Communication of sustainability information and assessment within BIM-enabled collaborative ...

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Communication of
sustainability information
and assessment within
BIM-enabled collaborative
environment
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• A Doctoral Thesis. Submitted in partial fulfilment of the requirements
for the award of Doctor of Philosophy of Loughborough University.
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Please cite the published version.
Communication of Sustainability
Information and Assessment within
BIM-enabled Collaborative
Environment

By
Maria Angeliki Zanni

A Doctoral Thesis
Submitted in Partial Fulfilment
of the Requirements for the Award of
Doctor of Philosophy of Loughborough University

September 2016

© Maria Angeliki Zanni 2016
Acknowledgements
I am greatly indebted to many people who have helped me develop this thesis.
I would like to express my deepest gratitude to my supervisors: Dr Robby Soetanto
and Dr Kirti Ruikar. Their intellectual guidance, expert advice, and continuous support
and encouragement have been invaluable to complete this project.
I would also like to thank Loughborough University and the Engineering and Physical
Sciences Research Council (EPSRC) for funding this research.
My thanks are also due to the participating industry experts for their contributions,
time given in the interviews, and their steady correspondence.
Many thanks to my colleagues: Kostas (proof-reader of this thesis), Tristan, George,
Ben, Vanda, Elli, Nafsika, Eleonora, Eirini, Sameedha, Ilias, and Nick, for their useful
comments, feedback, and insights.
Finally, I express my sincerest gratitude to my family: my parents and my sister, for
their endless patience, understanding, and support.
To these people and many more, I will always remain grateful.

i
Abstract
Sustainable performance of buildings has become a major concern among
construction industry professionals. However, sustainability considerations are often
treated as an add-on to building design, following ad hoc processes for their
implementation. As a result, the most common problem to achieve a sustainable
building outcome is the absence of the right information at the right time to make
critical decisions. For design team members to appreciate the requirements of
multidisciplinary collaboration, there is a need for transparency and a shared
understanding of the process. The aim of this study is to investigate, model, and
facilitate the early stages of Building Information Modelling (BIM) enabled
Sustainable Building Design (SBD) by formalising the ad hoc working relationships of
the best practices in order to standardise the optimal collaboration workflows. Thus,
this research strives to improve BIM maturity level for SBD, assisting in the transition
from “ad hoc” to “defined”, and then, to “managed”. For this purpose, this study has
adopted an abductive research approach (iterative process of induction and
deduction) for theory building and testing. Four (4) stages of data collection have
been conducted, which have resulted in a total of 32 semi-structured interviews with
industry experts from 17 organisations. Fourteen (14) “best practice” case studies
have been identified, and 20 incidents’ narratives have been collected applying the
Critical Decision Method (CMD) to examine roles and responsibilities, resources,
information exchanges, interdependencies, timing and sequence of events, and
critical decisions. As a result, the research has classified the critical components of
SBD into a framework utilising content and thematic analyses. These have included
the definition of roles and competencies that are essential for SBD along with the
existing opportunities, challenges, and limitations. Then, Schedules of Services for
SBD have been developed for the following stages of the RIBA Plan of Work 2013:
stage 0 (Strategic Definition), stage 1 (Preparation and Brief), and stage 2 (Concept
Design). The abovementioned SBD components have been coordinated explicitly into
a systematic process, which follows Concurrent Engineering (CE) principles utilising
ii
Integrated DEFinition (IDEF) structured diagramming techniques (IDEF0 and IDEF3).
The results have identified the key players’ roles and responsibilities, tasks (BIM
Uses), BIM-based deliverables, and critical decision points for SBD. Furthermore,
Green BIM Box (GBB) workflow management prototype tool has been developed to
analyse communication and delivery of BIM-enabled SBD in a centralised system
(Common Data Environment, CDE). GBB’s system architecture for SBD process
automation is demonstrated through Use Case Scenarios utilising the OMG UML
(Object Management Group’s Unified Modelling Language) notation. The proposed
solution facilitates the implementation of BIM, Information Communication
Technology (ICT), and Building Performance Analysis (BPA) software to realise the
benefits of combining distributed teams’ expertise holistically into a common
process. Finally, the research outcomes have been validated through academic and
industrial reviews that have led to the refinement of the IDEF process model and
framework. It has been found that collaborative patterns are repeatable for a variety
of different non-domestic building types such as education, healthcare, and offices.
Therefore, the research findings support the idea that a detailed process, which
follows specified communication patterns, can assist in achieving sustainability
targets efficiently in terms of time, cost, and effort.

Keywords: Sustainability; Design process; Collaboration; RIBA Plan of Work;
Information Communication Technology (ICT); Building Information Modelling (BIM);
Building Performance Analysis (BPA); Common Data Environment (CDE); Concurrent
Engineering (CE); Integrated DEFinition methods (IDEF); OMG UML (Object
Management Group’s Unified Modelling Language); Critical Decision Method (CMD);
abductive reasoning.

iii
Contents
Acknowledgements………………………………………………………………………………………………… i
Abstract…………………………………………………………………………………………………………………. ii
Contents……………………………………………………………………………………………………………….. iv
List of Figures…………………………………………………………………………………………………..…… xii
List of Tables………………………………………………………………..…………………………………..…. xvi
List of Abbreviations…………………………………….…………………………………………….……… xviii

Chapter 1. Introduction ............................................................................................... 1
1.1. Background to the research ............................................................................... 1
1.2. Overview of the research domain and hypothesis ............................................ 3
1.3. Scope of research…………………………………………………….……………………………….….. 6
1.4. Aim and objectives ............................................................................................. 7
1.5. Research design ................................................................................................. 8
1.6. Outline of the thesis........................................................................................... 9
1.7. Summary .......................................................................................................... 11

Chapter 2. The sustainable building design process and its management.............. 13
2.1. Introduction ..................................................................................................... 13
2.2. Sustainability and the built environment ........................................................ 13
2.2.1. Definition of Sustainable Development (SD) ............................................ 15
2.2.2. Dimensions of SD ...................................................................................... 15
2.2.3. Impacts of buildings on SD ........................................................................ 17
2.2.4. Sustainable Building Design (SBD) goals ................................................... 18
2.2.5. Environmental design goals for building performance ............................. 20
2.2.5.1. Occupant comfort and health ........................................................... 21
2.2.5.2. Use of natural resources and environmental impact ....................... 23
2.2.6. Sustainable building assessment methods ............................................... 26
2.3. SBD process management ............................................................................... 31
2.3.1. Design stages for environmentally responsible architecture ................... 33
iv
2.3.1.1. Environmental design parameters .................................................... 34
2.3.1.2. Passive and active design strategies ................................................. 37
2.3.1.3. The impact of building technology.................................................... 39
2.3.2. The design synthesis .................................................................................. 40
2.3.2.1. Iterative nature of design .................................................................. 40
2.3.2.2. Paradigm change for SBD .................................................................. 42
2.3.3. Definitions of the design process .............................................................. 43
2.3.3.1. Prescriptive and descriptive design models ...................................... 44
2.3.3.2. Modelling the conceptual stage ........................................................ 46
2.3.3.3. Systems approach to collaborative building design ......................... 47
2.3.3.4. Existing design models for construction ........................................... 49
2.3.3.5. Concurrent Engineering (CE) ............................................................. 50
2.3.3.6. RIBA Plan of Work: The UK industry standard for design
management ................................................................................................... 51
2.3.3.7. Efforts to integrate sustainability considerations into the design
process ……………………………………………………………………………………………………..54
2.3.3.8. Sustainable design automation ......................................................... 55
2.3.4. Management of collaborative design in construction .............................. 56
2.3.4.1. Collaborative working dimensions .................................................... 58
2.3.4.2. The social aspect of designing ........................................................... 59
2.3.4.3. Types of communication for collaboration ....................................... 60
2.3.4.4. Information/Knowledge Management (IM/KM) and collaboration . 61
2.4. Summary .......................................................................................................... 62

Chapter 3. BIM-enabled sustainable design and delivery ........................................ 65
3.1. Introduction ..................................................................................................... 65
3.2. Context ............................................................................................................. 65
3.3. Towards a definition of BIM ............................................................................. 67
3.3.1. From drafting to BIM ................................................................................. 68
3.3.2. Defining BIM .............................................................................................. 69
3.3.3. BIM maturity .............................................................................................. 69
3.4. Building Information Management .................................................................. 72
3.4.1. Computer Supported Collaborative Design (CSCD) ................................... 72
3.4.2. Project delivery for sustainable buildings ................................................. 74
v
3.4.3. Integrated Project Delivery (IPD) .............................................................. 75
3.4.4. BIM-enabled sustainability strategy ......................................................... 76
3.4.5. BIM Execution Planning (BEP) for sustainable design............................... 78
3.5. Fields of BIM implementation ......................................................................... 80
3.5.1. Policy field ................................................................................................. 82
3.5.1.1. Policy makers and regulations .......................................................... 82
3.5.1.2. BIM contractual agreements ............................................................ 88
3.5.2. Technology field ........................................................................................ 89
3.5.2.1. BIM and BPA software tools ............................................................. 90
3.5.2.2. Interoperability standards and methods .......................................... 93
3.5.2.3. Information Communication Technology (ICT) ................................ 95
3.5.3. Process field .............................................................................................. 97
3.5.3.1. Design participants and roles ........................................................... 99
3.5.3.2. Design artefacts and components .................................................. 101
3.6. Synergies between BIM and sustainability .................................................... 103
3.7. Summary ........................................................................................................ 108

Chapter 4. Research design and methodology ....................................................... 111
4.1. Introduction ................................................................................................... 111
4.2. Research philosophy – theory of knowledge ................................................ 112
4.2.1. Ontology .................................................................................................. 114
4.2.2. Epistemology ........................................................................................... 114
4.2.3. Axiology ................................................................................................... 115
4.3. Approaches to reasoning ............................................................................... 117
4.3.1. Deduction ................................................................................................ 117
4.3.2. Induction ................................................................................................. 118
4.3.3. Abduction ................................................................................................ 120
4.4. Research strategy........................................................................................... 122
4.4.1. Multiple case studies ............................................................................... 123
4.4.2. The unit of analysis .................................................................................. 128
4.4.3. Sample selection - best practices ............................................................ 128
4.4.4. Sample size – theoretical saturation ....................................................... 131
4.4.5. Recruiting participants ............................................................................ 132
vi
4.5. Research methods ..........................................................................................134
4.5.1. Quantitative .............................................................................................135
4.5.2. Qualitative ...............................................................................................135
4.5.3. Mixed methods ........................................................................................136
4.6. Conceptual process modelling .......................................................................138
4.6.1. Structured diagramming techniques .......................................................140
4.6.2. Integrated DEFinition (IDEF) methods (IDEF0 and IDEF3) .......................144
4.6.3. Unified Modelling Language (UML) sequence diagrams ........................146
4.7. Research design and techniques ....................................................................147
4.7.1. Phase 1: Exploratory stage ......................................................................149
4.7.1.1. Phase 1-A: Literature review and content analysis.........................150
4.7.1.2. Phase 1-B: First set of interviews ....................................................151
4.7.1.3. Phase 1-C: Thematic analysis ..........................................................155
4.7.2. Phase 2: Main data collection and analysis .............................................157
4.7.2.1. Phase 2-A: Second set of interviews ...............................................158
4.7.2.2. Phase 2-B: Analysing the second set ...............................................161
4.7.2.3. Phase 2-C: Third set of interviews ...................................................163
4.7.3. Phase 3: Validation stage ........................................................................164
4.7.3.1. Phase 3-A: Pilot workshops with peers ...........................................164
4.7.3.2. Phase 3-B: Interviews with industry practitioners ..........................165
4.7.3.3. Phase 3-C: Re-visiting the model and concept................................165
4.7.4. Quality criteria and controls ....................................................................166
4.7.4.1. Construct validity ............................................................................168
4.7.4.2. Internal validity ...............................................................................168
4.7.4.3. External validity ...............................................................................170
4.7.4.4. Reliability .........................................................................................171
4.8. Summary ........................................................................................................173

Chapter 5. Development of BIM-enabled SBD process framework .......................177
5.1. Introduction ...................................................................................................177
5.2. Roles, responsibilities, and competencies .....................................................179
5.2.1. Definition of SBD roles.............................................................................179
5.2.2. Competence assessment .........................................................................182
vii
5.2.3. Identifying sustainability aspirations ...................................................... 185
5.2.3.1. Occupant comfort and health ......................................................... 186
5.2.3.2. Environmental aspects .................................................................... 189
5.2.3.3. Client satisfaction and approval – commercial aspects .................. 191
5.2.4. Initial project brief – sustainability objectives and metrics .................... 194
5.3. Tasks and implementation methods ............................................................. 198
5.3.1. Schedule of services ................................................................................ 198
5.3.2. BIM software use .................................................................................... 207
5.3.3. BPA software use .................................................................................... 208
5.3.4. Software interoperability ........................................................................ 211
5.3.5. Utilisation of Common Data Environments (CDEs) ................................. 213
5.4. Deliverables and information requirements ................................................. 217
5.4.1. Correspondence between project team members ................................. 217
5.4.2. Data exchange format and file types ...................................................... 219
5.4.3. Defined design deliverables .................................................................... 219
5.4.4. Level of Development (LOD) and Level of Information (LOI) .................. 222
5.5. Critical decision points and project programme ........................................... 225
5.6. Organisational maturity for SBD management ............................................. 227
5.6.1. Current planning approaches for SBD ..................................................... 228
5.6.2. The need for process standardisation ..................................................... 229
5.6.3. Attitudes towards design automation .................................................... 230
5.6.4. Concurrent Engineering (CE) approach to SBD ....................................... 231
5.7. Summary ........................................................................................................ 232

Chapter 6. Development of SBD process model and system architecture ............ 233
6.1. Introduction ................................................................................................... 233
6.2. High-level IDEF0 process model [Stages 0 – 1 – 2] ........................................ 233
6.3. Detailed IDEF3 process decompositions [Stage 2] ........................................ 236
6.3.1. Narrative 1: Concept stage’s soft-gates/iterative loops [Green UOBs]
..............……………………………………………………………………………………………………….241
6.3.2. Narrative 2: From sketch design to concept sign-off [Blue UOBs] ......... 247
6.3.3. Narrative 3: Feasibility studies of scheme design during briefing [Purple
UOBs] …………………………………………………………………………………………………………..253
6.3.4. Narrative 4: Early sustainable window design ........................................ 256
viii