No
Yes
Yes
References
[5]
[1]
[8]
[7]
Legend: Run-time: it works in run-time; capacity of standardization, in the case of Grasshopper, it allows users to program
new functions using a writing language interface but it breaks the visual logic of Grasshopper and requires programming
skills; the application specifically designed for quad meshes is a specific method for a particular case.
None of these existing mechanisms permits users to modify the model while carrying out the optimization process.
Kangaroo visualizes the changes in the model in runtime but it is not able to maximize repetition of pieces because it
lacks the required predefined functions and its programming does not admit excessively complex processes [9]. Our
proposal is PBOA, an algorithm that aims to make this already present standardization processes compatible with real
time design.
3. The configuration of this new application
3.1. Mathematical analysis
Figure 1. Schematic description of the mathematical analysis.
532
The most difficult part for the run-time calculations is the mathematical analysis of the pieces, which enables PBOA
to establish an adequate classification criterion. This classification of pieces is not necessary to be executed
continuously but only when a change on the parameters or the geometry produces a significant difference on the state
of the mesh. In any case, it is preferable to do it as fast as possible in order to not break the design process. Figure 1
shows this mathematical process, which deals with the identification, analysis and group classification for the panels.
This process also generates a pattern based on the average shape of the panels in a group. By doing so, it becomes
possible to establish a panels classification, which permits organizing sets that differ in the number of sides (triangular,
square, hexagonal) and classify each of these typologies in subsets following a contour geometric criteria. This fast
classification not only allows the system to execute it without cause a significant interruption in the design process,
but also allows other derived optimization functions to be executed in runtime using the data obtained from this process.
3.2. Physics simulations
We implemented physics formulas in order to coordinate mathematical analysis with CAD geometry. This principle
has been used as a modeling tool previously [10]. The PBOA algorithm applies this simulation on the models control
points, as if it was a molecular dynamics model. First, PBOA uses a spring model [11] to generate bars structures
starting from panel nodes.
The PBOA algorithm can establish a direct relationship between the original nodes and the pattern nodes for the
analyzed piece, generating actions that tend to join both nodes in one only point. PBOA uses a combination based on
Hookes law and a modified gravity equation that results in (Equation 1) , which is the force between the pattern piece
nodes and the studied piece nodes where a is the acceleration of the particle, k an intensity regulator controlled by the
user, 0.1 is a factor that reduces the intensity of the force to prevent some undesirable results, d is the distance between
the two particles involved, mi the mass of the particle studied and, in the denominator, the total mass of the system.
a = k 0.1 d
mi
[1]
m
u =1
On the other hand, PBOA can combine this action with other actions also applied on the mesh so that panels not
only tend to be equal but also retain different specific geometric properties, such as flatness, orthogonal angles, etc.,
that users assign.
4. Comparative analysis
4.1. Study case
The study case selected for this analysis is part of the Mias Architects honorable mention proposal for the contest
designed for the future Passenger Service Centre at the Kinmen Port in Taiwan [12]. This Passenger Centre [13] will
be a building having an area of 45.000 m2 and a 30 m height serving as an international passenger terminal (Figure 2).
Figure 2. Section drawing of Kinmen Port in Taiwan. Cortesy of Mias Architects. The red rectangle indicates the part of the faade studied in this
investigation project.
533
4.2. Quad mesh tests

PBOA
In the first test, see Table 3, the researchers introduced the original NURB surface in the F-CAD tool and cover it
with the initial mesh. After that PBOA automatically generated basic physics based functions in quad meshes, refer to
Figure 3. These functions are: 1) the flatness force that keeps the four nodes of each cell on the same plane; 2) the
distance force, which keeps mesh nodes separated by a determined distance and 3) an adhesion force that maintains
the mesh added to the original NURBS by respecting the user-defined margins. In order to optimize the mesh geometry,
a PBOA function that equals tension and length made the lengths of the mesh bars even so those tensions were
uniformly distributed. Another function regularized angles so they were all orthogonal. The horizontal aforementioned
restrictive guides were several curves so that the mesh followed the original design and its horizontal joints kept their
initial horizontality.
Figure 3. First test using the PBOA algorithm in F-CADs tool.
Evolute Tools
In their first test, see Table 2, the authors started using Evolute Tools to both define and optimize the center mesh.
This system started with an initial mesh that subdivided and optimized until giving a proposal. This tool based this
initial mesh on the control points of the NURBS that defined the skin surface. The researchers subdivided this mesh
using the Evolute Tools method called "CatmullClark" until obtaining an adequate mesh. Then the authors optimized
that mesh as follows: 1) they assigned a value of 0.1 to the variable "Fairness Springs" in order to make all mesh bar
lengths uniform; 2) they assigned a value of 0.5 to the variable "Surface Closeness" to maintain the original surface;
3) they assigned a value of 0.5 to the variable "Curve Closeness" in order to retain the contour shape of the surface
skin.
Kangaroo
In the first test, refer to Table 2, at the beginning the researchers had to define a batteries schema in Grasshopper
that was capable of developing an adequate process to optimize panels. The resulting process started with a Rhino
mesh to which Kangaroo applied different forces in order to optimize the result. The authors introduced a mesh of 24
x 36 panels in Grasshopper as initial data. After defining this mechanism and giving the initial data, it was possible to
change mesh values and visualize the effects in run-time with direct feedback. In order to keep the flatness of panels,
the authors connected the mesh to the Kangaroo function called "PlanarizeQuads", which permitted the authors to
maintain the nodes of several square pieces on the same plane. The function "PullToSurf" was able to keep the mesh
following the original surface. The authors tried to make the lengths of the bars even with the function "EqNStrenght",
but the authors had to limit the effect of this last function and some bars had different lengths.
534

Results in Table 2 prove that the main difference between PBOA and the other two mechanisms is that the new
algorithm permits users to standardize paneling if extra time is dedicated to do so and, in consequence, PBOA permits
reducing the number of required molds. The results in Table 2 also prove that Evolute Tools and PBOA are better for
this case of study because they do not require additional time for a previous programing process; they are quicker
generating the mesh and they have a smaller maximum deviation for the panels flatness.
Table 2. Results of the quad mesh tests.
Edition
Units
Test1
PBOA
Kangaroo
Evolute
Q1a
Q1b
Q1c
Pieces
23x30
23x30
23x30
2. Programming time
Minutes
40
3. Meshing time
Minutes
15
25
15
4. Standardization time
Minutes
15
N/A
N/A
Study case name

1. Mesh density
Optimization
Units
Test2
PBOA
Kangaroo
Evolute
cm
0.00
1.70
0.70
6. Molds per panel
None
241/690
690/690
690/690
7. Molds savings
65.00
0.00
0.00
8. Standardization error
cm
2.00
N/A
N/A
5. Maximum deviation
Legend: 1) number of panels in one direction multiplied by the number of panels in the other direction; 2) Time spent to
program the mechanism to solve the study case; 3) time spent for the definition and optimization of the mesh; 4) time
required for the standardization of the pieces; 5) maximum deviation of the panels flatness (m); 6) number of molds divided
by total number of pieces; 7) saving of molds in percentage and 8) length of the standardization error margin.
The combination of all additional PBOA advantages results in a very useful mechanism for the conceptual design
phase. This occurs because PBOA run-time feedback and intuitive functions define a user-friendly environment;
furthermore, due to its accuracy and the fact that PBOA is based on glass production and construction information
modeling, which avoid conflicts between conceptual design and technical solutions.
This mechanism still has several shortcomings, which the authors are aware of and currently resolving. For example,
systems such as Evolute Tools, are more powerful to use with simple curvature surfaces and panels. On the other hand,
in general, physics simulation systems still have important challenges in order to facilitate the control and precision of
results.
6. Conclusions
The main innovation of this research project is the development of an algorithm capable of standardizing the
paneling of a complex shaped curtain wall combining any geometric condition with the direct edition of the mesh and
with run-time feedback. These capabilities result in a useful mechanism for conceptual design processes because of
their user-friendly environment and their capacity to incorporate glass construction technical knowledge. This useful
novelty for the design and construction of complex shaped glass skins is different from the existing tools.
535
The authors have developed this new algorithm starting with F-CAD software, which corroborates conclusions from
previous research projects such as that F-CAD is a base to develop software tools for prefabricated faades composed
of different materials [14].
Acknowledgments
The authors would like to express their gratitude to Josep Mias architectural firm, with whose collaboration this
research project has been developed. They also acknowledge the company Cricursa for sharing their extensive
knowledge. They thank Ernest Redondo, Albert de la Fuente and Joe Maas for their valuable advice.
References
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Automation in construction (38) (2014) 4658.
536
Construction cost and time planning using BIM-based applications

Edyta Plebankiewicz1, Krzysztof Zima1, Mirosaw Skibniewski2 *
1Institute of Construction and Transportation Engineering & Management, Tadeusz Kociuszko Cracow University of Technology
2University of Maryland, College Park, USA
Abstract
The ability to automate the process of preparing a bill of quantities is one of the key advantages for the estimator. Such possibility
is provided by the BIM model. The paper shows the key approaches of BIM based cost estimating, such as exporting quantities,
using specialized BIM measurement tool and a cost estimate system. Drawing attention to solutions and opportunities used the
Polish application seems a significant contribution to software development in the world. Thus it is vital that the BIM Vision system
and presented in paper BIMestiMate should be evaluated as appropriate and ready to be applied in the BIM-based cost estimation.
Keywords: BIM; quantity takeoff; cost estimating.
1. Introduction
One of the most useful tasks that can be automated through the BIM use is quantity takeoff (QTO) [1, 2]. BIMbased QTO is reported to provide simpler and yet more detailed and accurate cost estimates of the project, reducing
time and expenses [3].
In this article, the authors present the costing system BIMestiMate which fulfils all these requirements, which makes
it the first Polish application that allows to estimate costs directly on the basis of the BIM model.
At present, several BIM-based cost estimation software programs have been developed to improve the efficiency
of estimators. Widely known BIM-based cost estimation programs include the following: Innovaya Visual Estimating
[4], Vico Estimator 2009 [5], Tokmo Production System [6], Success Design Exchange [7], Timberline Extended [8],
and Winest Design Estimation Pro [9]. However, the combinations between different software were often times unique
and hardly generally applicable. Previous research extensively elaborated on the issue of facilitating the establishment
of the bill of quantities and cost determination with the use of BIM.
Oak et al. [10] proposed the methodology of BIM property information modeling that can support the quantity takeoff of a structural element for reflecting the cost estimate feature of the public building. Kwon et al. [11] suggested
ways of securing BIM quality for correct quantity take-off. Koo et al. [12] provided a work item matching process
model to help users identically recognize work items with different expressions so that they could reuse historical unit
costs from the previous projects. Ma et al. [13] established a framework for BIM-based construction cost estimating
(CCE) software that utilized the Chinese standards. Hartmannet al. [1] described the implementation of BIM-based
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tools to support the activities of the estimating department of a construction company on a large infrastructure project.
In [14] authors proposes an ontological inference process to automate the process of searching for the most appropriate
work items, which is limited to tiling in this case study. The model proposed in [15] provides an intuitive method to
incorporate cost (and multi-level) estimation into the early stage of design. [16] presents time and cost planning in
construction projects using building information modeling (BIM) approach. Firat et al. [17] present two case studies
of the application of BIM-based QTO. Investigation of the utility of neural network methodology to overcome cost
estimation problems in early phases of building design processes you can find in [18]. [19] presents a conceptual
approach to cost estimation of structural skeleton using an interactive automation algorithm. Ma at al. [20] provides
a framework design for BIM-based construction cost estimating software. A comparative study of commercially
available BIM-based cost estimation software and an investigation of the changes in work practices and workflows
incurred by the adoption of such software by a construction company s presented in [21]. Some case studies reporting
on the results of BIM-based cost estimation are also available [22,23,24,25].
3. The BIM approach
Traditional approach in cost estimating and schedule creating is presented in Figure 1. The BIM approach is
schematically presented in Figure 2. The first step on the investors part is to prepare a 3D model of a building along
with a knowledge base, that is, all the vital information available at each stage of the investment. Next, detection of
errors resulting from the intersection of elements in superimposed drawings of successive industries. The detection is
often performed by means of a free program, Tekla BIM Sight. Moreover, a correction of the information in the model
and its systematic supplementation is also necessary. Gathering information about the building structure using facility
BIM model, projections, sections and guidelines and assumptions for costing ends first step.
Figure 1. Traditional approach in cost estimation process.
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Figure 2. BIM-based cost estimation process.
Next, quantities are transferred directly from the model (IFC file), or extra-added if they are necessary for cost
estimation. As model is object-based with parametric information, it is easier to capture quantities directly from the
3D model. Such calculations are, of course, more accurate with fewer errors and omissions. The basic steps in this
phase include: adopting measurement units for certain items, elements and works, extracting quantities from the BIM
model and transferring quantities to cost estimation software.
When the quantity take-off is completed and both descriptions of the identified items (introduced in the design
process from a library or adopted individually) and their quantities are prepared, one may start the actual cost
estimation.
As the unit rates are computed for all items, the items are priced automatically. Costs of all items are calculated
automatically on the fly on the basis of adopted or computed prices. A list of the elements that are estimated is
created automatically as records in the cost estimation application and is ready for valuation.
Figure 3. Schemes of the Macro BIM-based cost estimation process (source: based on [27]).
A quick estimated valuation (Macro BIM) is possible on any step of the project and it does not require any
knowledge of costing from the designers. To automate the Macro BIM valuation one needs to calculate the combined
prices which are related to BIM library (Figure 3). To ensure agreement between the elements of BIM element library,
a price list or a set of specifications, one needs to apply a classification system. Most of the known CAD systems used
globally uses the OmniClass construction classification system (OmniClass, 2006), designed originally in the USA
539
and Canada and further developed in many other countries. OmniClass uses standards that are already known and that
were already applied for various construction needs, such as MasterFormat, Uniclass, UniFormat, EPIC i ASTM [26].
In Poland, classification systems have not been applied yet, which significantly hinders the use of unit pricing of
the assigned elements. Nowadays, the estimator can find unit prices manually in price newsletters. The main activities
in this phase include gathering cost information (for instance, published unit rates or historical cost data), estimation
of construction costs based on relevant rules and methodology, gathering cost information and optimization of the
estimate.
The contractor performs a preliminary verification of data included in the model, updates the bill of quantities and
makes detailed calculations in order to prepare a bid.
Figure 4. Schemes of the Micro BIM based cost estimation process (source: on basis [27])
In Poland, a detailed calculation (Micro BIM) is based on a system of catalogue including unit pricing as well as
prices of production factors. As a result, one obtains a unit price of a particular type of an element. All elements of this
type will be automatically be priced according to the calculated unit price and the bill of quantities downloaded from
the IFC file.
4. BIMestiMate and BIM vision system
To use the BIM model and to benefit from the BIM technology in costing one needs to have access to software and
a database of prices. Thus, functional and technical opportunities of using BIM for costing in Poland were studied,
basing on the only accessible product. The study involved the information published by software providers, user
reviews of products and authors own experience. Moreover, opinions concerning the application were collected. To
prepare a unified and objective opinion, the research should be based on a set of defined criteria. The first verification
included six requirements described by Ma et al [13]. After reviewing the cases of IFC use and BIM based costing
software, it was revealed that the major characteristics, except MS Excel, are the following [13]:
Operating on a 3D-based platform was obtained either from independent development or professional BIM based
design software.
Capability of extracting input data from an IFC file.
Since there is no enforced specification, the software follows the coding system developed by the industry
association.
Applicable for estimating from conceptual design to detail design.
The quantity extraction is not subjected to uniform calculation rules but is based on object types and their
dimension.
Cost estimation is based on the cost items generated by the professional and experienced cost estimators.
The costing system BIMestiMate and BIM Vision (Figure 5) fulfils all these requirements, which makes it the first
Polish application that allows to estimate costs directly on the basis of the BIM model.
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Figure 5. BIMestiMate and BIM Vision system.
The research concerns the features of the BIM Vision browser (Figure 6) used to analyse the BIM model and to
calculate the bill of quantities, as well as the costing system BIMestiMate working with the application BIM Vision.
Figure 6. Building model in BIM Vision as storey slide view.
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The most vital features of the browser are presented in Table 3.

Table 3. Features of the BIM Vision application in relation to its usability for the bill of quantities
Model View
2D, 3D, Projections in space
Language
Polish, English, Spanish
File format
IFC
Transparency
Solid, Partial transparency, Full transparency
Viewing options
cross-section; hiding elements; cutting; storey slide in X, Y, Z

surface; selecting objects
Element list display form
IFC structure, types of elements, model zones, model layers.
Mode of taking dimensions
Volume, area, edges, line length by selected vertices, distance

between surfaces, distance between elements center of gravities,
weight of elements.
Measuring method
Single element quantity, multiple selection of chosen elements,

automatic quantity by groups of element
Advanced options
Comparing models (old and new IFC files), finding elements, filter
elements, adding comments,
Export/import
Fully integrated with BIMestiMate (cost estimation software) and

DDS CAD (system for electro and HVAC design)
Below there is a brief analysis of the BIM Vision features.

1. Information exchange the application reads IFC files (therefore, it is independent of design programs) and
exports calculated amounts of works directly to the costing program BIMestiMate.
2. Visualisation it enables 2D and 3D object presentations along with projections in space where storeys can be
spread apart in planes x, y and z, in partial or complete transparency. Such a presentation of a 3D model of a building
in which it is possible to make intersections is a considerable facilitation for the cost estimator.
3. Quantification process evaluation of the simplicity and speed in the execution of bills of quantities is positive
too. The application allows to choose the way and method of count (Table 2). Menu is intuitive and allows to select
the mode of creating a bill quickly. A significantly high speed of computation is obtained for an automatic bill of
quantities for a group of elements, such as walls in the model. The bill for the whole object is completed within
several seconds or a few minutes. The program is based on an automatic detection of elements. Thus, the
identification of elements described as walls involves the following:
a) Searching for the biggest two surfaces out of those available, for example, Area 1a, Area 1b, Area 2a, Area 2b,
Area 3a and Area 3b (Figure 7) and studying their interdependencies. According to Figure 7, the greatest surfaces
are Area 1a and Area 1b. When: |Area 1a-Area 1b| <5% the elements qualify for automatic calculations for the
element wall (Figure 7). The 5% value is the default one, which can be changed by the user.
b) Testing whether the surfaces of the planes found A1a and A1b are significantly larger than the surfaces of other
planes, Area A2a, Area A2b, Area 3a i Area 3b by default, they should be 8 times bigger.
To avoid calculation errors when the wall contains, for example, a niche, the algorithm additionally checks the outer
and inner surfaces and computes the arithmetic mean of the surface. In the future, the application is to allow the user
to select the minimum or maximum surface value, or the mean of the inner and outer surface.
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Figure 7. Criterion for element identification as a wall in BIM Vision
The other element of the system is a costing program BIMestiMate which, unlike BIM Vision that may function as
an IFC file reader, opens together with the BIM Vision application.
On the basis of the bill of quantities generated in BIM Vision that is later transferred to BIMestiMate, cost estimates
are performed by means of two calculation methods in Poland: a simplified method and a detailed one. The foundation
of the estimate, though, is the information stored in the BIM model within the scope of construction works; for example,
the scope of works, quantity, technology and materials. The process of works estimation itself can be based on the
knowledge about unit prices of objects in the base of the simplified method. Yet nowadays, due to the lack of
appropriate libraries of elements used in designing and to the commonly used classification of construction works, it
is not possible to use the databases correlated with the elements stored in the BIM model. Therefore, the calculation is
based on the estimators assigning appropriate unit prices to particular works resulting from the scope of works
specified in the BIM model. This is done by using the consolidated price list associated with the library of BIM
elements. Consolidated prices include average costs of materials, labour and equipment. Knowing the amount of works
and consolidated prices it is possible to easily and quickly specify the estimated cost of the building, basically without
resorting to complex cost estimating systems and without the knowledge of detailed cost estimating methods. An
example of such a calculation is presented in Figure 8.
Figure 8. An example of a simplified calculation for external plaster based on a knowledge base containing unit prices
In the case of a detailed calculation, the calculation procedure must take into account the precise calculation of
prices of construction works. It therefore requires manual work in the selection of the factual basics (standards for
labour and equipment, standards for material consumption), the prices of the factors of production (labour, materials,
equipment), and the determination of the level of overheads, such as indirect costs, and profit (figure 9). The advantage
of a detailed calculation, as in the case of a simplified calculation, is the automation of cost estimation calculations.
However, the subsequent steps consisting of searching for the works in the available database of prices and the
valuation of the factors of production, such as labour, materials and equipment or the introduction of own calculations,
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must be performed by the estimator. The calculation of the precise price of the works in an inflation does not allow to
fully automate the process of pricing works, which, by definition, should be the price for which contractors are willing
to perform the works and the price for which they will perform the works if they win the bidding procedure, and which
therefore can be written into the contract.
Figure 9. An example of a detailed calculation of the cost of external plaster on the basis of builder's
To conclude, the advantages of the BIMestiMate applications include the following:

the possibility to select a calculation method (MacroBIM or MicroBIM);
automatically imported bill of quantities in the form of an IFC file from the BIM Vision application;
shortening of the cost estimation time due to the access to the data downloaded from a virtual model of the
building;
quantities generated from the design objects and resulting estimate items are automatically associated with the
objects.
The drawbacks of BIMestiMate involve:
lack of automatic simplified cost estimation;
quantities cant be organized and saved by different classifications such as Omniclass or Uniformat;
no possibility to save data from the cost estimate to the BIM model.
5. Conclusion
The ability to automate the process of preparing a bill of quantities is one of the key advantages for the estimator.
Such possibility is provided by the BIM model. Moreover, apart from the sole calculations, the use of the appropriate
applications will allow to join the elements of the model with the amount of works and price. However, implementation
of a BIM based measurement and cost estimating practices in Poland is still at its early stages. The paper shows the
key approaches of BIM based cost estimating, such as exporting quantities, using specialized BIM measurement tool
and a cost estimate system. It also identifies difficulties in taking full advantage of BIM, especially in data exchange
issues in BIM tools and Macro BIM cost estimation process.
BIM Vision and BIMestiMate system belong to important resources necessary for quantity surveyors to perform
BIM based cost estimating. There are a few BIM based cost estimating tools, including Vico, Innovaya, Tocoman or
CostX available on the market but only one of them begins its development in Poland. In this context, the research
reviewing the most well-known tool in the Polish market is crucial indeed.
Drawing attention to solutions and opportunities used the Polish application seems a significant contribution to
software development in the world. Thus it is vital that the BIM Vision system and BIMestiMate should be evaluated
as appropriate and ready to be applied in the BIM-based cost estimation. In addition, specifying flaws in the software
will allow to indicate such future development which will advance the introduction of the requirement to systematize
construction works in Poland by means of, for instance, OmniClass, and exporting the calculated costs to the BIM
model.
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544
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[4] Innovaya, Innovaya Visual Estimating, http://www.innovaya.com/prod_ve.htm2010.
[5] Vico, Vico Estimator, http://www.vicosoftware.com/products/vico-estimator-2009/ tabid/85114/Default.aspx2010.
[6] Tokmo, Tokmo Production System, http://www.tokmo.com/product.html 2009.
[7] U.S.Cost, Success Design Exchange, http://www.uscost.com/designexchange.asp 2010.
[8] Sage, Success Design Exchange,
http://www.sagecre.com/products/timberline_office/estimating/estimating_extended_timberliti_office_estimating_software 2010.
[9] Winest, Winest DesignEst Pro, http://www.winest.com/products/add-ons/designestpro.aspx 2010.
[10] J.H. Ok, M.C. Lee, K.N. Jang, A Study on the Modeling of BIM Property Information in Reflection of the Public Cost Estimate Distinctions,
Proceeding of Korea Institute of Construction Engineering and Management, 2009, pp. 772777.
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(2008) 6168.
[13] Z.L. Ma, X.D. Zhang, S. Wu, Z.H. Wei, Z. Lou, Framework design for BIM-based construction cost estimating software, Proceedings of the
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Organization, technology and management in construction an international journal 6(1)2014
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http://itc.scix.net/data/works/att/w78-2010-112.pdf2010.buildingthefuture/2009/ModelBasedEstimating.html 2009.
[18] H. Murat Gnaydn, S. Zeynep Doan, A neural network approach for early cost estimation of structural systems of buildings, International
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[19] M.N. Jadid, M.M. Idrees, Cost estimation of structural skeleton using an interactive automation algorithm: a conceptual approach,
Automation in Construction, 16 (6) (2007) 797805,
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[21] D. Forgues, I. Iordanova, F. Valdivesio, S. Staub-French, Rethinking the cost estimating process through 5D BIM a case study,
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Rule based building components for modular coordination

Manav Mahan Singh*,a, Anil Sawhneya, Andr Borrmannb
a
RICS School of Built Environment, Amity University, Noida (UP), India

b
Technical University, Munich, Germany
Abstract
As the utilization of Building Information Modeling (BIM) increases in the built environment sector, the need to add domain specific
knowledge into the BIM authoring tools also increases. This research is focused on the development of a rule-based BIM application
which allows a designer to create parametrically enhanced rich models and perform modular coordination (MC). Through this
development a designer is able to perform standardization and dimensional coordination system to size and locate building objects
in a modular reference frame. The object level development is focused on incorporating rules for sizing and placing the building
components according to MC standards. Integration of rules of MC with BIM applications enhances the design process and allows
users to automate some tedious modelling activities that do not require design expertise. The development of rule based smart
building objects utilizes the parametric modelling capabilities of BIM authoring tools in conjunction with visual programming tools
to enhance the modelling process. The first part of the work is concentrated on the modelling process of parameter based
prefabricated building components customizable under rules specified in the MC standards. In conjunction with this the
development of modular reference frame which can be used to align the modelled objects in a 3D space was also performed in this
research. The presented work describes the customization of BIM authoring tool for modelling a residential facility using axial
planning of structural elements and illustrates ease and assistance offered to user with an example. In the prototype system the user
is guided by some specific rules and elements while allowing sufficient options to develop variegated configuration and modules
with rule-based prefabricated components. The integration of design rules of MC standards with BIM application will be influential
in radical increase in the use of digital modelling and design of built environment particularly in the prefabrication industry.
Keywords: modular coordination; BIM applications; customization; rule based BIM objects; parametric modelling.
1. Introduction
The design process of built environment can be described as handcraft which requires manual expression of
designers expertise [1]. It is an information intensive, iterative [2], evolutionary and complex process [3], [4]. One of
the oldest industry still utilizes the traditional project delivery approach in which raster documents are shared among
project participants. The inefficiencies of traditional 2D paper based approach are now well documented as well as
understood. A minor change in design invokes either updating all models and drawings or there will be inconsistency
and lack of coordination [5]. Moreover, 2D drawings are the only way of information exchange among the
professionals [6] and the coordination among the participants to convey the correct and complete information depends
solely on the expertise of the designer. So, when the designers engage himself in high value adding tasks such as
decision making, analysis of alternatives, experimentation with shapes; he is also responsible for low value production
related tasks such as data processing, information retrieval, design documentation and coordination.
* Corresponding author. Tel.: +91-120-667-3053; fax: +91 120 667 3050.

E-mail address: manav.mahan.singh@live.in
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The induction of Building Information Modelling (BIM) technology has enabled the industry to mobilize
resources from production oriented tasks to expertise driven tasks [7]. Because of its model-centric and object-driven
core, BIM by its very nature reduces the low value production related activities performed by the designer. So, in a
way BIM is positively changing the balance between high-value decision making efforts and low-value production
oriented efforts. The customization of design tools can make the process more efficient and reduce the efforts expended
by designers on repetitive and redundant tasks.
With the aim of customizing BIM tool to ease the modelling process, the research was conducted to understand
the process and methodology of enriching BIM authoring tools with domain specific information and knowledge to
assist the designer in enhancing value-creation in the design process By utilizing the concept of rule-based
modifications to BIM authoring tools for modular coordination, this research work demonstrates the computer as an
agent [8] construct. Exploiting parametric modelling feature of BIM application, this study explores possibility of
developing rule based smart building objects for associating modular coordination rules. The aim of integrating
modular coordination rules will be to assist users during the modelling process which can be extended further for
improving overall design process.
2. BIM Authoring Tools for Modular Coordination
The BIM practice allows design team to shift the efforts to early stages, hence making the value adding decision
more viable [9]. On the other hand, modular coordination enables co-operation among designers and other stakeholders
via dimensional coordination. Alongside BIM, modularization and off-site fabrication are the enabling concepts and
practices have significant impact on US construction industry [10]. Moreover, BIM and modular coordination enhance
the design and construction process by improving the communication among the project participants [11]. The preproject planning and coordination issues among professionals has created the need of implementing BIM on complex
projects [12]. BIM practice organizes the activities like planning, design-analysis, development of drawings,
fabrication schedule, construction schedule etc. Also the proliferation of model-driven fabrication, BIM applications
have increased reliability on prefabrication techniques [13]. In a way, BIM practice has potential towards increased
use of pre-fabricated modules and also modular coordination [14].
3. Review of Literature
BIM can be defined as a process of creating and updating building model for analyzing it in virtual environment at
each stage of building life cycle [15]. In other terms, it is a process of creating an intelligent and computable 3D data
set [14]. BIM authoring applications provide an enabling platform for generating, updating and sharing building
information data in efficient manner [15] . In the BIM process, the building data is stored digitally at single place which
can be used for documentation activities, eliminating the need of several information resources for different activities,
reducing the consistency issue. However, the efficient use of these modelling application can be realized only when
the models are developed at appropriate level of detail [16]. These applications have potential to reduce efforts required
for production oriented tasks such as visualization, quantity take off and information exchange. Computer Aided
Design (CAD) applications allow users to create building model which is more or less geometrical representation of
elements [17]. While BIM allows object-oriented modelling and represents elements as virtual building objects [18]
[19], offers an enabling platform for integrating domain specific constraints and logic. Sometimes, BIM applications
are considered evolved version of CAD tools for modelling buildings [20] and described as CAD + specifications [21].
Modular coordination is a dimensional coordination and standardization system for sizing the building components
and placing them within a reference system [22]. It has a three-dimensional integer lattice acting as a reference and
module as the smallest unit [23]. Prefabrication and industrialized production systems use this dimensional
coordination to optimize the number of different sizes [24], reduce on-site waste and ease interchangeability of
components.
Parametric Modelling in BIM Applications The visual, thermal or mechanical properties of building objects are
defined using variable known as parameters. Parameters are also useful in defining geometrical relationship among
objects such as alignment, separation etc. [25]. Moreover, using explicit mathematical expression, parametric
modelling features allow to integrate domain specific knowledge [26]. Parameters allows regeneration of geometry
547
based on geometrical constraints [27]. The predefined set of rules for modelling building facility using parameters in
BIM authoring tools reduce modelling and technical flaws [28]. BIM tools reduce errors through automated design
verification. 3D design capabilities and distributed intelligence of BIM applications offer an integrated and automated
design environment, which can reduce errors through automated design verification [29].
As illustrated in Figure 1; the research involves study of several modular coordination standards and examination
of modelling process in BIM authoring application. Then comes the object level development stage where various
rules to be incorporated are listed. Alongside this, various options available in BIM authoring tools which can be used
to incorporate these rules are also analyzed. After this, several building components such as doors, windows, wall
panels etc. are developed with parametrical constraints so that these objects are customizable under modular
coordination standards. Rules such as alignment, 5 mm rule and tolerance are incorporated as geometrical constraints
while others are suggestive in nature. Modular reference frame can be created using the parametric and generative
capability of BIM tools. The object developed in the previous step are also intended to improve the overall design
process such as design documentation, visualization, quantity take-off and information sharing which are not in the
scope of this paper.
Standards and BIM Authoring Tools
Modular Coordination
BIM Authoring Tools
Rules for Locating and Sizing Building Components
Modelling Process of Building Components
Modular Coordination Rules
Modelling Options in BIM Application
Object level Development
a) Modular Reference System

b) Preferred dimensions for various elements
c) Alignment to Modular Reference Frame
d) 5 mm rule for structural elements
e) Tolerance for Elements like doors & windows
f) Modular Coordination Details (Joints)
a) Modelling Process of Objects

b) Visual Programming Tool
c) Assistive Messages
d) Catalogue of Sizes
e) References for Alignment
Modular Space Frame

Rule based Smart Building Objects
Process level Development

Figure 1: Research Methodology
5. Development of Smart Modelling Elements

The design or modelling for modular coordination starts with creation of a three dimensional integer lattice termed
as modular reference frame. This frame consists of reference planes spaced at a distance of module or multi-module.
The prefabricated building components can be placed in the project referencing to these planes. As explained in figure
2, visual programming tool has been used to generate modular reference frame. Based on the sizing rules for modular
coordination, customizable rule based smart building objects are developed. For placing the building objects, there are
reference planes associated with the objects which will interact with modular reference frame and guide the modeler
to place it in the project.
Rules for Placing Building
Components
Modular Reference
Frame
Rules for Sizing Building

Components
Prefabricated Smart
Building Objects
Generation of Modular
Reference Frame
Aligning Planes/Lines
Modular Coordination
Standards
Assistive Messages
Adjusting Parametric Values
using Visual Programming
Size Catalog
(Doors & Windows)
Figure 2: Modular Coordination Rules and Options for Object level Development
548
6. Modular Reference Frame

As we can learn from modular coordination standards and design practice, the reference frame is starting point of
design process. For creating reference frame, the user requires planes represented by lines along x-, y-, z- directions.
The study utilizes visual programming tool for this activity as it is sequential and based on predefined logic.
6.1. Generation of Modular Reference Frame
A visual program has been developed to generate the grid of reference lines and levels. As explained in figure 3,
the first part generates the list of values which can be used as multi-module, then it takes input from the user to select
appropriate value for the project. After user input, the program perform simple mathematical operations and in the end
it generate lines which can be converted into column grids. Similar to this, another visual program has been developed
to generate the levels which will provide reference in the z- direction.
Processing of Data
Input from Users
Output to Project
Figure 3: Visual Programming Flowchart to Generate Grid Layout
6.2. Aligning Planes/Lines

In this study, axial placement has been taken into consideration to place structural objects. As shown in figure 4,
during the modelling process of building objects, reference planes are created. These reference planes can be used to
align it to the modular reference frame. Several modular coordination details such as joints, 5mm rule for structural
elements and tolerance for various elements are captured during modelling process with the help of reference planes
and lines.
Reference Lines to Align with

Modular Reference System
Figure 4: References Lines/Planes to align building components to a modular reference frame
7. Prefabricated Smart Building Objects

Before a designer can embed the domain specific knowledge or rules, there is a need to develop the building objects
with geometrical constraints, parameters and construction details. In this study, several prefabricated building objects
such as wall panels, slab panels, doors, windows, stairs etc. are developed. As expressed in figure 5, various rules for
sizing the components according to modular coordination rules have been identified, then different options have been
used to incorporate those rules as discussed in subsequent sections.
549
Rules for Modular Elements

(Wall/ Slab Panels)
Length, Width & Thickness
Using Assistive Messages
Opening Size & Position
Horizontal Alignment
Aligning References to
Modular Grids
Vertical Alignment/Height
Aligning References to
Modular Floor Levels
5 mm Rule for Structural Elements

Tolerance for Factory Elements
Modelling Process of
Objects
Joint Details
Figure 5: Rules and Options for Modelling Building Object
7.1. Assistive Messages

This option can be used to display assistive information to the user, when there is a deviation from modular sizes.
As explained in figure 6, assistive messages are created during the modelling process of object. Then a visibility
parameter has been associated with the text message. The value of visibility parameter depends on a conditional
statement which allow it to appear in the project environment when there is a deviation from standard sizes.
The Preferred Dimensions for Length are:
300, 600, 900, 1200, 1500, 1800, 21000, 2400,
2700, 3000, 3300, 3600, 3900, 4200, 4500, 4800,
5400, 6000, 6600, 7200, 7800, 8400, 9000, 9600
Please select from given values.
.
Assistive
Messages
Rule based Smart Building Object
...
...
Figure 6: Assistive Messages for Sizing
7.2. Adjusting Parametric Values using Visual Programming

The visual programing tool can be used to modify value of parameter for particular building object. As explained
in figure 7, a visual program can be developed first to generate values then associating that value with suitable
parameter. A list of values can be used to guide the user about dimensions possible for the parameters.
550
Project Environment
Visual Programming Environment

1.
2.
3.
4.
5.
6.
...
4.
Parameter
List of Values
Value
Object Family
1. , 2. , 3.
, 4. , 5. ,
6. , ,
Data from
External Source
Object
Object
Object with Modified

Parametric Values
Figure 7: Visual Programming for Modifying Values for Parameters
7.3. Size Catalog (Doors/ Windows)

This is suitable option when there are several combinations of values for parameters are possible for door and
windows under modular coordination rules. Spreadsheet application can be used to generate suitable set of values for
parameters. The type catalog option can be used to create combination of length and height for doors & windows
possible under modular coordination rules. As explained in figure 8, the object is developed which has geometrical
components controlled by parameters, then the values of these parameters can be controlled using separate .csv file.
Set of Values (.csv file using Spreadsheet Application)
Door/Window Family
Parameters
Size of Modular Door/Window
Figure 8: Adding set of Values for Parameters to Door/ Window Family
8. Conclusions
The BIM tools allow the design team to incorporate domain specific knowledge to ease the modelling process. The
parametric modelling feature enables the user to create geometrical constraints and easily manipulate the design
alternatives within set of standards. Various options to adjust the parametric values make the modelling process more
flexible. The research can be extended to improve design activities such as quantity take-off, documentation and
information sharing by incorporating identity parameters. The identity parameters can be associated with the building
objects to enhance and streamline the design process. Moreover, other domain specific knowledge such as acoustical
design, building byelaws etc. can also be incorporated. The objective of such rule based objects is to increase
knowledge resource or built-in intelligence of BIM tools.
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551
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552
Agile PM and BIM: A hybrid scheduling approach for a technological

construction project
Ing. Radan Tomek, MSc. *, Ing. arch. Sergey Kalinichuk
Czech Technical University in Prague, Faculty of Civil Engineering, Thkurova 7, 166 29 Praha 6 Dejvice, Czech Republic
(both authors)
Abstract
This paper introduces synthesis of the Agile Project Management and Building Information Modeling in construction industry and
its practical application with the accent on economic incentives of their implementation as the most significant factor. The executed
synthesis of both concepts features leads to the representation of the general process of integration, thereby the general development
of integrated product and process model for addressing the on-site management phase of a construction project. That is when
Building Information Modeling technology plays a key role in Agile method not only as the technological container for information
model of a construction project, but as a new construction approach bringing in the additional benefits described in the literature.
Keywords: Activity overlapping; Agile Project Management; Building Information Modeling; Hybrid Scheduling Approach
1. Introduction
The effort of shortening construction project duration usually increases the complexity of the project, creating real
problems for the project team. The main problems arise in the relationships between the project's phases and reactions
to changes during the project period. Also most overlapping techniques - such as concurrent engineering, parallel
engineering, phased construction, fast-tracking, flash-tracking, and agile project management - reduce the time from
the start of construction of separate parts of the project to completion [1,2,3,4,5]. This happens because the reduction
of the investment process duration in the construction process is the major component in the whole control system.
First, the changes and instability in the market conditions together with the exposition of considerable funds for the
project represent a great risk for the Investor. Secondly, the reduction of the project realization terms involves the
reduction of the period of a recoupment and improvement of some other indicators of economic efficiency of the
projects.
Naturally, the Investor is interested in a faster start of the project operation for an earlier return on investments and
subsequent receipt of the profits. Designers and Contractors are also guided by the similar reasons. Therefore all used
guidance systems are subordinated to the idea of acceleration of turning of the capital. The integral purpose of schedule
compression techniques consists in the decrease or the reduction of the project duration. In such projects in which
schedule compression techniques and BIM processes and tools have been simultaneously involved, the Investor and
the General Contractor can achieve considerably important economic advantages. The reason for the usage of schedule
compression techniques is clear enough and is supported by the possible economic gain [6]. The reason that BIM is
* Corresponding author. Tel.: +420 224 354 817; fax: +224 355 439.
E-mail address:radan.tomek@fsv.cvut.cz
553
used in our case is the requirement for the optimization of existing project delivery. To be more exact the project
requirement was for higher quality in design/construction and the elimination of rework [7,8] (Figure 1).
Figure 1: The role of BIM in the mechanism of activity overlapping. Source: Own elaborations.
In this paper, we present a real world concept of compressing the project schedule by running design and
construction phases simultaneously based on an Agile approach for the schedule compression. By contrast to traditional
approaches, Agiles approach assumes that the detailed design specification can be improved with intensive Investor,
Designers and General Contractor collaboration during the process. This approach requires two kinds of plans: longtime
(complete project realization) and short-time (iteration) plan [9].
Building Information Modeling technology plays a key role in the Agile method not only as technological container
for information model of construction project [10,11], but as new construction approach bringing together the other
additional benefits described in the literature [12,13,14]. As a consequence, during project planning phase, these two
methods collect the essential information inside Building Information Models for the longtime plan (i.e. design features
allocation to the stages). After project planning is finished, the Building Information Model only collects more detailed
information on the design features of the next iteration of the given project realization stage to stage the short-time
plan.
2. Synthesis of the approaches towards an integrated product and process model
The executed synthesis of the features of the two concepts (Table 1) leads to the representation of the general process
of integration. The purpose of integration is to create a process model for addressing the on-site management phase of
a construction project. Both approaches for the construction project realization which have been considered in this
analysis contain one or several of these physical, logical and process entities. They may not often be located in a top
level hierarchy. Out of these basic subjects, various models are included into the objects, such as cost, time and quality
that are less universally accepted, and can equally belong to the highest level. Another approach is to accept the simple
connection between the products and the processes by means of their integration so that the processes correspond to
the certain products.
554
Table 1: Synthesis of two approaches. Source: Own elaborations.

Issue
Concept
Agile
scheduling technique
Main principles
overlapping the project design and

construction phases
Aim
Method and practices (example)
reduction of the project time

product development (concurrent
engineering)
project execution (fast track, design-build)
construction starts prior to all information
is available
Practical contribution
Building Information Modeling

building information model
technology solution
project management approach
creating information model
team collaboration
effective communication
elimination of omissions and rework
Earlier involvement of all key participants
Table 2: Comparative advantages of BIM. Source: Own elaborations.

Process Overlapping Advantages
Capability of ordering long lead items
during the early phases of a project
Expedition of the construction process
Process Overlapping Disadvantages

High possibility of misunderstanding
between the owner, designer, and the
contractor
Propensity to an increased number of
errors from the designer
Increasing of productivity by speeding up

the construction process
Cost minimization of overruns
Total cost of the project is unknown
Positive cash flow would start sooner for

an owner
Potential for more change orders to correct

errors or to change to more advantageous
designs
Can avoid winter or other adverse weather

conditions
May have to obtain various municipal

approvals and more permits then what
would normally be required
Contract with the owner has to be clearly
defined:
Percentage of construction documents
completed
Allowances
Contingency amount and who owns it
Incomplete drawings and specifications are
incrementally released for bidding,
governmental review, and construction
Can save on inflationary cost of materials,

products, and equipment
Can obtain critical subcontractors early in

the process
Coordination of all trades can be more

difficult
BIM Benefits
Earlier collaboration of multiple design
disciplines
Discovery of Design Errors and Omissions
before Construction and Automatic LowLevel Corrections
Extraction of Cost Estimates during the
Design Stage
Earlier Collaboration of Multiple Design
Disciplines and
Use of Design Model as Basis for
Fabricated Components
Easy Verification of Consistency to the
Design Intent and
Synchronization of Design and
Construction Planning
Earlier and More Accurate Visualizations
of a Design
Improved Collaboration Using Integrated
Project Delivery
Generation of Accurate and Consistent 2D

Drawings at Any Stage of the Design
3. Baseline schedule development approach

Success in the BIM delivery approach required understanding what Building Information Modeling technology
means. One must also know how to create BIM teams, and how BIM teams collaborate, cooperate, and function in
various situations, particularly for projects employing Schedule Compression Techniques [14,15]. The different lifecycle phases of a construction project can be divided into eight parts. It can be separated to nine main processes, which
are: inception and project definition, outline design, structural engineering and analysis, property specifications, cost
management, procurement and supply, fabrication, assembly and erection and finally facility management [17]. To
simplify the following analysis this paper shortcuts this number of processes for all types of projects: Initializing
Process, Planning Process, Controlling Process, Executing Process, Closing Out Process.
The Figure 2 illustrates the classical project realization cycle. This type of relationship between most processes is
also known as a finish-to-start dependency, meaning that the predecessor activity must be completed before the start
of second successor activity and any change in project may cause rework. The farther into the construction life cycle
555
the project progresses it is often when some issues are discovered, or changes happen. These changes cause the biggest
impact on the budget and schedule. When problems arise they can drive a replanning of the project schedule and a reestimation of costs to complete the project [4].
Figure 2: Replanning of the classical construction life cycle. Source: Own elaborations.
The baseline schedule development approach will be used as the basis of Agile and BIM. Concurrent construction
approaches are to break up the long main project life cycle into small sets of dependent activities - Overlapping
Activities. Overlapping Activities should consist from semi-independent activities with a specific degree of
overlapping capacities. Interdependent activities which must be overlapped for information exchange and to progress.
The length of the Overlapping Activities are dependent on the project conditions such as the complexity of the project,
total duration, and the team. At this point, changes and adjustments will not create rework (i.e. extra cost and time), i.e.
an increase in the duration of the successor Overlapping Activities compared with their normal duration. It doesnt
mean that the rework might ever happen. If a problem is discovered it can be rolled into the next and subsequent
Overlapping Activities planning sessions and into the schedules and would not require a major re-plan of the entire
project. The Figure 3 demonstrates the process described above. Normally, because there is a completed part of the
project after each Overlapping Activity, problems are discovered earlier in the project development process. Investor,
Designers and General Contractor provide feedback after each Overlapping Activity for the purpose to re-vector the
project realization efforts before major cost and schedule have been expended.
Figure 3: How requirements changes are handled in the agile process. Source: Own elaborations
556
4. Conclusion
The main focus of the work is focused on the practical application of the newest technologies and approaches in
construction industry with the accent on economic incentives of their implementation as the most significant factor. It
is expected that the integrated product and process model will facilitate improvements in the construction process,
particularly with respect to: collaborative design, project coordination, reduction in project duration, reduction in costs,
reduction in claims and disputes and improvements in product quality. The generic model will be applicable to different
European countries, out of which many have similarly fragmented construction industry markets.
The introduced methodology of synthesis of Agile and BIM was already implemented in practice and has already
proved its applicability and effectiveness. This methodology was integrated into the current practice of Group of
Companies in Russia. This Group of Companies is a construction and installation Holding Company performing design
and construction of large-scale industrial projects of power-producing industry (oil & gas processing, transportation
and storage facilities), power industry and metallurgy industry. Because of an enormous potential for the investment
projects in the oil & gas industry and because of its high interest in intensification of works, this company already
started to test the implementation of BIM. The introduced innovative method of design was mentioned in tender
documentation and will go through approbation within a pilot project on delivering groundbreaking oil and gas at the
extensive Sakhalin-2 construction project.
Acknowledgements
This work was supported by the Grant Agency of the Czech Technical University in Prague, grant No.
SGS15/132/OHK1/2T/11.
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557
BIM standardization for construction site design

Marco L. Trani, Manuele Cassano*, Davide Todaro, Benedetta Bossi
A.B.C. Department, Politecnico di Milano, Via Ponzio 31, 20133 Milano, Italy
Abstract
Construction site design needs to be developed in different phases of a construction process. An early report of the research
highlighted, in fact, a precise structure of contents both for pre-design (until tender) and for execution-phase design based on a
systematic approach. The research is now going on applying Building Information Modeling technique to that structure, assuming
the strategic role of site design in the whole design process in order to meet the safety goal as well as the time-cost requirements of
a project. The actual stage issue is to identify and develop a standard design BIM-based method in order to create a proper
Construction site information model (CoSIM). The final aim is therefore to help site designers to reach primarily the required
health and safety employees standards. CoSIM method needs to be supported by an inventory of BIM elements, made on 3dmodels, supplied with their ergo-technique information. That inventory has been therefore developed upon a precise classification
made on different elements type (equipment, facilities, plants) according to their function on construction site. The research
methodology for translating ergo-technique contents in a BIM has followed therefore these steps: (i) definition of elements to be
contained in a CoSIM; (ii) definition of graphical level of detail of the model and its elements; (iii) definition of ergo-technique
information level of development; (iv) translation of the model into proper deliverables.
Some results of the first three steps of the research here presented show the development of construction site design from the predesign to the execution-design phase in a case study through which it has been possible to asses and refine some guidelines for the
creation of the postulated Construction Site Information Model.
Keywords: Building Information Modelling; Construction Site; Site design; Health and Safety
1. Introduction
Construction site design or ergo-technique design is becoming more and more important among design
disciplines. In fact it is able to improve design performances driving choices in order to respect times, costs and safety
issues. From many years, the task group has worked on this direction trying to regulate ergo-technique discipline in
order to reach the goal of assuring project able to satisfy the cited needs. One of the steps of this research has been the
disciplinary reorganization assumed, that has driven the sequent researches, included the ongoing research about BIM
application for construction site. In particular is important to underline the importance of the subdivision of ergotechnique design discipline in construction site pre-design activity and construction site execution-design activity. The
first one is carried out by a designer appointed by the client during contract design phase (until tender). Contractor and
subcontractors, after the tender, produce the second one starting from the contents of the first. Table 1 resumes the
principal themes of each of two stages which are strictly related since execution-design must follow and develop predesign phase.
* Corresponding author. Tel.: +39-02-23995764

E-mail address: manuele.cassano@polimi.it
558
Table 1: Structure of the ergo-technique design [5]
CONSTRUCTION SITE PRE-DESIGN

Project Contextualization
Functional-spatial design (productive site)
Technological-plant design (productive site)
Process analysis (construction phase)
Process planning (construction phase)
Organizational modeling
Health & Safety Coordination planning
CONSTRUCTION SITE EXECUTION DESIGN
Site organization
Site operational management
Production operational design
Operational safety planning
This ergo-technique design breakdown [5] has been followed for the development of a series of contents for a
Construction Site Information Model (CoSIM) both for pre-design and execution-design. The aim is to improve
construction site issues of BIM discipline, assuring also integration with others. A clear structure of contents has been
created, with a specific level of detail (both graphical and informative) for each phase, in order to make a faster and
better design of the execution phase of a project.
Many studies in recent years are trying to implement the use of BIM in order to gain advantages in different aspects
of the construction process including the management of the construction site and the use of models on-site. From the
point of view of construction site design, two main aspect are underlined by international researches: 4D scheduling,
Safety or both together. 4D scheduling research started several years ago with 3D CAD systems implemented with
time in order to visualize the works progress. With the development of Building information Modelling the research
on 4D scheduling obviously moved on this system since the possibility to insert time information, automating [1]
the process of link between 3D objects and schedule. Most of the intervention underline the utility of these issues in
visualization of construction phases in order to have a better view of works and, first of all, of safety aspects (e.g.
visualize spatial criticalities during time, design of construction site layout in different phases, study temporary strength
of structure during construction phase, etc.) [6]. In fact, safety is the other main issues of construction site and BIM
researches. Lots of these researches aim to a better visualization in order to point out safety criticalities for workers.
Some contributions, therefore, add some aspect for the production of safety planning [3] also taking into account
information contained in the model (for example spaces calculation or guardrail quantification) [2]. The way traced is
that of automatic checking of some safety rules (some tests are made for the automatic control of falling risk and need
of falling protection guardrail) [7]. From the point of view of BIM & Safety is important to underline BIM for
construction guidelines of CoBIM Finland Standard and NYC Building Department document for Building
Information Modeling Site Safety Submission Guidelines and Standard. These and other contribution has been taken
into account in outlining a precise structure of a Construction Site Information Model and suited to the contents defined
for both phases of ergo-technique design. Therefore detail definition for CoSIM and its elements takes into account
the diffused measures such as LOD [10]
3. CoSIM Pre-Design
3.1. Project contextualization
This area aim to study and solve possible criticalities of the context against construction site. Since those criticalities
are existing physical/environmental elements, BIM level of detail has to be developed with particular attention to the
exact dimensions of elements. In addition some elements (in particular existing outdoor or indoor plants) must be
promptly visible in the model by using specific colors. Each element must be also described by information regarding
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the specific criticalities that affect construction site such as possible damages for workers or additional work required
by site organization.
3.2. Functional-Spatial and Technological-plant design
These areas are strictly related since they take in consideration each element of construction site system with its
functional, technical and spatial features. In order to describe contents of these areas a specific standardized inventory
of BIM elements has been created with defined graphical and informative level of detail. The inventory follow a precise
classification of different elements types (i.e. technological, productive, functional-spatial systems).
The definition of detail levels in ergo-technique pre-design is based on performance specifications needed in this
phase. For these reason CoSIM elements are characterized by some information giving minimum or maximum
performance to be satisfied then in execution-design phase. Furthermore, the chosen graphical level of detail is
simple in order to show the general type of the element without specifying the real element in commerce that will be
chosen by the firm during execution phase. Such a simplicity in modeling result very suitable for this phase of design
in which CoSIM has to follow and, at the same time, drive multiple/continuous changes of other design disciplines.
3.3. Process Analysis and Process Planning
Process planning studies construction site phases by defining a precise site layout for each of them. CoSIM in this
case adopt 4D methods in order to visualize construction developments and manage single phases by designing site
and establishing the works chain. Regarding process analysis, pre-design CoSIM goes to a higher level of detail
showing possible solutions even for individual workplaces, if required, to evaluate its safety and its costs.
3.4. Organizational Modeling and Health and Safety Coordination Planning
These areas take into account organizational and management factors and must be delivered as a textual document.
However such a design standardization helps the production of this deliverable not only with 3D images. In fact the
amount of data contained in the CoSIM (that is a deliverable itself) need to be used for the organization of each phase
of construction site. An example of data mining from the model can be the calculation of safety costs of construction
site (required by law in pre-design phase). In fact, CoSIM has to contain, for each phase, all the elements that represent
a cost for safety with their quantities and prices.
4. CoSIM Execution-design
4.1. Site organization and site operational management
Contractors have to satisfy performance specifications given in the functional-spatial and technological-plant predesign with technical specifications. Therefore, CoSIM site organization consists of the development of CoSIM predesign using contractors own technical resources. Therefore, a different inventory of elements has been created for
this phase made by 3D models of real equipment currently used on construction site. Contractors have to use this
inventory according to their proper organization satisfying pre-design specifications. Therefore, both graphical and
informative issues of each element of the inventory are more detailed.
4.2. Production operational design and operational safety planning
These areas develop procedures and operating instructions in accordance with the process analysis of pre-design
phase. For this reason each construction firms, starting from pre-design CoSIM, analyses its own individual portion of
the works and goes in detail designing a specific procedure for that work. In this way construction firm is able to study
in deep single working places in a detailed working sequence and to evaluate real feasibility of single operation without
affecting safety of workers. Therefore, such a detailed study is very useful for workers, who can visualize their tasks
and each position they have to take. Their training could be in fact achieved using some sheets of CoSIM 3D views or
IT equipment (i.e. tablets, smartphones) [4].
That way, execution CoSIM becomes a part of the Operational Safety Plan of each firm that have to be checked by
the safety coordinator at project execution stage.
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5. Case study overview

The contents of the presented structure have been developed by applying CoSIM design to real case studies. In
general, ABC Dept. task group has been part of design teams -with the role of construction site designer- during design
phase. Furthermore, during execution phase it had the opportunity to assess the usefulness of the design method
applied. The case study here presented concern a demolition of a building and some interventions on the neighbouring
structure. As showed in Figure 1 construction site consists in two main areas joined by a metal carpentry portal essential
to allow the use of the neighbouring building (trucks entrance and emergency exit). The trucks entrance is the part
subjected to structural adjustments.
Figure 1: Pre-Design 2D Site Layout
The CoSIM pre-design was produced during the whole design phase and developed the general site layout. It took
into consideration elements of project contextualization, functional-spatial and technological-plant design. In addition,
process analysis was developed studying structural adjustments sequence of trucks entrance.
The need of modelling context came from the area of intervention that is in the center of the city of Milan. In
particular, all the surrounding buildings and the streetlights were modelled to show clearly possible interferences with
construction site. In this phase buildings have the graphical level of detail of simple solids and lighting plants are
modelled as red cables. The aim, in fact, is only to give evidence of the criticalities. Regarding information level of
development lighting plants were implemented with some parameters that give an overview of possible damage for
workers due interference and the parameter remove as a likely solution to avoid these damages.
Functional-spatial and technological-plant design regarded all the elements inserted in CoSIM to produce the site
layout. The following table 2 presents the study of some of these elements and in particular: fences; scaffolding; sheds
and tower crane; the same table explains criteria of graphical detail and shows information inserted for each of these
elements in the design phase. In addition, figure 2a shows a view of the produced CoSIM pre-design.
Table 2: Elements of CoSIM pre-design
Element
Graphical level of detail
Related parameters
Fences
Show site boundary, typology, dimensions,

strength and permeability requirements
(cost to be evaluated).
Length
Permeability
= 70 m
= Blind
Scaffolding
Show its presence where needed in each phase
Total Area
= 600 m2
Maximum Length
=5m
Min. Internal height = 2,70 m
Min. height
= 2,50 m
Strength: traffic damage resistant
and its size (cost to be evaluated).

Sheds
Show their number, location, minimum/

maximum size.
Tower Crane
Show min./max. dimensions related to context
Minimum height
= 60 m
Min. Boom Length
= 40 m
constraints.
Min Load
= 3 tons
Max. Boom Length
= 45 m
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Figure 2: Site Layout, (a) Pre-Design CoSIM view, (b) Execution design CoSIM view
As showed in figure 2b the level of graphical detail changes a lot from pre-design to execution CoSIM since
construction firms needs obviously more detail also in information development of each elements. As a comparison
with pre-design, table 3 shows the characteristics of the same elements of table 2.
Table 3: Elements of CoSIM execution-design
Element
Graphical level of detail
Related parameters
Fences
Implement real products typology (new-jersey
Total Length
= 67 m
Number of panels
= 87
plus metal blind panels) with their actual

characteristics.
Number of NJ
NJ height
= 29 m
= 1,00 m
Panels height
Panels Material
= 1,50 m
= Metal
NJ Material
= Concrete
Panels Structure
= Steel
Scaffolding
Total Area
= 600 m2
Protection fans width: 1,2 m
Type:
Implement real sheds typology (e.g. sandwich
Length
=6m
Function
= Toilet
wall, passageway, MEP, etc.).
Internal height
= 2,70 m
N Workers
= 10
Implement real tower crane typology,

operational area, etc.
Height
Boom Length
= 65 m
= 45 m
Counterweight dim. = 6,25x6,25 m

Fixing system gap = 20 m
Max. Load
=4
Implement real scaffolding typology (pref.

frames), stair (steel flex), any other element
Pref. Frames
(e.g. guardrails, braces, protection fans, etc.)

Sheds
Tower Crane
Figure 3: Operational design - Mounting sequence of the metal carpentry
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The production operational design provided by each construction firm during the execution phase has been
expanded upon the process analysis developed during design phase. Figures 3 shows the mounting sequence of the
metal carpentry in the trucks entrance. In that views workers can identify their role, position and safety equipment such
as scaffolding and guardrails at their disposal.
6. Conclusions
The presented Construction Site Information Modelling -CoSIM- methodology carried out and tested through the
design and the execution phase of the project above illustrated has pointed out some strengths, weaknesses,
opportunities and threats. First of all the CoSIM approach allowed to share in a sharper way all design issues among
different designers, orienting or even asking them for different technological choices considering construction site
issues since the early stage of the project (e.g. steel portal dimensions, roof reinforcement, temporary structure position,
etc.). The LOD-like level of detail [10] assessed for contextualization constraints, equipment, scaffolding and any other
site element of interest during design phase seemed to fit Contractor information exigencies related to the subsequent
production of the ergo-technique execution-design. The flexibility of the inventory created at that purpose shown its
strength into the possibility to simply hand over information from a design (likely) to an execution (real) database
of site elements.
The CoSIM actual weakness consists of the lack of site equipment real product BIM objects. Those used for the
research project, in fact, has been developed by the task group. Therefore Contractors may consider the CoSIM
approach for operational design not too developed yet.
On the contrary, the task group experimented a great convenience in using the CoSIM method from a time-cost of
design point of view. Sharing and visualizing site information and situations since the early stage of the design phase
with other designers allowed a strong reduction in time-waste in modifying a number of time the ergo-technique predesign, achieving as well a better health and safety design at a lower professional cost. As the Contractors construction
site execution design has to be approved by the safety coordinator, at the execution phase, the experimented use of a
shared CoSIM abbreviate that issue which is always a threat for project managers.
The only real threat that has been noticed using a CoSIM is the model handling from the Client to the Contractor,
referring to its modification permissions. Anyway this possibility is a malicious one as it is necessary the explicit
willpower to do so.
Acknowledgements
The task group wants to make a special acknowledgment to Fondazione Teatro alla Scala di Milano, client of the
case study, for its support to CoSIM approach since the beginning of the project. Another acknowledgment must goes
to Corbat S.p.A., contractor of the case study, which is collaborating for our research needs.
References
[1] Kim, H., Anderson, K., Lee, S., Hildreth, J. (2013), Generating construction schedules through automatic data extraction using open BIM
(building information modeling) technology, Automation in Construction, 285-295.
[2] Qi, J., Issa, R. R. a., Olbina, S., & Hinze, J. (2013). Use of BIM in Design to Prevent Construction Worker Falls. Journal of Computing in
Civil Engineering, 2014.28.
[3] Sulankivi, K., Khknen, K., Mkel, T., & Kiviniemi, M. (2010). 4D-BIM for Construction Safety Planning, W099 - Special Track 18th CIB
World Building Congress, Salford, UK
[4] Trani, M., Bossi, B., Cassano, M., Todaro, D. (2014). BIM and QR-code. A Synergic application cin Construction site Management, Creative
Construction Conference 2014. Prague, Czech Republic, June 21-24, 2014, 619-624.
[5] Trani, M., Bossi, B., Minotti, M. (2013). Construction Site Design: A systematic Approach, Creative Construction Conference 2013. Budapest,
Hungary, July 6-9, 2013, 787-795.
[6] Vimonsatit, V., & Lim, M. (2014). Use of BIM tools for site layout planning, ASEA-SEC-2 Sustainable Solutions in Structural Engineering
and Construction, Bankok, Thailand, November 3-7, 2014, 755760.
[7] Zhang, S., Teizer, J., Lee, J., Eastman, C., Venugopal, M. (2013). Building Information Modeling (BIM) and Safety: Automatic Safety
Checking of Construction Models and Schedules. Automation in Construction, pp. 183-195.
[8] COBIM Common BIM Requirements 2012, Series 13: Use of models in construction, Finland
[9] NYC Department of Buildings 2013, Building Information Modeling Site Safety Submis-sion Guidelines and Sandards.
[10] AIA 2013, Building Information Modeling and Digital Data Exhibit
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Measuring BIM readiness with comprehension at the pre- maturity

Senthilkumar Venkatachalam1 *, Chamila D. D. Ramanayaka2
1
Department of Civil and Environmental Engineering, University of Sharjah, Sharjah, 27272, United Arab Emirates
2
The University of the Witwatersrand, 1 Jan Smuts Avenue, Braamfontein, Johannesburg, 2000, South Africa
Abstract
This study is contemplation into prevailing BIM (Building Information Modelling) development practices, especially at the prematurity level. Firstly, the authors investigate the incentives that are set based on quantitative techniques and illustrate that
rational models could not assist practitioners to make decisions on BIM adoption. Secondly, the survey-based methodology,
which is predominantly used to assess industry readiness, was also reviewed to evaluate the amount of attention given towards
externalities, such as procurement, policy, technical and organizational environments which have a greater influence on BIM
adoption. Further, the authors argue that the externalities are given a minimum consideration under the prevailing assessment
criteria. The contextual-reflection is used to describe externalities and a qualitative study was done in the South African context
to evaluate the contextual reflection comprehensively. Integrating the findings with the Technology Adoption Model and Bew
Richard BIM Maturity Model, the authors suggest a conceptual framework at the end of this study which could be repeated
successfully in other contexts to evaluate industry readiness in a holistic manner.
Keywords: BIM; contextual reflection;readiness; technology adoption
1. Introduction
Information management techniques in construction have been advanced significantly during the last few decades.
In some countries, traditional methodologies, such as paper-based communication, are replaced by advanced BIM
technologies, including the ability to share commercial data through proprietary interfaces (pBIM) and work through
integrated web services (iBIM). Though BIM is believed as the future of the construction industry [1], many nations
are still at the pre-BIM maturity i.e. the Level of Development (LOD) zero according to the Bew-Richard
maturity model [2]. Regardless of the abundance of literature, it is somewhat of a belief in such contexts still that
BIM is a synonym for CAD [1]. However, the true value of BIM extends beyond simple spatial representation,
hence its adoption in developed nations has been justified. BIM adoption in these countries depends on various
factors, but practitioners attitudes towards BIM are largely governed by externalities [3] that are difficult to control.
Secondly, there is no standard productivity data developed to estimate BIMs financial sustainability [4]. When
rational data-driven decision making is impracticable, an alternative is to use subjective knowledge in estimating
BIMs Return of Investment (ROI), which is a revoke of the chicken egg causality dilemma: BIM should be
practiced to know its ROI, but without knowing financial sustainability, managers are reluctant to adopt BIM.
Perhaps, this is why the establishment of technical pull (client pressure to use BIM) and push (availability of national
protocols) strategies are required in order to encourage the wider BIM adoption and realize its benefits [2]. Strategy
development is also unique: in the United Kingdom, stratagems are made by an industry-government leadership [2],
whereas in New Zealand [1], France and Germany [5], the government leads the process. Perhaps, these different
*Chamila D. D. Ramanayaka. Tel.: +97-106-505-0945.

E-mail address: svenkat@sharjah.ac.ae
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approaches are due to unique procurement, organizational and political characteristics of industries in which they
operate. Under these circumstances, it is vital to evaluate the amount of contribution paid towards externalities by
current methodologies under the assessment of industry readiness. More importantly, how existing methodologies
could be improved in order to understand practitioners attitudes towards BIM? To answer these questions, this study
suggests a conceptual framework to assess industry readiness by integrating the findings of a field study, which was
conducted in South Africa, with the Technology Acceptance Model (TAM) [6], Bew Richard Maturity Model [2] and
annul BIM survey template used internationally [1]. The objectives pursued were: 1) finding the effectiveness of
BIM stimuli set at the pre-BIM maturity (literature review); 2) Identifying the effectiveness of current practices to
evaluate industry readiness (content analysis to the BIM survey template); 3) Understanding how externalities
influence practitioners reasoning towards BIM adoption (interviews analyzed via memo writing and systematic
coding); and 4) Suggesting a comprehensive framework to evaluate industry readiness meaningfully.
2. BIM stimuli do they have wings?
To encourage BIM development, the Productivity Partnership provides stimuli, solely believing in the merits of
data-driven decision making. One fact is that only in 62% of situations, BIM could ensure greater ROIs in US [7].
Yet according to behavioral science, such facts rather induce negativity: a pessimist's attention is focused on the
glass half empty allocates a disproportionately greater attention to the negative cues, while tending to forget the
positive aspects [8]. As long as the construction industry is risk-averse [6], the possibility of occurring pessimistic
information processing is perhaps high. Further, according to classical statistics, the amount of gain should be given
as a frequency distribution to make decision under uncertainties. However, making such standard productivity data is
quite impossible for BIM due to the presence of large amount of variables, including human factors [4].
Figure 1: Decision making collaboratively (a) and individually (b): (1,1), (1,3), (2,2) and (2,4) represent payoff values for each situation in the
order of (client, contractor)
Figure 1 illustrates two situations that managers could use rational models collaboratively (a) and individually (b).
The first scenario is a decent of the Game Theory. In case one (no BIM by both parties), the lowest payoff values (1,
1) occur. When only the contractor adopts BIM, the client gets no advantage (1, 3); thus, the relevant BIM
implementation cost should be spent by the contractor. Yet, when the client adopts BIM, the contractors payoff is
twice as of case 1. However, the fourth scenario has the highest payoff, and hence both are encouraged to use BIM
collaboratively. In addition to optimize payoffs, this model tells the highest beneficiary, and hence the most
responsible person for BIM adoption in terms of cost and time. However, the question remains: how a novice BIM
user decides payoff values? The same question is relevant to individuals (Figure 1-b). To become financially viable,
the net value of [a x GAIN - (100 - a) x LOSS] should be positive [LOSS= BIM implementation cost; GAIN
equivalent value of expected benefits]. Yet, under the absence of standard productivity data, how beginners decide
the probability of gain (a%)? Thus, BIM adoption is different to other technologies, such as changing formwork
erection from traditional timber-frame to sheet-metal construction, where factors, such as the tolerable concrete
pressure, adjustability, productivity and longevity, which are specified in standards formats. Since BIMs real
benefits are long-term and ROI is uncertain [4], the industry would not be self-motivated to adopt BIM, which is why
strategies and policies should be intervened [8]. However, when such policies are regulated, there should be national
protocols (such as BS1992, AVANTI and Classification 1, 2), supporting the industry to establish common data
environments, work procedures and data structures. It is highly likely that those protocols are context dependent.
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3. Effect of externalities
According to the Technical Adoption Model (TAM/Figure 2), perceived usefulness and ease of use are the two
constructs psychometrically impacting technology adoption [6]. More importantly, practitioners who reject BIM are
also positive about these constructs. For example, in New Zealand, compared to 74% of BIM-users, more non-users
(80%) believe that BIM improves coordination between construction documents (perceived usefulness) [1]. Thus, it
is reasonable to assume a strong element that governs practitioners action beyond BIMs properties, which are
externalities (i.e. procurement, technical and organizational contexts) according to literature [3].
Though LOD1, which is the managed-CAD status with common data environments [2], could be managed as a
data-centric process, beyond that level, BIM is a knowledge-centric process implemented via integrated protocols,
such as the Integrated project Delivery (IPD); yet in most countries, prevailing procurement methods are
conventional and characterized by fragmentation, supporting only data-centric activities [10]. In New Zealand, where
BIM development is at the pre-maturity, the contextual reflection, i.e. practitioners careful consideration of
externalities and subsequent dependence beyond BIMs properties, before acting, crates a categorical model entitled
process versus technology[11]; regardless of positive perceptions, the process-biased category tends mostly to avoid
BIM due to prevailing unfavorable procurement and organizational characteristics. Also, externalities decide not only
BIM adoption, but also the status of BIM uses (sub-optimal or near optimal) [11].
Figure 2: Technical Adoption Model by Davis et al. (1989) [6]
4. Is the contextual-reflection considered enough by developers

To evaluate industry readiness, developers tend to repeat a universal survey template, annually [1]. Is this effective
enough to uncover the uniqueness of the contextual-reflection? With the operational definitions focusing on
differentiating BIM uses (U), internal properties (I) and externalities (E) (Table 1), the annual BIM survey template
was analyzed to see the frequency of occurrence for the identified themes (Table 2). According to the frequencies
counted for the 55 questions (Table 1), most externalities (E2, E3, E4 & E5) are given a minimum consideration
compared to BIMs internal properties (I1) and actual use (U1) [Note that some subjective interpretations were done;
the use of COBie (Construction Operations Building Information Exchange) demands life-cycle integration, and
hence was considered under E3; providing BIM objects by software vendors (internal stakeholder with respect BIM)
is under I2, but by manufactures (external stakeholders with respect to BIM) is under E1]. Perhaps, such efforts are
well-suitable for countries at advanced BIM maturities such as the United Kingdome and Finland, due to richness in
their BIM literature [2]. Yet at the pre-BIM maturity, scarcity of literature could hinder practitioners attitudes
towards BIM.
Table 1: Themes in the annual BIM survey template operational definitions and frequencies
Theme
Actual use (U1)
Behavioral intention to use (U2)
Perceived usefulness (I1)
Ease of use (I2)
Technical readiness (E1)
Organizational readiness (E2)
Procurement readiness (E3)
Policy readiness (E4)
Capital assets readiness (E5)
Operational definition
Implying BIM implementation in real construction projects
Indicate BIM implementation in future, regardless of when
Measure BIMs ability to influence success or critical success factors
Indicate user-friendliness, but internal to BIMs software capabilities (ability to bespoke design)
Measures of external technicalities such as classification systems and user-guides
Indicate industrys organizational culture including work ethics
Measure inclination/existence of favorable procurement methods
Imply authorities inclination towards introducing or existence of BIM policies
Measure firms assets availability to support BIM enable construction/design
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Frequency
30, 54.5 %
05, 9.1%
31, 56.3 %
10, 18.2%
10, 18.2%
05, 9.1%
05, 9.1%
03, 5.5%
01, 1.8%
5. Design of the study

To identify the contextual reflection in South Africa, a qualitative study was done. The findings will be
generalized under future studies, and hence quantitative techniques, such as frequency of count, were not considered
here. Due to limited South African BIM literature, the authors assumed that BIM adoption dynamics were unknown
(i.e. minimum pre-conceptions), allowing the participants to define the problem through a systematic engagement.
Face-to-face interviews were used and memo writing was the main mechanism to work with the data; sorting and
coding were done using the memos to understand the contextual reflection.
5.1. Sample descriptions
The contribution from this study to the main (future) research and the availability of resources (to answer the
questions related to effective government intervention possibilities for the wider adoption of BIM) were considered
as criteria for selecting the interviewees. P (participant) 1 (BIM vendor) and 7 (general consultant) had BIM
experience in average of 18 years including more than 60% of that in the United Kingdom. The remaining
participants were both BIM users and non-users subjected to the threshold criteria of minimum 10 years experience
in South Africa and represented executives from regulatory bodies (P3, P4, P5 and P11), construction manager (P2),
architects (P6 and P9), general consultant (P7), quantity surveyor (P8), client (P10) and real estate consultant (P12).
The interviews were continued until no new theme was emerged (theoretical saturation at n=12).
Table 2: Themes identified in the annual BIM survey template (ref)
Criteria
Questions/Statements in the questionnaire template (n=55)
Themes
Awareness and
adoption of
BIM
Awareness and use of BIM (aware and using, aware, neither aware nor using), Where on the BIM journey are you?
U1, U2
Is the use of BIM growing in your organization?
U1
You hear more and more about BIM these days
I1,U1
BIM is the future of project information
I1,U2
BIM is all about real time collaboration
I1
The industry is not clear enough on what BIM is yet, I trust what I hear about BIM, BIM does not facilitate bespoke design or
construction methods
BIM is all about software, BIM is just a synonym for 3D CAD drawings, Unless specifications are linked to the CAD model, its
not BIM, We will need BIM so we can design sustainable buildings, BIM is only for new build, not refurbishment, BIM leads to
bland buildings
Information models only work in the software they were made on
I1/ I2
I think the government is on the right track with BIM
E4
Within your organization have you adopted BIM for your projects, We produce hand drawings/2D CAD/3D CAD
U1
We work collaboratively on design/ We only share our CAD models inside our organization/ We share our CAD models with
design team members outside our organization/ All the design team produce 3D building information models, but we dont have
one model that includes all the information/ All the design team contribute to one 3D information model that we all share and
contribute to, We use the model from the very start to the very end
The model we use depends on one piece of software
U1/E2 / E3
When producing CAD drawings, which of the following tools do you mainly use?
We produce 2D visualizations using our CAD models/We produce 3D visualizations using our CAD models, We automatically
generate schedules from our CAD models, We automatically generate bills from our CAD models, We carry out performance
analysis (energy consumption/structural/acoustic) on our CAD models
We export information from our CAD models to a non-proprietary format (IFC/gbXML)
U1
U1/ I1
We need to have access to well-structured generic CAD objects, not just manufacturer's objects
We keep a library of CAD objects we create for re-use
Where do you get the CAD objects your organization uses (CAD package/created in-house and then re-used/created as needed for
a project/manufacturers/..specialists outside our organization)?
Which of the following statements best describes how your organization normally links CAD drawings to project specifications
(automatically, manually, not relevant, etc.)?
How does your organization co-ordinate the information in your CAD model and your specification (Masterspec/CBI section or
clause numbering on drawings/internal, etc.)?
Do you use IFC (Industry Foundation Classes) on your projects?
I2/ E1
U1/ E1
I2/ E1 / U1
Do you generate COBie on your projects?
E1/ E3/ E2/

U1
Lack of expertise
Dont see benefit
E1, I2
I1
Liability concerns
Lack of standardized tools and protocol
E4
E1
Use of BIM in
current
projects
Data
coordination
Use of BIM
collaborative
protocols
Barriers to
BIM adoption
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I1
I2
I1
I1/ E1 / U1
U1/ I1
E1 /U1
E1, E2, U1
BIM the future

for the
construction
industry
Lack of collaboration
Cost
How confident are you in your knowledge and skills in BIM?
BIM the future for the construction industry (currently using/n years time)?
E2/ E3
E5
I2
U1, U2
Adopting BIM has required changes in our workflow, practices and procedures
E2 / I2
Adopting BIM has improved visualization, Adopting BIM has increased coordination of construction documents , Adopting BIM
has brought cost efficiencies, Adopting BIM has increased speed of delivery, Adopting BIM has increased our profitability,
Adopting BIM has made traditional bills of quantities redundant within our organization, Adopting BIM has made traditional
specifications redundant within our organization, Id rather we had not adopted BIM
We have adopted BIM successfully
Adopting BIM has improved productivity due to easy retrieval of information
Clients will increasingly insist on us using BIM
Contractors will increasingly insist on us using BIM
I1/ U1
I1/ I2/U1
I1/ U1
E3, E4
E3
6. Findings
Though the main study considered current maturities, pertinent LOD transitions [2] and perceived usefulness,
only unique characteristics of the contextual reflection are described due to the limited scope and aim of this paper.
However, it is worth to mention here that advanced BIM maturities in South Africa are driven mainly by
international joint-ventures (P1, 7). The capital assets readiness (E5) is not discussed, as long as the themes emerged
were too general (e.g. cost).
Technical readiness (E1): though the unavailability of national protocols was mentioned frequently by the BIM
users (P1, 7, 9, 11), this is a general issue occurring beyond the LOD 0. In addition to difficulties in reusing data and
prevailing misinterpretations, unavailability of user-guides incur difficulties in understanding minimum information
requirements, leading to the over complicated BIM models (P7, 11). Insufficient internet infrastructures largely
obstruct BIM implementation at advanced LODs (P1, 7). Under ideal BIM implementation, stakeholders could not
wait until information is transferred through USB sticks and DVDs, but exchanging BIM models, which exceed 500
megabytes sometimes, is an enormous challenge (P1, 7) using the slowest internet speed in the world [12].
Organizational readiness (E2): In South Africa, contractors tend not to check design errors and constructability
in advance, but rather are reactive under the presence of such issues to minimize consequences (for example, using
cheap casual labors to recover schedule losses) (P6, 9, 10, 11). Thus, it is skeptic whether practitioners tend to use
deliberate strategies to reduce design errors and enhance constructability (such as using BIM), specifically when
BIMs financial sustainability is unknown (P1, 10, 11).
Procurement readiness (E3): while half of the participants (P2, 7, 4, 5, 8, 11) were unable to answer, the rest
believed that favorable procurement methods, similar to IPD, should be established, except P3 who believed that
any procurement method could support BIM. As described in the discussion, BIMs two pillars (collaboration and
integration) could not be differentiated well by the South African regulatory experts.
Policy readiness (E4): though there is a possibility to encourage BIM through existing policy regimes (the Best
Practice Project Assessment and Best Practice Contractor Recognition), no regulatory body starts such initiative until
the industry lays the foundation (P3, 11). Yet, the industry does not believe that BIM implementation is mainly
driven by the industry due to prevailing work ethics (P1, 9, 10, 12). Having no such policy schemes for other
stakeholders, significant development could not be expected from regulating policies only for contractors (P10).
Also, under the Regulatory Impact Assessment, existing policy regimes, such as the Black Employment
Empowerment, could become critical considerations (P3, 10, P11), especially if BIM is driven by international jointventures.
7. Discussion
To reduce opposing views and misconceptions about industry awareness, survey based techniques provide
generalized and independent views [1]. Yet repeating a universal questionnaire, especially at the pre-maturity, is not
comprehensive enough to uncover the contextual reflection [11], which largely governs practitioners' attitudes
towards BIM [3]. Though the effect of externalities is frequently emphasized in literature, the current survey-based
methodology provides a minimum attention to identify procurement, organizational, and policy characteristics that
are unique from one context to another. Some other issues, such as inadequate internet infrastructures, are not under
control by the construction industry, but define the scope of BIM implementation at the beginning of a project (e.g.
amount of distant work and use of web-based servers). By using casual (perhaps unskilled) labors under the presence
of design errors, could contractors complete projects with high quality construction standards? This is a motivation
568
for clients to think of mandating proactive strategies, such as using BIM, under contract obligations, so that
constructability issues and design errors could be identified in advance. This implies that technical pull strategies are
more appealing to countries like South Africa. For the public sector, BIM could be mandated at a realistic LOD
through existing policy schemes, but it would be a challenge under regulatory impact assessments to prove BIM's
financial sustainability due to the unavailability of standard productivity data [4]. In a country, where regulations are
well-established to empower previously disadvantaged societies, BIM enabling policies could conflict existing policy
regimes (such as the Black Employment Empowerment), especially if advanced BIM maturities are driven by
international joint-ventures.
In addition to provide threshold limits for BIM compliance
design/construction/operation, knowledge diffusion mechanisms should be established to minimize disadvantages to
small/medium firms. The regulatory bodies should have clearer understanding of BIM fundamentals, such as the
meanings of integration and collaboration. As long as collaboration is based on data-centric activities that
information is exchanged back and forth between project disciplines, it is true that even traditional procurement
methods could support it. Yet under advance usage, BIM is a knowledge centric process that each stakeholder
contributes specific knowledge from the very first to the every end of a project, where integration is a must [10].
Based on these findings, the evaluation of industry readiness should be a holistic process that measures actual use,
perceived usefulness and ease of use along with the contextual-reflection, and also benchmarked to LODs (Figure 3).
For example, if the most pertinent transition is the LOD 0-1, under the technical readiness, the utmost important
criterion is the availability of common data environment to file, folder and layer naming; at this transition, there is no
importance in evaluating the ability of exchanging commercial data through proprietary interfaces or bespoke
middleware, which is a criterion relevant to the LOD 1-2 transition [2]. Yet the conclusions of the annual BIM
surveys are independent of LODs [1]. Further, the amount of years taken for a transition (T) is unlikely to be decided
through questionnaires; the countries at the pre-maturity could learn from comprehensive and holistic procedures
followed by BIM competitive countries [2], and modify those procedures to reflect their own contexts.
Figure 3: Conceptual framework for the evaluation of industry readiness and BIM awareness meaningfully
8. Conclusion
BIM adoption is challenging and unique compared to other technology adoption phenomenon due to its strong
influence from the contextual-reflection and unavailability of standard procedures to estimate its financial
sustainability. As the participants emphasized, perhaps, the industry alone could not drive BIM, specifically at
developing contexts due to fragmented organizational culture and prevailing poor work ethics. This is why both
technical pull and push strategies should be crafted. However, the development of policies and national protocols
must reflect industry's uniqueness in terms of organizational, technical, policy and procurement environments. Thus,
in addition to perceived usefulness and ease of use (which mostly evaluate BIM's strengths and weaknesses),
externalities should also be identified and evaluated to reflect on opportunities and threats, at any LOD beyond
zero, The current survey-based methodology is not adequate alone to uncover the contextual-reflection at the preBIM maturity, specifically due to the scarcity of BIM literature in such contexts.
References
[1] Masterpec, New Zealand National BIM Survey 2013, Masterpec Construction Information Limited, Auckland, 2013.
[2] GCCG, Building Information Modelling (BIM) Working Party Strategy Paper the Government Construction Client Group, London,2011.
569
[3] The American Institute of Architects, Integrated Project Delivery: A Guide: The American Institute of Architects, Washington, 2007.
[4] R. Sebastian, L. van Berlo, Tool for Benchmarking BIM Performance of Design, Engineering and Construction Firms in The Netherlands,
Architectural Engineering and Design Management, 6 (2010) 254-263.
[5] Knutt, E. (2015). France and Germany move forward on BIM adoption. from http://bim.construction-manager.co.uk/.
[6] S. M. E.Sepasgozar, L. E. Bernold, Factors Influencing the Decision of Technology Adoption in Construction. ICSDEC (2012) 654-661.
[7] The Productivity Partnership, Productivity Benifits of BIM, The Productivity Partenership, Auckalnd, 2014.
[8] Hecht, D. (2013), The Neural Basis of Optimism and Pessimism, Experimental Neurobiology, 22(3), 173-199.
[9] Heiskanen, A., NBS International BIM Report, NBS, New Castle, 2013.
[10] Beck, P., Collaboration vs. Integration: Implications of a Knowledge-Based Future for the AEC Industry, the Design Intelligence Design
Futures Council, Georgia, 2005.
[11]Ramanayaka, S.C.D.D., Will countries at the pre-maturity move towards BIM or remain traditional - an exploratory study, Auckland
University of Technology, Auckland, 2014.
[12] Internet Society, Global Internet Report, http://www.internetsociety.org/sites/default/.
570
A software product line approach for the development of

construction safety IT solutions
Annie Guerriero*, Alain Vagner
Luxembourg Institute of Science and Technology (LIST, 5, avenue des Hauts-Fourneaux, L-4362 Esch/Alzette)
Abstract
The construction safety management deals with multiple contexts and takes place in a national and legal framework that imposes
different kinds of documents (e.g. Site Specific Safety Plan, General Safety Plan) depending upon for example the number of
workers on site, the area of the building site or the nature and the dangerousness of the construction tasks. When developing tools
supporting this activity it seems difficult to consider all this variability of the context (i.e. associated to legal context and the
nature of the activity, but also the environmental context, the user, the device) and to provide a large set of products finely adapted
to the situation of building site. Based on this observation, we suggest applying a SPL (Software Product Line) approach
combined with MDE (Model Driven Engineering) approach for the development of IT solutions. The combination of these two
approaches allows us to propose a development method integrating variability models in order to manage the combination of
situations and to generate a set of products adapted to specific contexts. The use of different kinds of model (i.e. domain model,
context model, feature model, and interaction flow model) contributes to consider the multiple facets of variability representative
of the construction safety management in order to develop specific business software services. The present article describes the
MD-SPL methodology and the formalization of the variability of the contexts and features most notably for the design of user
interfaces. Moreover it will present a case study in the construction safety domain inscribed in the Luxembourgish legal
framework and the related variability models.
Keywords: Software Product Line, Model Driven Engineering, Construction safety.
1. Introduction
The construction sector is one of the most important activity sectors in Luxembourg. In 2012, it represented
10,8% of the total employment (Source: Eures). As the construction activity is comparable to the construction of a
prototype on building site, the risk related to persons security are numerous. The incidents associated to the risk of
fall or to the manipulation of dangerous products are the most frequent.
In Luxembourg the law (Grand-Ducal Regulation of 27 June 2008) describes the health safety requirements for
construction sites in order to limit the accidents and protect workers. This legal framework allows us to identify the
multiplicity of the contexts inside which the regulations have to be applied. The Grand-Ducal Regulation specifies
the required process of construction safety management according to the nature of the construction task to be
performed. Certain elements such as the number of workers on site, the area to be built, the risky tasks (e.g. use of
explosive, presence of asbestos, etc.) are predominant for determining the obligations related to construction safety
management.
* Corresponding author. Tel.: +352 275 888 -1; Fax: +352 275 885.
E-mail. annie.guerriero@list.lu
572
Based on this observation, we consider that the software dedicated to security and health management on
construction sites should reflect the variability of these contexts. We suggest applying a SPL (Software Product Line)
approach combined with MDE (Model Driven Engineering) approach for the development of IT solutions. The
combination of these two approaches allows us to propose a development method integrating variability models in
order to manage the combination of situations and to generate a set of products adapted to specific contexts.
The present article describes the MD-SPL methodology and the formalization of the variability of the contexts
and features most notably for the design of user interfaces. Moreover it will present a case study in the construction
safety domain inscribed in the Luxembourgish legal framework and the related variability models.
2. MD-SPL approach for the design of User Interfaces
2.1. Model-Driven Engineering of User Interfaces
MDE is a Software development methodology, which focuses on creating and exploiting [...] models, that are,
abstract representations of the knowledge and activities that govern a particular application domain . Our approach
relies on MDE for several reasons. In particular, several frameworks and languages have been proposed to structure
the way User Interfaces (UI) are generated from models [1, 2]), where these are successively transformed through
model transformations until the code of the UI is generated. This provides easier evolutions and reuse [3], dynamic
adaptation of the UI to the context of use [4], end-user programming [5], greater quality [6], generation of supportive
interfaces [7] among others.
Model-driven UI design is a multi-stakeholders process where each model representing a particular subdomain
of UI engineering is manipulated by specific stakeholders. For instance, the choice of graphical widgets to be used
(e.g. radio button, drop-down list, etc.) is done by a graphical designer, sometimes in collaboration with the usability
expert and/or the customer. Our model-driven UI design approach relies on a revised version of the CRF framework
[8] (See Figure 1). It consists of two base metamodels, the Domain metamodel -representing the domain elements
manipulated by the application as provided by classical domain analyst) and the interaction flow model (IFM) [9].
From these models we derive the Concrete User Interface model (CUI) which depicts the application pages and
their content (i.e., widgets) as well as the navigation between pages. The CUI metamodel aims at being independent
of the final implementation of any graphical elements. Finally, the obtained CUI model is transformed into an
Implementation Specific Model (ISM) that takes into account platform details (here platform refers to UI toolkit such
as HTML/JQuery, Android GUI, etc.). A last model-to-text transformation generates the code according to the ISM.
Figure 1: Model-driven UI design process
We use this model-driven UI design process to generate the UI variants corresponding to each possible context
configuration.
2.2. Software Product Line Engineering
To overcome variability issues in software engineering, researchers have proposed to rely on the paradigm of
Software Product Lines (SPLs) [10]. The SPL paradigm allows managing variability by producing a family of related
product configurations (leading to product variants) for a given domain. Indeed, the SPL paradigm proposes the
identification of common and variable sets of features, to foster software reuse in the configuration of new products
[11]. According to [12, 13] SPL and MDE are complimentary and can be combined in a unified process that
aggregates the advantages of both methods. Moreover, in our previous work, we have shown that the management of
http://en.wikipedia.org/wiki/Model-driven engineering
573
UI variability based on MDE & SPL can be done using multiple feature models to express the different dimensions
of the variability. Feature models [11] are popular SPL assets to describe both variability and commonalities of a
system. They express through some defined operators the decomposition of a product.
The selection of features among the feature model is called the configuration process. Bhne et al. [14] have
demonstrated that depicting variability in a single feature model leads to feature redundancies due to the tree
structure. As a result, separation of variability concerns into multiple feature models seems to be crucial for
understanding [15] and manipulating the many different faces of variability.
2.3. Model-Driven Software Product Line engineering
Model-driven software product line engineering merges two approaches [12]:
Software product line engineering focusing on the systematic development of products belonging to a common
system family, where instances of product are developed based on library of components,
Model-driven software engineering putting strong emphasis on the development of high-level models rather than
on the source code.
Classical feature model approaches combine different functional features [16]. In the specific context of UI
design, we propose to rely on a similar approach for managing variability of each UI design concern. UI variability is
thus decomposed into feature models (FM) (Figure 2).
Figure 2: Feature models coverage on our UI modelling framework
Each of these feature models is related either to a model, a metamodel, a mapping or a transformation depending
on the nature of the information it conveys:
Models: Three FMs manage variations at the model level (IFM, Domain and CUI). For example on the domain
model, the FM can express alternative descriptions of a same concept.
Mappings: The variability of the mapping between IFM and Domain can be managed by a mapping FM. Indeed,
UI states can involve different concepts in the domain model
Transformations: Variability can be expressed in transformation FMs at the level of two transformations: (1)
between IFM, Domain and CUI, (2) between CUI and ISM. For example, a widget described in CUI can be
represented differently according to the context in ISM.
By scoping the FM to a specific concern, our approach allows to focus only on the variations related to the
underlying concern. In our approach, we consider two feature models: (1) the functional feature model that expresses
all possible features in the application and (2) the context feature model that describes all possible parameters related
to the activity, the physical environment, the user, the temporality and the device. These two feature models enable
us to configure and filter the IFM and domain models before generating a variant through the MDE process.
3. MD-SPL approach applied to construction safety
Different research works have addressed the construction safety topic based on online databases, geographic
information system, virtual reality, 4D modeling, etc. [17-20]. Different types of applications exist for supporting the
574
different facets of the construction safety mission (e.g. Winlassie , Matrisk or Safesite**) but it remains difficult to
propose a solution really adapted to the variability of the situations of building site. The national legal context is
important to qualify the construction site in terms of legal obligations related to security and health. In Luxembourg
the law (Grand-Ducal Regulation of 27 June 2008) and documents established by the labour inspection describe the
health safety requirements for construction sites. Different variables (such as number of persons present at the same
time on the construction site, the area, the duration, dangerous tasks, etc.) are required for qualifying the construction
site and determining the obligations of the owner (e.g. site safety manager required or not, specific certification
needed (i.e. level A (for small and simple building site) to C (for high and complex building site)), required
documents, etc.) as described in the Table 1.
Table 1. Variability of the context of construction safety in Luxembourg
Very small A
Very small B
Small A
Small B
Medium A
Medium B
Large
Number of firms
on site
Architectural
particularity
Area (m)
< 25
< 25
< 250
< 250
> 250
> 250
> 250
Duration
< 15 calendar
days
< 15 calendar
days
< 30 working
days
< 30
working
days
< 30 working
days
< 30 working
days
> 30
working
days
Labour (man-days)
< 500
< 500
< 500
500 < x < 10000
> 500
Dangerous works
Limited
risk
Particular risks
Limited risks
All types of
risks
Prior notice
SSSP (Site
Specific Safety
Plan)
GSP (General
Safety Plan)
= Only sum of
SSSP
= Only sum
of SSSP
Level A
Level A
Level B
Level B
Level C
Variables
Required documents
Safety management
Site safety
management level
required
Our objective is to include these elements of variability in the development of IT services supporting construction
safety management and to develop specific solutions fitting the context (e.g. including GSP functionalities only if it
is needed, or functionalities related to dangerous works only for concerned projects). The derivation of variants of
the software based on the variability of the context and feature modelling is an interesting approach to develop more
rapidly dedicated software and to guarantee the adequation to the specificity of the context. So our approach suggests
different kinds of models developed in 4 steps:
M1. Domain model for the modeling of concepts that are present in the construction safety domain.
M2. Context model for the modeling of all the variability elements of the context of construction safety (i.e.
variability of the documents related to the legal context).
M3. Feature model for the modeling of the variability of functionalities (i.e. edition, consultation, transfer, etc.).
http://www.winlassie.com
http://maitrisk.lu
**
https://itunes.apple.com/app/safesite-construction-safety/id892386806?mt=8
575
M4. Interaction flow model designed for expressing the content, user interaction and control behaviour of the
front-end of software applications.
Based on all these models coupled with rules describing for example the legal context in Luxembourg for the
construction safety management we can obtain the configuration and generation of multiple variants of the software
products. Then the confrontation with experts contributes to select the more relevant solutions to be transferred on
the market. The Figure 3 illustrates the different models in the construction safety case study and presents the 3 first
types of models required in our method. The extracts of models focus on the GSP (General Safety Plan) consultation
functionalities. The domain model describes the relevant concepts related to GSP and their relationships. The GSP is
composed of different sections and includes annexes such as the SSSP (Site Specific Safety Plan). The security
health manager is responsible for the writing of this document. For very small building sites (i.e. number of persons
of construction firm present at the same time on building site 2, area < 25 m2, duration < 15 calendar days, no
dangerous works), there is no legal obligation for the owner to designate a security health manager and the required
content for GSP is the sum of the SSSP provided by the contractors. Based on this rule, the context model presents
only the annex SSSP as mandatory. Then, the feature model suggests that the functionality Consult SSSP is the
only one that is mandatory. The generated interface for GSP in the case of a very small building site only presents
the section SSSP and for the larger ones, it displays all the different sections.
Figure 3. MD-SPL for construction safety software
http://www.ifml.org
576
4. Conclusion and prospects

In conclusion, this article has described an MD-SPL methodology and the formalization of the variability of the
contexts and features for the designing of software products.
We can at this stage of this research works highlight the interest of MD-SPL approach for the rapid development
of software products dedicated to the variability of contexts of the construction safety management.
In this case study, we have demonstrated the interest for considering an MD-SPL approach for taking into account
the variability of the legal context, but our approach is larger and can integrate the variability of the environmental
context, the user, the device.
At this time, we have developed a prototyping tool based on the variability expression of the multiple facets of an
information system. As far as variability is concerned, these different facets can lead to an important number of
possible variants. We proposed in this article to manage this issue by implementing business rules to limit the
number of possible variants and implement a selection of the most interesting variants thanks to business experts.
Another option will be to directly configure the solution with a business expert to the needs of the customer.
Concerning the technological prospects, we are currently exploring the use of genetic algorithms to optimize user
tests in order to limit the number of variants to be tested, based on user satisfaction and the combination of relevant
solutions.
We can consider now that the innovation process based on the MD-SPL approach will be technologically robust
at short term. The real confrontation to business configuration in construction safety management based on the
analysis presented in this article will contribute to validate and refine the approach.
Acknowledgements
This work has been supported by the Luxembourgish FNR MoDEL project (C12/IS/3977071).
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[6] Ammar, L.B., A. Trabelsi, and A. Mahfoudhi, Incorporating usability requirements into model transformation technologies. Requirements
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[7] Garca Frey, A., et al., Model based self-explanatory UIs for free, but are they valuable? INTERACT, Lecture Notes in Computer Science,
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[8] Calvary, G., et al., A unifying reference framework for multi-target user interfaces. Interacting with Computers, 2003, 15(3): p. 289-308.
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programming, systems, languages, and applications, 2005.
[14] Bhne, S., K. Lauenroth, and K. Pohl, Why is it not sufficient to model requirements variability with feature models, in Workshop on
Automotive Requirements Engineering (AURE04), at RE04, Japan, 2004.
[15] Mannion, M., J. Savolainen, and T. Asikainen, Viewpoint-oriented variability modeling, in COMPSAC09, Seattle,Washington, 2009.
[16] Pleuss, A., et al., User interface engineering for software product lines: the dilemma between automation and usability, EICS, 2012, pp. 2534.
[17] Akeem, P. and P. Chan Sik, A construction safety education system based on interactive virtual reality, in CIB W099 Achieving Sustainable
Construction Health and Safety, Lund, Sweden, 2014.
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[19] Ding, L. and C. Zhou, Development of web-based system for safety risk early warning in urban metro construction. Automation in
Construction, 2013, 34, pp. 45-55.
[20] Zhou, W., et al. (2012). "Construction safety and digital design: A review." Automation in Construction, 2012, 22: 102-111.
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Creative Construction Conference 2015

INTERNATIONAL ADVISORY BOARD

INTERNATIONAL SCIENTIFIC COMMITTEE

Zhiliang Ma (Tsinghua University, China)

Creative Construction Technology and Materials

Aleksander NICA, Andrzej FOREMNY, Krzysztof KACZOREK, Pawe

Creative Management in Construction

M LIPHADZI, CO AIGBAVBOA, WD THWALA:

Yongcheng ZHANG, Hanbin LUO, Yi HE:

Creative Scheduling in Construction

Sustainable Construction, Health and Safety

Alexandra SARANTI, Theocharis TSOUTSOS, Maria MANDALAKI:

Visualization, Building Information Modeling

Automation and Robotics for Construction

Creative Construction Conference 2015

Leveling magnetic resonance imaging room floor using scraping

2. Robotics for site preparation

Figure 1. The brick-road laying TIGER STONE

Figure 2. MRI Room Concept

Figure 3. Conceptual design of scraping robot

Figure 4. Control system architecture

Figure 5. Tuning Membership Functions of scrapper controller

Figure 6. Simulation Results of scraper contoller

Creative Construction Conference 2015

Automating high-rise structures inspection using quadrotor

* Corresponding author. Tel.: +49-1577-581-7236

Figure 1. 3D model generation steps

Figure 2. The adaptive observer

Figure 5. Control structure using fuzzy logic

Creative Construction Conference 2015

Mathematical modeling of energy balance in the photobiological

* Corresponding author. Tel.: +7-918-532-4924.

The organisation of a technological scheme is shown in Figure 3.

3. Heat Balance Equation of a Modular Photobioreactor

Figure 4. Components of the heat balance

with boundary conditions in a form of Newton-Richman law

where c is the specific heat capacity of the medium.

Figure 6. The results of numerical experiments of temperature calculations

Creative Construction Conference 2015

3I Buildings: Intelligent, Interactive and Immersive Buildings

Corresponding author. Tel.: +351218418351.

Measure the level of humidity

Measure the level of CO2

Predict the occupancy rate

Measure the temperature

Triangulate with optimum values

Define the HVAC set point

Real occupancy rate > 0?

Triangulate the distance, the energy

System in learning process?

Triangulate the distance and the

Consider the opinions of

Calculate the % of opinions for

Figure 1: Optimization algorithm: Luzs hospital

4.2. BIM Interface

Figure 2: Snapshot of the 3IBuildings interface (Lisbon

Figure 3: Snapshot of the 3IBuildings interface (Luzs Hospital)

4.3. 3i Building Technology Architecture

Siemens SA 2013 All rights reserved.

Figure 4: 3i Buildings IT Architecture

Creative Construction Conference 2015

A big data-based workers behavior observation in China metro

2. Framework of big data-based behavior observation