Lecture Notes in Civil Engineering

James Olabode Bamidele Rotimi

Wajiha Mohsin Shahzad
Monty Sutrisna
Ravindu Kahandawa Editors

Advances in
Engineering
Management,
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Sustainability
Proceedings of the 13th International
Conference on Engineering, Project, and
Production Management, 2023,
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Lecture Notes in Civil Engineering

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James Olabode Bamidele Rotimi ·
Wajiha Mohsin Shahzad · Monty Sutrisna ·
Ravindu Kahandawa
Editors

Advances in Engineering
Management, Innovation,
and Sustainability
Proceedings of the 13th International
Conference on Engineering, Project,
and Production Management, 2023, Volume 1
Editors
James Olabode Bamidele Rotimi Wajiha Mohsin Shahzad
School of Built Environment School of Built Environment
Massey University Massey University
Albany, Auckland, New Zealand Albany, Auckland, New Zealand

Monty Sutrisna Ravindu Kahandawa

School of Built Environment School of Built Environment
Massey University Massey University
Auckland, New Zealand Albany, Auckland, New Zealand

ISSN 2366-2557 ISSN 2366-2565 (electronic)

Lecture Notes in Civil Engineering
ISBN 978-3-031-56543-4 ISBN 978-3-031-56544-1 (eBook)
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Preface

This book is a collection of papers that were presented at the highly regarded
13th International Conference on Engineering, Project, and Production Manage-
ment (EPPM) that took place in Auckland, New Zealand, from 29 November to 1
December 2023. The conference was a joint effort between the EPPM Association
and the School of Built Environment at Massey University, New Zealand. This book
series features a diverse range of quality-assured theoretical discussions, data anal-
ysis, industry practices, and case studies presented by leading global researchers
and practitioners. While the conference centred around the theme of “Creating
capacity and capability: re-energising supply chain for sustainable management of
projects and productions in engineering”, this volume specifically highlights papers
related to engineering management, innovation, and sustainability. These compre-
hensive, multidisciplinary, and advanced papers are perfect for researchers and prac-
titioners from various industries seeking the most up-to-date information on the
fields of engineering, project, and production management. The volume promises
to be an invaluable resource for those seeking to stay abreast of industry trends and
innovations.

Albany, New Zealand James Olabode Bamidele Rotimi

Wajiha Mohsin Shahzad
Monty Sutrisna
Ravindu Kahandawa

v
Contents

Theme: Management
Managing Construction Supply Chains: Application of the Agile
Ways of Working . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Pearl Li Ng, Farshid Rahmani, and Tayyab Maqsood
Revisiting Construction Delays in GCC: Oman Versus UAE . . . . . . . . . . . 21
Nasra S. S. Al Sharji, Taleb M. Al Rousan, Abdullahi A. Umar,
and Atef Badr
Team Dynamics and Its Effect on the Design Process Within
the Construction Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
Ronald Manyathi and Rolien Terblanche
Building Organizational Resilience Capacities and Capabilities
in Construction Firms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
Zamageda Zungu and Samuel Laryea
Communication Strategies and Construction Projects’ Outcomes
in Nigeria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
Olatunji Joseph Oladiran, Bashir Ibrahim,
and Ahmed Mohammed Waziri
Intervening Qualities of Building Information Modeling (BIM)
on the Adoption of Prevention Through Design (PTD) . . . . . . . . . . . . . . . . 81
Rimmon Labadan, Kriengsak Panuwatwanich, and Sho Takahashi
Barriers to the Adoption of Robot-Assisted Construction Approach
in the South African Built Environment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Opeoluwa Akinradewo, Clinton Aigbavboa, Mfundo Gwebu,
and Seyi Stephen

vii
viii Contents

Accessibility to the Built Environment for Mobility-Impaired

Persons: A Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
Margaret Stefanitsis, Claire Flemmer, Eziaku Rasheed,
and Naseem Ameer Ali
Covid-19 Lockdowns—Effect on Female Worker Well-Being
in New Zealand Construction Professions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 129
David Finnie, Aimee de Klerk, and Nayani Landage
Towards the Adoption of Data Management Systems by Quantity
Surveyors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147
Unarine Ronaldo Phuriwa and Murendeni Liphadzi
Investigation of the Effects of Supply Chain Disruptions on Offsite
Construction Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
Sanaz Nesarnobari, Wajiha Shahzad, Mostafa Babaeian Jelodar,
and Monty Sutrisna
Examining Infrastructure Pipelines Information for Their
Relevance in Construction Organizations’ Strategic
Decision-Making . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 173
Taofeeq Durojaye Moshood, James Olabode Bamidele Rotimi,
and Wajiha Shahzad
New Zealand Construction Nga Roopu and Preferred Nga
Tangata: Towards More Purpose-Fit Selection . . . . . . . . . . . . . . . . . . . . . . . 197
Andries van Heerden, Mikael Boulic, Barry William McDonald,
and Gregory Chawynski
Quantity Surveyors’ Perspective on Knowledge Areas
for Sustainable Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 209
Vimlesh Prabhu Desai and Lysette D’souza
Scientometric Review of Research Trends on Construction Project
Variations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225
Muhammad Aliyu Yamusa, Yahaya Makarfi Ibrahim,
Muhammad Abdullahi, Hassan Adaviriku Ahmadu,
and Mu’awiya Abubakar
COVID-19 and the Changes It Made to Construction Demand
in New Zealand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241
Seyedeh Faezeh Mirhosseini, Suzanne Wilkinson,
and Mostafa Babaeian Jelodar
Health & Safety and Wellbeing Issues Confronting New Zealand
Building Council Staff Involved in Compliance Issues . . . . . . . . . . . . . . . . . 253
Zhimei Chen, Gregory Chawynski, Claire Flemmer,
and Andries van Heerden
Contents ix

Assessing Health and Safety Practices in the Nigerian Construction

Industry in the Era of the Fourth Industrial Revolution: Issues
and Challenges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 267
Oluwarotimi Gbenga Abina, Babatunde Fatai Ogunbayo,
and Clinton Aigbavboa
Assessing Benefits of Monitoring and Evaluation Practices: The
Construction Industry Perspective . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279
Babatunde F. Ogunbayo, Clinton O. Aigbavboa,
Molusiwa S. Ramabodu, and Samuel A. Adekunle
Minimizing Patent Defects in Low-Cost Housing . . . . . . . . . . . . . . . . . . . . . 291
P. Ndlovu and James Olabode Bamidele Rotimi
Impacts of Artificial Lighting on Human Behaviour In-Office
Buildings—A Systematic Literature Review . . . . . . . . . . . . . . . . . . . . . . . . . . 305
Mohamed Salaheldin Amin Mohamed and Eziaku Onyeizu Rasheed
Suitability of FIDIC Contracts for Post-disaster Reconstruction
of Infrastructure Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323
Ayush Puri, Naseem Ameer Ali, and Mohamed Elkharboutly
Managing BIM Implementation in the AEC Sector: Identifying
Key Aspects and Developing a Framework . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
B. K. C. Perera, H. S. Jayasena, K. G. A. S. Waidyasekara,
M. Siriwardena, and K. A. R. V. D. Kahandawa
Ethics Provisions Within New Zealand Professional Codes
of Conduct, Towards a Construction-Wide Code of Ethics . . . . . . . . . . . . . 367
David Finnie, Naseem Ameer Ali, Cameron McKay, and Nick Wilson
Mitigating Delay in Construction Contract Payment: A South
African Case Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383
Peter Adekunle, Clinton Aigbavboa, Matthew Ikuabe,
Kenneth Otasowie, and Ornella Tanga
Mental Health Interventions and the Productivity of Construction
Workforce . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 397
Merly Grace (Meg) Manago Carillo and Funmilayo Ebun Rotimi
Traditional Architecture: A Natural Disaster Resilient Alternative . . . . . 415
Naomaan Riyaz, Mohamed Elkharboutly, and Suzanne Wilkinson
A Bibliometric Analysis of Early Contractor Involvement (ECI)
Research in the Construction Industry . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 445
Iresha Dilhani Jayasinghe, Niluka Domingo, An Le,
and Regan Potangaroa
x Contents

A Review of Barriers to Safety Incentives Design

and Implementation in the Construction Industry . . . . . . . . . . . . . . . . . . . . 459
Kunle E. Ogundipe, Babatunde F. Ogunbayo, and Clinton O. Aigbavboa
Eliminating Building Quality Issues: A Theoretical Framework
Using the Theory of Planned Behaviour . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 471
Fei Ying, Grace Y. Wang, and Matthew Curtis
Organisational Leadership as a Driver for the Delivery
of Sustainable Construction in South Africa . . . . . . . . . . . . . . . . . . . . . . . . . . 483
Matthew Ikuabe, Clinton Aigbavboa, Samuel Adekunle,
Murendeni Liphadzi, and Peter Adekunle
Post-disaster Recovery: A Critical Assessment of Housing
Reconstruction Types and Features in Fiji . . . . . . . . . . . . . . . . . . . . . . . . . . . 493
Mohamed Elkharboutly and Suzanne Wilkinson

Theme: Innovation
A New Approach Toward Hazard Mitigation by Designing
Moveable Architectural Space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 517
Seyedehfatemeh Kamali and Han-Hsiang Wang
Introducing an Integrated Agent-Based and Reinforcement
Learning Model of Contracting and Subcontracting
in Construction Sector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 529
Jaleh Sadeghi, Mostafa Babaeian Jelodar, Teo Susnjak,
Monty Sutrisna, and Suzanne Wilkinson
Systematic Review of the Adoption Level of Building Information
Modelling in Construction Small and Medium-Sized Enterprises
in Nigeria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 549
Olusayo A. Bamgbose, Babatunde F. Ogunbayo,
and Clinton O. Aigbavboa
Conceptualizing Hard and Soft Benefits of Adopting BIM
in Construction Projects: A Systematic Review . . . . . . . . . . . . . . . . . . . . . . . 559
Tusdid Sabur Tohfa, Abdelrahman M. Farouk, and Rahimi A. Rahman
Trust in Robotics and Automation in the Construction Industry:
The Case of Malaysia . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 579
Nur Aliah Hani Saiful Amir, Ahmad Rizal Alias, Lee Yong Siang,
and Abdul Rahimi Abdul Rahman
Applicability of Building Information Modelling (BIM)
to Structural Design Workflow . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 597
Steve Penney and Hossein Askarinejad
Contents xi

Effective Digital Leadership Among Construction Industry

Professionals: Analysis of Core Competencies . . . . . . . . . . . . . . . . . . . . . . . . 611
Shakil Ahmed, Rahimi A. Rahman, Yong Siang Lee,
and Syafizal Shahruddin

Theme: Sustainability
Assessment of Energy Consumption in Building Construction
Phase: A Case of Sri Lanka . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 641
T. Sarvothayasivam, T. Ramachandra, U. G. D. Madushika, P. Ndlovu,
and James Olabode Bamidele Rotimi
Embracing Circular Economy in Australian Universities: Learning
from Global Perspectives Using State-of-the-Art Review . . . . . . . . . . . . . . 657
Olabode Emmanuel Ogunmakinde
Circular Economy Strategies for Enhancing the Sustainable
Performance of Building Sector: A Systematic Review . . . . . . . . . . . . . . . . 673
M. Gowsiga, Thanuja Ramachandra, P. Sridarran, N. Thurairajah,
and Niluka Domingo
Factors Influencing Circular Economy Adoption in the South
African Construction Sector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 695
Kenneth Otasowie, Clinton Aigbavboa, Ayodeji Oke, and Peter Adekunle
Perceived Benefits of Circular Economy Adoption in the South
African Construction Sector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 709
Kenneth Otasowie, Clinton Aigbavboa, Ayodeji Oke, and Peter Adekunle
Evaluating How Energy Performance Certificates Could Influence
the Supply of Net Zero Carbon Buildings . . . . . . . . . . . . . . . . . . . . . . . . . . . . 723
Matthew Jackson and Rolien Terblanche
Embodied Carbon Emissions for Net-Zero Carbon Buildings:
A Comprehensive Study of New Zealand . . . . . . . . . . . . . . . . . . . . . . . . . . . . 739
Sateesh Pisini, Swetha Thammadi, and Suzanne Wilkinson
Performance of Sustainable Reinforced Concrete Beams
Containing Fine Plastic Waste Aggregate and Their Life-Cycle
Costing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 757
Svetlana V. Samchenkoa, Oksana A. Larsena, Alaa Jaleel Naji,
Dheyaa A. N. Alobaidi, Asser Elsheikh, and Alexey S. Markovich
Review of the Critical Success Factors for Stakeholders’
Management in Sustainable Building Projects . . . . . . . . . . . . . . . . . . . . . . . . 771
Osabhie Paul Esangbedo, Bilge Erdogan, and Yasemin Nielsen
Key Indoor Environmental Quality Indicators for Students’
Satisfaction in Residences Built from ISBU . . . . . . . . . . . . . . . . . . . . . . . . . . 781
Noluthando Maphongwane, Clinton Aigbavboa, and Matthew Ikuabe
xii Contents

A Review of Indoor Air Quality and Thermal Comfort Guidelines

for New Zealand Primary School Classrooms: A Comparison
of DQLS Document (Old Versus New) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 791
Vineet Arya, Eziaku Onyeizu Rasheed, Don Samarasinghe,
and Suzanne Wilkinson
Sustainability of Post-disaster Temporary Houses: A Review
of Principles and Assessment Methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 805
Alireza Shamloo, Suzanne Wilkinson, Mohamed Elkharboutly,
and Niluka Domingo
Construction and Demolition Waste Management in Affluent
Economies in Transition: Implementing the 3R Strategy . . . . . . . . . . . . . . 819
Shadeedha Mohamed Saradara, Malik Mansoor Ali Khalfan,
Juan Carlos Flores Lara, Abdul Rauf, and Mutasem El Fadel
About the Editors

Prof. James Olabode Bamidele Rotimi is Professor of Construction Economics and

Management at the School of Built Environment, Massey University, New Zealand.
He is also Visiting Professor in the School of Construction Economics and Manage-
ment, University of the Witwatersrand, Johannesburg, South Africa. James has qual-
ifications in building construction management, civil engineering, commerce, and
education. He is Fellow of the Chartered Institute of Building UK and holds profes-
sional membership of the Royal Institution of Chartered Surveyors, UK, New Zealand
Institute of Building, Facilities Management Association of New Zealand, and the
Nigerian Institute of Building (NIOB). His research has focused on improving perfor-
mance within the construction industry, integrating its supply chain, and optimizing
the achievement of construction and project deliverables. He has over 30 years of
tertiary teaching and research experience in academic institutions in Nigeria, UK,
South Africa, and New Zealand. He also has various building construction industry
experiences, including a senior associate role in a quantity surveying consultancy
in Nigeria. James publishes extensively within peer-reviewed journals, conference
proceedings and in edited books. He is Founding Editor of the International Journal
of Construction Supply Chain Management IJCSCM, established in 2011.

Dr. Wajiha Mohsin Shahzad is a highly experienced academic with over 15 years
of academic and construction industry experience. Currently, Senior Lecturer in
Construction Management and Postgraduate Lead at the School of Built Envi-
ronment, Massey University in New Zealand, her expertise includes construction
management, productivity, and modern methods of construction, with a specific focus
on offsite construction. She leads a research group on ‘Future Material Technologies
in Built Environment’. Her research has been recognised for its impact and novel
contributions to the field of offsite construction. She has published various quality-
assured journal papers, conference papers, book chapters, and industry reports. Her
work has played a significant role in shaping policies surrounding the advancement
of the construction industry in New Zealand.

xiii
xiv About the Editors

Prof. Monty Sutrisna is Professor of Construction and Project Management and

Head of the School of Built Environment at Massey University, New Zealand. He is
President of the Australasian Universities Building Education Association (AUBEA)
and current member of the Board of the International Council for Research and
Innovation in Building and Construction (CIB). His research expertise includes
construction and engineering management, construction productivity, construction
procurement and contracts, construction IT and other advanced technologies applied
in construction, including offsite construction, decision making modelling/support,
knowledge based systems and artificial intelligence. Prior to joining Massey Univer-
sity, he was Head of Construction Management Department at Curtin University in
Western Australia and Director of PG Research Training and Outreach as well as the
Programme Director for Construction Management Programme at the University of
Salford, UK.

Dr. Ravindu Kahandawa is Lecturer in Quantity Surveying at the School of Built

Environment at Massey University with 8 years of experience in the construc-
tion industry and academia. Ravindu graduated with a B.Sc. (Hons) in quan-
tity surveying from the University of Moratuwa, Sri Lanka, and completed PhD
at Massey University, New Zealand in the area of “Cost Estimation Model for
Earthquake Damage Repair Work”. Ravindu is also the lead researcher in a NZD
200,000, BRANZ (Building Research Association of New Zealand)-funded project
titled: “Construction cost blowouts—can a standardized opensource cost estimation
process help?”, and a key researcher in another BRANZ-funded project on Zeron
Carbon. Ravindu’s research areas include construction waste, circular economy, and
construction company insolvencies.
Theme: Management
Managing Construction Supply Chains:
Application of the Agile Ways of Working

Pearl Li Ng, Farshid Rahmani, and Tayyab Maqsood

1 Introduction

The construction industry plays a vital role in economic growth, infrastructure devel-
opment, and societal progress. It encompasses the planning, design, construction, and
maintenance of buildings, infrastructure, and various types of projects. Rapid urban-
isation is driving the demand for construction, particularly in emerging economies.
By 2050, it is estimated that around 68% of the global population will live in urban
areas, increasing the need for infrastructure and buildings [39]. The supply chain is a
critical component within the construction industry, facilitating the timely provision
of materials, equipment, and services essential for project execution. This industry
is increasingly embracing innovative technologies and practices to enhance effi-
ciency, sustainability, and safety [26]. Furthermore, the supply chain industry plays
a key role in sourcing sustainable materials, managing waste, and ensuring adherence
to environmental standards and regulations. Effective supply chain management in
construction ensures optimal availability of materials and resources at the right time
and place, resulting in streamlined project schedules and minimised cost overruns
[11, 37].
The construction supply chain is not immune to the challenges posed by change
and uncertainties. Consequently, there is a pressing need for the industry to embrace
innovative management approaches to effectively navigate these complexities [15].
Change and uncertainties are pervasive across industries, and as a response, many
sectors have increasingly turned to the agile ways of working in recent years. Orig-
inally stemming from software development, the agile ways of working has proven
its applicability beyond its origins and has found relevance in diverse industries,

P. L. Ng (B) · F. Rahmani · T. Maqsood

Construction and Project Management, School of Property, RMIT University, Melbourne, VC,
Australia
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 3

J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_1
4 P. L. Ng et al.

including construction [12]. Adopting an agile approach in construction supply chain

management could enable companies to respond swiftly and adaptively to change and
uncertainties. Agile methodologies emphasise collaboration, flexibility, and iterative
problem-solving [12].
This study aims to investigate the application of the agile ways of working in
the supply chain management of the construction industry. It builds upon a compre-
hensive literature review examining common issues faced in both the construction
industry and software development industry, particularly in relation to change, uncer-
tainties, and risks. This study aims to establish the role of agile ways of working,
in effectively managing supply chain challenges within the construction sector. To
address the research aim, the following research question is defined: “How can
the concept of agile ways of working be leveraged to effectively manage supply
chain issues and improve adaptability, productivity, and collaboration in construc-
tion projects?”. By bridging the gap between the construction industry and agile
practices, this research aims to contribute to the knowledge base and provide valu-
able recommendations for industry professionals seeking to optimise their supply
chain management approaches in the face of change, uncertainties, and risks.

2 Methodology

This study employs a comprehensive research approach that combines extensive

literature reviews and semi-structured interviews with industry professionals. The
purpose of this approach is to identify and highlight the key agile ways of working
that can be effectively applied in the context of the construction supply chain.
Systematic literature review was performed to address the research question by
thoroughly reviewing, evaluating, and analysing four key thematic areas: (1) agile
mindset, values, and principles; (2) change, uncertainties, and risks in the construc-
tion industry; (3) agile ways of working in supply chain management; and (4)
success factors and barriers for the implementation of agile ways of working in
the construction industry.
The selection of a systematic literature review methodology is justified as it offers
a comprehensive overview of previous studies within the chosen research domain.
It allows the authors to identify relevant characteristics or relationships between
key concepts derived from existing studies. Systematic reviews are recognised as a
specific methodology that systematically locates existing studies, rigorously analyses
and synthesises data, and provides clear conclusions about the existing knowledge
and research gaps [49]. It is the foundation of any research projects [17]. In this
study, the authors adhere to the principles proposed by Briner and Denyer [9] to
ensure the rigour and transparency of the review process. These principles include
(1) conducting the review systematically by following a well-defined process, (2)
employing a transparent method that can be easily understood and replicated; (3)
ensuring the review is replicable and updatable, allowing for future revisions and
Managing Construction Supply Chains: Application of the Agile Ways … 5

updates; and (4) summarising and analysing the key topics relevant to this research,
providing a comprehensive understanding of the subject matter.
To collect the relevant literatures for this review, a comprehensive search was
conducted across various commonly used resources. Specifically, the authors adopted
the following procedures: (1) choose the database source; (2) choose keywords and
search criteria based on the thematic areas defined; (3) apply backward and forward
search as required; and (4) evaluate the appropriateness of the literature subset [13].
The search was performed within the fields of article titles, abstracts, and keywords to
ensure a comprehensive coverage of relevant studies. Keywords used include “agile
in construction”, “agile ways of working”, and “agile supply chain”. The initial search
yielded a significant number of papers in the area of agile ways of working, with thou-
sands of papers found that were relevant to the first two thematic areas. 198 papers
were identified for the application of agile approaches in construction, and 41 papers
were identified to be relevant to understand the application of agile approaches in
construction supply chain management. Given the fast-emerging nature of this field,
careful consideration was given to search filters and paper selection to ensure the
inclusion of the most relevant and recent studies. The search process continued until
theoretical saturation was achieved, ensuring that a sufficient number of studies were
included to provide a comprehensive and representative overview of the research
landscape. Recognising the presence of industry “buzzwords”, the authors of this
study also acknowledge the need to consider synonymous terms during the literature
search process. When determining the inclusion criteria, the authors prioritised peer-
reviewed articles, studies published in reputable journals and conferences, empir-
ical research featuring data and analysis, books from notable publishers or authors,
and relevant case studies. Conversely, the authors established exclusion criteria to
filter out specific study types. These exclusions encompassed non-peer-reviewed arti-
cles, conference abstracts, studies in languages other than English, complete simu-
lation and mathematical modelling papers, and articles with limited relevance to the
research topic. Additionally, the authors considered the geographical scope of their
search, aiming to explore agile practices in construction from a global perspective
while also focusing on specific regions or countries as per their research objectives.
Figure 1 illustrates the review process, and Table 1 summarises the data sources used.
Semi-structured interviews were also conducted with industry professionals who
possess extensive knowledge and work experience in construction management and
agile management. The participants selected for the interviews had been actively
working in the industry for more than 10 years, bringing valuable insights and exper-
tise to the research. A total of five participants were interviewed, ensuring a diverse
range of perspectives and experiences (Table 2).
The semi-structured nature of the interviews allowed for flexibility in exploring
various aspects of construction supply chain management and the application of
agile principles. The authors conducted the semi-structured interviews, each lasting
approximately 45–60 min, to collect the data. Exploratory follow-up questions and
non-directive probing techniques were utilised to ensure that the participants freely
expressed their own perspectives and were not influenced by the authors’ viewpoints
6 P. L. Ng et al.

Fig. 1 Flow diagram describing process of articles being reviewed and selected

Table 1 Authors and year of publication

Author Year Author Year
Ajmal, Khan, Gunasekaran, & Helo 2022 Larson & Gray 2010
Attar & Abdul-Kareem 2020 Lau & Kong 2006
Beck et al. 2001 Longo, Nicoletti, & Padovano 2017
Belhadi, Mani, Kamble, Khan, & Verma 2021 Love, Irani, & Edwards 2004
Braunscheidel & Suresh 2009 Lu, Olofsson, Jensen, & Simonsson 2011
Broft, Badi, & Pryke 2016 Mrugalska & Ahmed 2021
Ciric et al. 2018 P. Xu 2009
Cox & Ireland 2002 Rajagopal & Bernard 1993
D. Lee & Lee 2021 S. Xu, Zhang, Feng, & Yang 2020
Elmughrabi, Sassi, Dao, & Chabaane 2020 Srivastava, Bhardwaj, & Saraswat 2017
Fiksel 2003 Stray, Moe, & Sjoberg 2018
Foehrenbach & Heldstab 2017 Thunberg 2016
Gibbert, Hoegl, & Välikangas 2007 Tserng, Yin, & Li 2005
Goldman, Nagel, and Preiss 1995 ul Hassan, Ahmad, & Zuhaira 2018
H. L. Lee 2002 Van Hoek 2001
Holbeche 2015 Van Hoek, Harrison, & Christopher 2001
Hu 2022 Virolainen 1998
Ibem & Laryea 2014 Vrijhoef & Koskela 2000
Jiang, Klein, Tsai, & Li 2018 Yeo & Ning 2002
Kleindorfer & Saad 2005 Zayat & Senvar 2020
Krishnaiyer & Chen 2017
Managing Construction Supply Chains: Application of the Agile Ways … 7

Table 2 Information of participants

Participant Professional background
1 A system engineer and an agile coach with a demonstrated history of working in the
oil and energy industry with strong expertise and experience on how to embed
digital tools and new ways of working to optimise the delivery of industrial scale,
multibillion capital projects
2 A consultant focuses on technical and program advisory services, heavily involved
in project management bodies and working groups with publications and thought
leaderships delivered
3 A multidisciplinary consultant who is experienced in adopting agile delivery in
managing heavy industry and capital-intensive projects, and has successfully
adopted agile in different phases of a capital projects, demonstrating tangible cost
and time savings
4 A system engineer in capital projects turned software project manager and has
played various roles at different levels and different organisations
5 A registered mechanical engineer with more than 10 years of experience in
delivering projects in the commercial building sector and in establishing continuous
improvement practices

[27]. The insights gathered from these interviews provided valuable first-hand infor-
mation and real-world examples, contributing to a comprehensive understanding
of the topic. These interviews provide an opportunity to delve deeper into practical
experiences, challenges, and successes in implementing agile in real-world scenarios.
By combining the findings from the literature reviews and insights gained from
the interviews, this study aims to provide a holistic and practical understanding of
the how the agile ways of working can enhance the efficiency and effectiveness
of the construction supply chain. Ultimately, the goal of this study is to contribute
practical knowledge that can inform construction professionals in optimising their
supply chain management processes and improving project outcomes.

3 Literature Review

The section covers the overview of supply chain management in the construction
industry, the agile ways of working in the software industry, and the common
occurrence of issues the construction supply chain and the software industries.

3.1 Supply Chain Management in the Construction Industry

The construction industry operates within complex supply chains characterised by

decentralised and fragmented structures, as well as temporary and project-oriented
8 P. L. Ng et al.

nature. These supply chains involve intricate networks with diverse relationships,
resources, products/services, logistics, information, and financial flows [16].
Planning and executing construction projects require extensive communication
efforts due to the involvement of multiple participants from various organisations.
Each construction project presents unique requirements and constraints, further
adding to the challenges of supply chain management. Within this context, the logis-
tics and supply chains in construction face the complexity of temporary organisations
formed for project execution. These temporary supply chains involve a multitude of
trades, including consultants, suppliers, and subcontractors [14]. Material, equip-
ment, and labour flows are the primary components of a construction supply chain,
each demanding meticulous coordination and synchronisation to ensure seamless
project execution [16, 43]. Effectively managing these complex and dynamic supply
chains is crucial for the successful delivery of construction projects.
Numerous research studies have emphasised the capacity of supply chain manage-
ment (SCM) to address the significant hurdles posed by fragmentation, adversarial
relationships, and a lack of customer orientation in the execution of construction
projects [10]. SCM encompasses various important aspects, and one of them is
the planning process, which involves continuous involvement and integration of all
supply chain members. This collaborative planning approach is referred to as supply
chain planning (SCP). Within SCP, procurement planning takes place to identify
the necessary materials, components, and services required to fulfil the demand.
Supply plans are developed, including material delivery schedules that indicate the
expected arrival of ordered materials. Distribution planning is performed to deter-
mine the most efficient logistics routes, warehousing locations, and transportation
methods to deliver the products to customers. The objective of SCP is to ensure
effective coordination and integration of crucial business activities, ranging from
raw material procurement to the distribution of final products to customers. In the
context of construction, procurement activities are typically planned and executed
before on-site production begins [43]. For project managers overseeing construction
projects, strategic, tactical, and operational supply chain planning are essential tasks
to effectively manage the project’s supply chain activities [52].
By performing these planning activities, project managers can optimise resource
allocation, streamline processes, and enhance overall project performance [43]. Poor
supply chain planning often leads to material shortages, which can subsequently
disrupt the project schedule [44]. Conversely, overcompensating by producing or
supplying materials earlier than necessary can result in substantial inventory costs.
It is crucial to implement effective planning and inventory management strategies to
mitigate these challenges and maintain project timelines and cost efficiency [44]. The
inability to plan well is often due to multiple factors, include the lack of connections
between production and material delivery schedules, limited involvement of suppliers
and subcontractors in planning, and a focus on meeting client requirements rather
than improving the supply chain [43].
Once the planning phase is completed, the execution phase begins. This includes
procurement execution, where materials and services are procured from suppliers
based on the procurement plan. The production execution phase involves carrying out
Managing Construction Supply Chains: Application of the Agile Ways … 9

manufacturing or construction processes according to the production plan to ensure

the timely availability of finished goods. Finally, logistics and distribution come into
play as products are transported from manufacturing facilities to distribution centres
and then delivered to customers [24, 40, 47].
Various supply chain disruptions can occur throughout a construction project.
Supplier issues, such as delays, quality problems, or disruptions in the supply of
materials or services, can significantly impact operations. Production delays may
arise due to equipment breakdowns, labour shortages, or unexpected events that
disrupt the production schedule. Transportation problems, including delays, capacity
constraints, or disruptions in the transportation network, can also disrupt the smooth
flow of goods. Inventory shortages may occur due to unexpected demand fluctuations,
production delays, or supplier issues. Additionally, demand variability, regulatory
changes, and geopolitical factors such as political instability or trade disputes can
introduce further disruptions [28, 51].
To address these disruptions, supply chain management teams need to swiftly
assess the situation and identify alternative solutions. By effectively managing
disruptions and incorporating agile ways of working into supply chain management,
companies can enhance their ability to respond to challenges.

3.2 The Agile Ways of Working

The agile ways of working originated in the realm of software development in the
1990s, as a response to the traditional waterfall methodology that often resulted in
rigid processes and delayed project deliveries [12]. The need for a more flexible
and collaborative approach to software development led to the emergence of the
Agile Manifesto in 2001, which outlined the core values and principles of the agile
movement [4]. To achieve success in agile management, having the right mindset is
important.
The agile mindset is the cornerstone of agile ways of working, and while the
Agile Manifesto was introduced in 2001, the concept of agility has been explored
even before that. An agile mindset refers to a set of attitudes and beliefs that individ-
uals and organisations adopt to embrace agility in their work and decision-making
processes. It is a way of thinking that emphasises adaptability, collaboration, and
continuous learning and improvement. In a study by Goldman et al. [21], four funda-
mental dimensions of agility were identified: (1) enriching the customer, (2) coop-
erating for enhanced competitiveness; (3) organising to master change and uncer-
tainty, and leveraging the impact of people and information. The agile mindset chal-
lenges the notion of stability and requires a shift in thinking towards adaptability,
collaboration, and continuous improvement. It encourages individuals and teams to
embrace change, value feedback, and foster a culture of learning. Open communica-
tion, trust, and empowerment are emphasised, enabling teams to respond effectively
to challenges and capitalise on opportunities [22, 46].
10 P. L. Ng et al.

Agile values guide the behaviours and decisions of individuals and teams. The
Agile Manifesto outlines four core values: individuals and interactions over processes
and tools, working solutions over comprehensive documentation, customer collab-
oration over contract negotiation, and responding to change over following a plan
[4]. The Agile Manifesto is complemented by twelve principles that provide prac-
tical guidelines for project management. These principles advocate for early and
continuous delivery, embracing change, delivering value to customers, fostering
collaboration, empowering teams, and promoting sustainable development [5].
Agile practices encompass a wide range of methodologies and techniques that are
utilised to implement agile principles effectively. These practices include well-known
frameworks such as Scrum, Kanban, Lean, and Extreme Programming (XP) [30].
Scrum, for instance, introduces time-bound iterations called sprints and incorporates
cross-functional teams, daily stand-ups, backlog management, and sprint reviews
[41]. The Scrum practices and workflow are as illustrated in Fig. 2. Kanban focuses
on visualising and managing work through a kanban board, facilitating a continuous
flow of tasks [53]. As discussed earlier, agile methodologies promote iterative and
incremental development. A sprint, which typically lasts one to three weeks, serves as
the fundamental unit of work with a fixed timebox [41]. The product backlog consists
of user requirements, features, or functionalities that provide value to end-users or
customers [30]. Agile teams may also utilise story mapping, a visual representation
technique that aims to bridge the gap between usability scenarios and requirements
[19]. To facilitate short, iterative development cycles, the work items in the product
backlog are distributed among multiple sprint backlogs. During sprint planning, the
team gathers to prioritise the work items and discuss the methods to accomplish
the sprint. It is important to note that once a sprint begins, the sprint backlog should
remain unchanged. Throughout the sprint, the team collaborates daily, holding meet-
ings where each member shares their progress and addresses any concerns. At the end
of each sprint, the team conducts retrospectives to reflect on the sprint’s outcomes
and identify potential opportunities for improvements [42].

3.3 Common Issues in Construction Supply Chain

and the Software Industry

Construction supply chain and software development, despite belonging to different

industries, share common issues in the areas of change, uncertainties, and risks.
Both construction projects and software development projects often experience scope
changes due to evolving requirements. Stakeholders may have new insights, clients
may request modifications, or market conditions may require adjustments. These
changes can introduce uncertainties and impact the supply chain, necessitating adjust-
ments in material procurement, resource allocation, and scheduling. Uncertainties
Managing Construction Supply Chains: Application of the Agile Ways … 11

Fig. 2 Scrum practices and workflow

in project requirements are also prevalent in both construction and software devel-
opment. Clients may have evolving needs, unclear expectations, or difficulties artic-
ulating their requirements [1]. Similarly, in software development, changing user
needs or evolving business processes can lead to uncertainties and scope creep [45].
These uncertainties affect the supply chain by requiring flexibility in sourcing mate-
rials, adjusting resource allocation, and adapting project plans. Both construction and
software development industries face uncertainties related to market conditions and
technological advancements. Economic fluctuations, regulatory changes, or shifts
in customer demands can introduce uncertainties and impact project timelines and
resource availability in the supply chain. In software development, evolving tech-
nologies, emerging platforms, or changes in software frameworks can introduce
uncertainties.
Construction supply chain and software development projects rely on external
suppliers for various components, materials, or software modules. Supplier relia-
bility is crucial to ensure on-time delivery, quality, and adherence to project spec-
ifications [14, 25]. However, uncertainties such as supplier delays, quality issues,
or supplier bankruptcies can introduce risks and impact project timelines and deliv-
erables. Robust supplier evaluation, risk assessment, and contingency planning are
essential to mitigate these risks. Both domains also require specific resources, such as
skilled labour, equipment, and materials. Resource constraints can arise from factors
such as shortages of skilled workers, limited availability of specific equipment, or
material shortages due to market conditions [20, 31]. These constraints affect project
schedules, supply chain operations, and may require alternative sourcing strategies
or adjustments in project plans to mitigate their impact.
Both domains require proactive risk management to address uncertainties and
mitigate potential risks. Identifying, assessing, and managing risks are crucial to
12 P. L. Ng et al.

ensure project success. Risks related to supply chain disruptions, material avail-
ability, scope changes, or market uncertainties need to be actively monitored and
addressed through robust risk management strategies. Effective communication and
collaboration are vital in both construction supply chain and software development
projects [43, 50]. Lack of clear communication, misalignment among stakeholders,
or insufficient collaboration among project teams can lead to misunderstandings,
delays, and errors. Close coordination, frequent information sharing, and effective
communication channels help mitigate these risks.

4 Results and Discussion

The agile ways of working takes an integrated and holistic approach to cultural
agility and technical agility. This phenomenon can be described using the “agile
onion” model, where the mindset, which is invisible from the outside, is the core and
has the highest impact. The processes and tools, on the other hand, are visible from
the outside but will fall apart if the right mindset is not adopted. Digital tools and
technology act as a key enabler for the implementation of the agile ways of working
(Fig. 3).

4.1 Agile Mindset

Having an agile mindset, especially when it comes to adapting to change and respon-
siveness, plays a crucial role in construction supply chain management. An agile

Fig. 3 Adapted agile onion [7]

Managing Construction Supply Chains: Application of the Agile Ways … 13

mindset encourages individuals and teams to view change as an opportunity rather

than a hindrance. It promotes a culture where employees are open to exploring new
ideas, adapting to evolving circumstances, and embracing innovative solutions [2].
The agile mindset is important to construction supply chain, not just during the
planning phase, more importantly when there is a disruption, as shared by Participants
3 and 4. In the construction supply chain planning process, this involves considering
various scenarios and time horizon (short-, mid-, and long-term), anticipating poten-
tial disruptions, and building flexibility into the plans [18]. With an agile mindset,
construction organisations can be quick to identify alternative sources for materials
or components when disruptions occur in the supply chain [33]. Another aspect of
embracing change in the construction supply chain is agile procurement. Construc-
tion organisations need to re-evaluate their procurement strategies and processes
to ensure they are agile and responsive to disruptions. This may involve estab-
lishing relationships with multiple suppliers, implementing just-in-time delivery
approaches, or adopting dynamic procurement methods that can quickly adapt to
changing market conditions [46] Participant 4 also elaborated that the collaborative
relationships are essential when embracing change during supply chain disruption.
By building strong with suppliers, subcontractors, and other stakeholders, organisa-
tions can work together with their suppliers to proactively address disruptions, share
information, and collectively find innovative solutions.
Participant 5 explained that his team were doing a weekly resource profiling
and re-allocation during the COVID-19 pandemic. The team’s openness to change
had helped them to navigate the complexity related to site access during that
period. Construction organisations should view disruptions as opportunities for
improvement. They can identify areas for optimisation, strengthen their risk manage-
ment strategies, and develop contingency plans to better prepare for future disrup-
tions. By continuously learning from disruptions and implementing improvements,
construction organisations enhance their supply chain resilience.
Effective communication and transparency play a crucial role in embracing change
during supply chain disruption. Construction organisations should openly share
information about disruptions, potential impacts, and mitigation strategies within
their organisation and across the supply chain [8]. All participants agreed that good
communication and the mindset of embracing are important in navigating uncertain-
ties, identifying opportunities, and implementing strategies that minimise the impact
of disruptions.

4.2 Agile Values

During a construction supply chain planning and disruption, embracing the four core
values of agile can significantly contribute to effective management and mitigation of
the challenges. First, prioritising individuals and interactions over processes and tools
fosters collaboration and communication among stakeholders involved in the supply
14 P. L. Ng et al.

chain. For example, project teams can actively engage in problem-solving discus-
sions, exploring alternative suppliers, and adjusting material sourcing strategies to
minimise the disruption’s impact [28].
Second, emphasising working solutions over comprehensive documentation is
crucial. Rather than getting caught up in extensive paperwork, project teams should
focus on finding practical solutions that address the immediate effects of the disrup-
tion. Real-time information sharing through digital platforms enables teams to collab-
orate effectively, share updates, and make timely adjustments to plans in response
to the disruption. One example is on how the PPE industry used digital platform as
a means of communication during the supply chain disruption amid the COVID-19
pandemic [23].
Third, placing customer collaboration over contract negotiation is essential. By
involving customers in decision-making processes related to changes in project scope
or resource allocation, construction organisations can ensure that customer expecta-
tions are met while effectively managing the disruption and identifying innovative
solutions. Participant 5 shared how they engaged the customers and other stake-
holders to co-create the design of a building so that all parties are on the same page
during resource allocation. The team also discovered an innovative delivery approach
to deliver the project.
Finally, prioritising responding to change over following a plan is critical in a
disrupted supply chain. Participants 2 and 3 shared that construction organisations
should be proactive in adapting plans to the new circumstances. They can revise
construction schedules, adjust procurement strategies, and conduct risk assessments
to identify and address potential risks associated with the disruption. By applying
these core values and implementing relevant examples, construction organisations
can navigate supply chain disruptions with resilience and maintain project progress
despite the challenges.

4.3 Agile Principles

Agile principles can be effectively applied in construction supply chain manage-

ment, particularly during supply chain disruption. Construction organisations can
embrace the agile principle of iterative and incremental development, breaking
down their supply chain activities into smaller iterations or phases. This allows
them to continuously assess the impact of disruptions, make necessary adjustments,
and gradually improve their supply chain processes. Participant 2 shared that his
team broken down their plans to smaller pieces during a disruption. As a result,
the tasks are more achievable, and the team managed to overcome the disruption in
a calm and collected manner. In addition, cross-functional collaboration is empha-
sised in agile principles. Construction organisations can bring together representa-
tives from different areas such as procurement, logistics, project management, and
suppliers to collaborate and address challenges collectively [35]. This collaborative
Managing Construction Supply Chains: Application of the Agile Ways … 15

approach helps in finding innovative solutions, sharing knowledge, and ensuring

smooth communication throughout the supply chain.
Agile principles advocate for continuous improvement and a learning-oriented
culture. Construction supply chain management can apply this principle by encour-
aging regular feedback loops and reflection on supply chain processes and practices
[48]. By analysing the impact of disruptions, identifying areas for improvement, and
implementing changes based on lessons learned, organisations can enhance their
supply chain resilience and responsiveness. Flexibility and adaptive planning are
key components of agile principles. Visual management and transparency are also
important in agile principles. Construction organisations can utilise visual manage-
ment tools such as kanban boards or dashboards to provide real-time visibility into
the status of materials, inventory, and project milestones [29]. This transparency
enables stakeholders to identify bottlenecks, anticipate potential issues, and make
data-driven decisions to mitigate the impact of disruption.
By applying these agile principles, construction supply chain management can
effectively manage challenges, maintain project continuity, and optimise their supply
chain operations for improved performance and customer satisfaction.

4.4 Agile Tools and Processes

Agile tools and processes, such as daily stand-ups, sprint planning, retrospectives,
and progress visualisations, e.g. Kanban boards, can greatly benefit the construc-
tion supply chain by improving communication, collaboration, and efficiency. In the
context of the construction supply chain, daily stand-ups can help different teams
involved in the supply chain, such as procurement, logistics, and construction teams,
to coordinate their efforts, identify potential bottlenecks, and proactively address
issues. Participants 1 and 2 shared how agile teams were specifically created during
a disruption and how the teams utilise these tools and processes to manage the
disruptions.
Backlog management plays a crucial role in construction supply chain by
providing a comprehensive view of tasks, requirements, and priorities. The backlog
serves as a centralised repository of tasks, enabling efficient resource allocation and
facilitating better coordination among team members. Retrospectives provide an
opportunity for the supply chain teams to reflect on their performance, identify areas
for improvement, and make necessary adjustments.
In the context of construction supply chain management, the human aspect plays
a critical role in the success of projects. User stories, a fundamental component of
agile methodologies, help capture and prioritise stakeholder needs in the construction
supply chain. By considering the end-users’ perspectives and preferences, supply
chain teams can develop systems that are intuitive, easy to use, and tailored to the
specific needs of the construction industry [34].
16 P. L. Ng et al.

4.5 Implementation of the Agile Ways of Working

Successfully implementing agile ways of working in the construction supply chain

requires careful planning, effective communication, and a collaborative approach. It
is essential to assess the readiness of the organisation and identify champions who can
drive the implementation process. Employees should be equipped with the necessary
knowledge and skills related to agile principles, methodologies, and tools, as shared
by all participants. This will enable them to effectively implement agile practices
in their daily work. Participants 1 and 3 mentioned that having an agile coach is
crucial for the successful implementation of agile ways of working in a construction
supply chain project. To begin the implementation process, Participant 1 advised to
start with pilot projects. These projects should be small scale and selected based on
their potential for quick wins and demonstrating the benefits of agile methodologies.
This allows teams to learn, experiment, and adapt in a controlled environment before
scaling up to larger projects. Establishing agile frameworks and processes is essen-
tial for structuring the implementation of agile ways of working, as elaborated by
Participant 1.

4.6 Enablers of the Agile Ways of Working

Various technologies play a significant role in enhancing agility in the construction

industry. These technologies enable real-time collaboration, data-driven decision-
making, rapid adaptation to changes, and improved project coordination.
• Building Information Modelling (BIM): With BIM, stakeholders can iden-
tify potential clashes, optimise designs, and make informed decisions, thereby
minimising rework and improving project coordination. By leveraging BIM’s
capabilities, construction teams can adapt quickly to changes, respond to unfore-
seen challenges, and maintain a high level of agility throughout the project
lifecycle [36].
• Artificial Intelligence (AI): The application of AI enhances agility by enabling the
prediction of project outcomes, risk analysis, and proactive decision-making [6].
By harnessing the power of AI, construction professionals can identify potential
issues, mitigate risks, and optimise construction processes, ultimately improving
project efficiency and adaptability.
• Modular Construction: This method enhances agility by reducing accelerating
project delivery, facilitating rapid adaptation to changing requirements, and
enabling greater flexibility in responding to supply chain disruptions. Construc-
tion teams can easily adjust modular components to meet evolving project needs,
ensuring efficient construction even in dynamic environments [32].
• Augmented Reality (AR) and Virtual Reality (VR): AR and VR can be used
for visualising designs, simulating construction processes, and providing virtual
walkthroughs. These technologies enhance agility by enabling stakeholders to
Managing Construction Supply Chains: Application of the Agile Ways … 17

visualise and understand complex design concepts, detect design flaws, and make
informed decisions in real-time [38].
• Digital Twins: This technology enables real-time monitoring, analysis, and simu-
lation of project performance. Digital Twins enhance agility by providing accurate
and up-to-date information about the construction project, facilitating predic-
tive maintenance, and enabling efficient decision-making. The ability to simu-
late different scenarios and test solutions virtually enables construction profes-
sionals to make data-driven decisions and improve project outcomes, ultimately
enhancing agility in the construction supply chain [32].

5 Limitations and Future Work

Due to limited time and scope of work, this research paper is developed solely
based on previous literatures and limited interviews with professionals. In spite of
the valuable insights gained from the semi-structured interviews conducted with
industry professionals, it is important to acknowledge the limitation of the study’s
small sample size. The interviews involved a limited number of participants, which
may restrict the application of the findings to a wider population of construction
industry professionals. While efforts were made to select interviewees from diverse
backgrounds and roles within the industry, a larger and more diverse sample could
have provided a more comprehensive understanding of the research topic. Another
possible direction is to quantify the effectiveness of the agile ways of working in
the supply chain management, followed by a benchmarking exercise with other
industries. As this is an emerging field, it is also essential to consider the skills
required for the agile ways of working to be applied successfully.

6 Conclusion

In this study, the authors examined the application of agile practices in the construc-
tion supply chain, focusing on the mindset, values, and principles that underpin agile
approaches. Through a combination of literature review and interviews with profes-
sionals in the construction industry, the authors have gained valuable insights into
the relevance and benefits of agile practices in this context.
The findings confirm that an agile mindset, characterised by adaptability, collab-
oration, and customer-centricity, is crucial for managing the complexities and uncer-
tainties of the construction supply chain. The emphasis on working deliverables,
customer collaboration, and embracing change over rigid plans aligns with the agile
values advocated in the Agile Manifesto. The identified agile principles are consistent
with the principles of lean construction and supply chain agility. These principles
provide a roadmap for enhancing project outcomes, responsiveness, and efficiency
within the construction supply chain. The comparison of the findings with existing
18 P. L. Ng et al.

literature reveals a strong alignment, validating the applicability and benefits of

agile practices in the construction industry. This study contributes to the existing
body of knowledge by providing empirical evidence and practical insights into the
implementation of agile practices specifically within the construction supply chain.
In conclusion, this study highlights the relevance and applicability of agile prac-
tices in the construction supply chain. The implications of this research are significant
for construction practitioners, project managers, and other stakeholders involved in
the construction supply chain. By embracing an agile mindset, values, and princi-
ples, construction professionals can navigate the challenges and complexities of the
industry, ultimately leading to enhanced project success and customer satisfaction.
Further research should continue to explore and refine the implementation of agile
practices in various construction contexts to advance the field and drive continuous
improvement.

7 Ethics Statement

Informed consents are obtained during the interview with industry experts and direct
identifiers, e.g. participant’s name, company name, and project name are removed at
the transcription phase to ensure anonymity.

Acknowledgements The authors are most grateful to industry experts for their contribution to this
paper, and the referees for their constructive comments in enhancing the quality of this paper. The
authors are also thankful to the Australian Government for providing the support to carry out this
study.

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Revisiting Construction Delays in GCC:
Oman Versus UAE
Nasra S. S. Al Sharji, Taleb M. Al Rousan, Abdullahi A. Umar,
and Atef Badr

1 Introduction

Globally, the issue of construction projects delays has become ubiquitous across the
different types of construction projects. Studies after studies have continued to seek to
identify the most common causes of construction projects delays with varying results
across different countries, sectors, and regions. It has been reported that over 8% of
global GDP is spent on construction projects annually and 99% of those projects
are often delayed [13]. Another study of over 3,022 projects around the world found
that only 2.8% were completed on-time and on-budget,and if promised benefits were
to be taken into consideration, the percentage dropped to only 0.2% [12]. A review
of construction reports from the Simon report of 1944 to Egan’s report of 1998
shows that the issue of construction delays has been intractable for a long time now
[29]. Construction delays have been defined as the time that exceeds the contractual
agreed completion date [7]. The Society for Construction Law (SCL) protocol broke
delays into two, viz. employer delay to completion and contractor delay to comple-
tion [36]. Some of the globally iconic projects today are known to have faced huge
delays during construction. These include the Sydney Opera House, the Thames
Barrier project, Berlin Brandenburg Airport, and the Scottish Parliament Building.
There have been some projects that were completed on time such as the Guggenheim
Museum, the Madrid Metro extension, and the Hong Kong Cross Harbour Tunnel,
but these seem to be the exceptions. Because of the disturbing nature of delays,

N. S. S. Al Sharji (B) · A. A. Umar · A. Badr

Civil Engineering and Quantity Surveying, Military Technological College, Al Matar St, Muscat
111, Sultanate of Oman
e-mail: [email protected]
T. M. Al Rousan
Department of Civil Engineering, Faculty of Engineering, The Hashemite University,
Zarqa 13133, Jordan

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 21

J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_2
22 N. S. S. Al Sharji et al.

researchers have put efforts into coming up with the most critical delay causes in
order to finally determine an effective global solution. However, results after results
have shown that the issue of construction delays tend to be country-specific [28] is
impacted by culture [33] and they change over time [4]. In their study of delays in the
UAE construction industry, Mpofu et al. [28] found that delays are country-specific,
time related and should be viewed within the social, economic, and cultural settings
of a country. Ren et al. [33] also found that culture was a major factor that contributed
to delay in construction projects in the UAE. Two important studies have sought to
summarize the global [35] and universal causes [48] of construction projects delays
but both efforts yielded different results, confirming the impact of country-specific
nuances and time on the most critical causes of project delays. It is noteworthy to
clarify one important fact about both previous studies above—they both relied on
content analysis of previously published works. Therefore, it is pertinent to under-
take studies such as this one to unearth these latent differences between seemingly
similar countries in order to reduce the liability of foreignness for foreign contractors
and consultants in the region. Liability of foreignness describes the additional costs
that multinational enterprises have to face relative to their indigenous competitors
when operating in foreign markets [8]. This liability of foreignness has been shown
to exist in international business, and coping mechanisms have also been suggested
[46, 47]. The purpose of this study is to test if differences exist in terms of causes of
construction delays between two countries with similar history, geography, gover-
nance systems, religion, and culture. Section two looks at previous studies of delays
in both countries, section three describes the methods used, section four presents the
results, while section five concludes.

2 Construction Delays in the GCC

The Gulf Cooperation Council (GCC) Countries is an umbrella name for the six oil
rich Gulf countries consisting of the Kingdom of Bahrain, the Kingdom of Saudi
Arabia, the Sultanate of Oman, Kuwait, Qatar, and the United Arab Emirates (UAE).
The members of this group share similar cultural practices, history, religion, and
system of government-monarchy. These group of countries have a pipeline of mega
construction projects both ongoing and planned to run into billions of dollars. The
UAE and the Sultanate of Oman are two countries within the bloc with the closest
relationship both historically and geographically. For example, the Sultanate of Oman
has an enclave (Madha) which can only be reached through the UAE, while the UAE
also has a counter Enclave (Nahwa) within the same Madha Enclave. Both countries
have citizens who have extended family members as citizens of the other. Both share
similar cultures, food, and festivals even though their development trajectories seem
to differ considerably. Both countries have considerable oil wealth and have both
put this wealth into providing their citizens good infrastructure to spur economic
development and economic growth. The contribution of infrastructure to a country’s
GDP exceeds the capital cost of the infrastructure [10]. However, the efficiency
Revisiting Construction Delays in GCC: Oman Versus UAE 23

of the construction industry has implications for the sustained growth and long-
term development of any country [1]. Therefore, it is pertinent for governments
and policy makers to be interested in the barriers to efficiency in the construction
industry of GCC. There have been numerous studies in both countries on the causes
of construction delays with a view to finding lasting solutions to the issue.
In Oman, Al Nuaimi and Al Mohsin [4], while assessing the pre-Tropical Cyclone
Gonu and post-Tropical Cyclone Gonu causes, found that the most important causes
of delays changed over time. For example, the top five causes of delays pre-Gonu
were weather, variations and claims, financial issues, new government rules, and
unforeseen ground conditions. While post-Gonu, the top five causes of delays were
poor planning and scheduling, poor contractor experience, shortage of materials,
failure of work programme, and change in initial designs. Interestingly, the only
common variable between the pre- and post-results at the level of the top five causes
was variations/change in initial design. In a 2017 follow-up study of delays in Oman,
selection of lowest bid, contractor financial difficulties, delay in decision making by
client, poor planning and scheduling, and variations/change in initial design were
found to be the top five causes [30]. In a 2020 study, variations/change in designs, poor
site management and supervision, poor planning and scheduling, inadequate design
details, and poor contractor qualifications were found to be the top five causes of
delays in that order [42]. Another study conducted in 2022 also found that, variations/
change in designs, poor contract management, poor planning and scheduling, client
financial difficulties and poor site management and supervision in that order [5].
Another 2022 study in Oman found that variations/change in designs, client slow
decision making, labour shortages, client financial difficulties, and subcontractor
issues were the most common causes of delays [20]. It was observed that the two
2022 publications only had two common causes-variations/change orders and client
financial difficulties. Interestingly across the five Omani studies, only one factor
(variations/change orders) was recurring across all five studies. Two other factors
(poor planning and scheduling and client financial difficulties) were recurring across
four of the five studies examined. This indicates that these three factors were likely
the most critical causes of delays across construction projects in Oman.
In the UAE on the other hand, a 2006 study found that delay in approval of
drawings, poor planning and scheduling, client slow decision making, shortage of
manpower, and poor site management and supervision were the top five causes [11]. A
2010 follow-up study found that variations/change orders, lack of capability of client
representative, client slow decision making, poor client experience in construction
and poor site management and supervision were the top five delay factors [27].
Another study in 2017 found that, unrealistic project durations imposed by client,
incomplete designs at tender, variations/change orders, poor planning and scheduling,
delays in government permit were the top five causes [28]. A follow-up study in
2018 also found, variations/change in designs, unrealistic project durations, delay in
government permits, poor planning and scheduling, and client scope change were the
top five causes of delays [21]. Finally, in a 2021 study of the subject matter, variations/
change in designs, client slow decision making, contractor financial difficulties, poor
site management and supervision, and poor planning and scheduling were found to
24 N. S. S. Al Sharji et al.

be the top five causes of delays [3]. In the UAE assessments, it is noteworthy to point
out that two factors (poor planning and scheduling and variations/change orders)
were recurring across four of the five studies examined. Poor site management and
supervision, delay in government permits, and client slow decision making also
recurred in three out of the five studies examined.
Overall, there were only two factors that were common between the two countries,
namely variations/change orders and poor planning and scheduling. Summarizing
all the most important factors across both countries indicates that variations/change
orders, poor planning and scheduling, poor site management and supervision, delay
in government permits, client slow decision making, and client financial difficulties
are the six most important causes of delays as shown by an assessment of past
studies. A look at the two 2017 studies in Oman and UAE [30] and [28] shows that
only two factors were common between the two, viz. poor planning and scheduling
and variations/change orders. The summarized number of variables causing delays
and their citing literature are given in Table 1.
With regard to solutions to construction delays, researchers have proposed a wide
variety of solutions from upskilling the workforce to the adoption of technology-
based solutions. For example, Oyegoke and Al Kiyumi [30], in their study found that
the most significant solutions to delays include the use of experienced contractors and
consultants, effective planning and scheduling by the main contractor, and effective
site management and supervision [1]. On the other hand, argues for better commu-
nication, effective management, better use of information systems and technology,
enforcement of contract clauses, and improved financial arrangements. Others have
argued for the implementation of Building Information Modelling (BIM) as a tool
that can assist in improving the performance of construction projects in the GCC [39].
Humans are the heart and soul of projects [22], hence for any solution to be effective
the training of all cadres of construction professionals will have to be at the forefront.
Training in the use of technology for professionals while training in efficient use of
new power tools should be the focus for all specialist trades including safety training.
Furthermore, the House of Commons has also suggested giving completion time in
a ‘range’ between two dates rather than a specific calendar date, given the inherent
uncertainties associated with construction work [17].

3 Method

A literature review of existing delay studies across the GCC was undertaken, and
the major causes of delays were compiled as given in Table 1. There has been no
consensus on the actual number of delay causes across all the highly cited literature
on construction delays. Among the literature examined, there exists a huge vari-
ability between the number of causes across the different literatures. For example,
Sambasivan and Soon [34] cited 2,152 times had 28 delay causes, Faridi and El-
Sayegh [11] cited 870 times had 44 delay causes, Sweis et al. [37] cited 786 times
had 40 delay causes, and Abd El-Razek et al. [2] cited 732 times with 32 delay
Revisiting Construction Delays in GCC: Oman Versus UAE 25

Table 1 Delay factors and their citing literature

S/No Delay causes Citing literature
1 Variation and changes in design Al Gheth and Sayuti [3], Al Subhi et al. [5]
2 Poor site management and Al Gheth and Sayuti [3], Al Subhi et al. [5]
supervision
3 Client’s slowness in making decision Al Gheth and Sayuti [3], Al Subhi et al. [5]
4 Low labour productivity Al Subhi et al. [5], Umar et al. [42]
5 Delay in material delivery Al Subhi et al. [5], Umar et al. [42]
6 Heat and bad weather conditions Al Nuaimi and Al Mohsin [4], Emam et al. [9],
Umar et al. [42]
7 Inadequate experience in consultant Al Subhi et al. [5], Umar et al. [42]
8 Unclear and inadequate details in Al Subhi et al. [5], Umar et al. [42]
drawing
9 Poor qualification of the contractors Al Subhi et al. [5], Umar et al. [42]
10 Poor planning and scheduling Al Gheth and Sayuti [3], Umar et al. [42]
11 Delay in payment to contractors Al Subhi et al. [5], Umar et al. [42]
12 Economic environment Al Subhi et al. [5], Umar et al. [42]
13 Poor Communications between the Al Subhi et al. [5], Umar et al. [42]
parties
14 Delay in client approval Al Subhi et al. [5], Umar et al. [42]
15 Unqualified work force Al Subhi et al. [5], Umar et al. [42]
16 Delays of statutory approvals Al Subhi et al. [5], Umar et al. [42]
17 Unrealistic contract duration Mpofu et al. [28], Johnson and Babu [21], Ren
et al. [33]
18 Delays in producing design Al Subhi et al. [5], Umar et al. [42]
documents
19 Shortage of labour Faridi and El-Sayegh [11], Al Subhi et al. [5]
20 Design errors Al Subhi et al. [5], Umar et al. [42]
21 Poor Communication designers and Al Subhi et al. [5], Umar et al. [42]
contractor
22 Material procurement Al Subhi et al. [5], Umar et al. [42]
23 Delays of inspection and testing of Al Subhi et al. [5], Umar et al. [42]
work
24 Subcontractor issues Ren et al. [33], Al Subhi et al. [5], Umar et al.
[42]
25 Unrealistic designs and drawings Al Subhi et al. [5], Umar et al. [42]
26 Client financial difficulties Al Subhi et al. [5], Umar et al. [42]
27 Type of project bidding and award Oyegoke and Al Kiyumi [30], Al Subhi et al. [5]
28 Differing Site condition (ground Al Subhi et al. [5], Umar et al. [42]
problems)
29 Contractor financial problems Al Gheth and Sayuti [3], Al Subhi et al. [5]
(continued)
26 N. S. S. Al Sharji et al.

Table 1 (continued)
S/No Delay causes Citing literature
30 Shortage of material suppliers Al Subhi et al. [5], Umar et al. [42]
31 Lack of required equipment Al Subhi et al. [5], Umar et al. [42]
32 Inappropriate government policies Al Subhi et al. [5], Umar et al. [42]
33 Mistakes during construction Al Subhi et al. [5], Umar et al. [42]
34 Quality and specifications of Al Subhi et al. [5], Umar et al. [42]
materials
35 Working hour restrictions Al Subhi et al. [5], Umar et al. [42]
36 Change in material cost Al Subhi et al. [5], Umar et al. [42]
37 Wrongly shipped orders Al Subhi et al. [5], Umar et al. [42]
38 Labour accidents Al Subhi et al. [5], Umar et al. [42]

causes. Even studies from the two countries under study Oyegoke and Al Kiyumi
[30] and Mpofu et al. [28], both published in the same year, have different number of
causes, 44 and 88, respectively. A close scrutiny of those studies with over 30 causes
revealed that some causes were broken down to differentiate between consultant
delays/client delays and subcontractor/nominated subcontractors. On our part, such
issues were merged because the consultant is viewed as a representative of the client,
and nominated subcontractors remain subcontractors. Therefore, in this study, a more
condensed version containing 38 causes of delays which has been validated through
two earlier studies was adopted [5, 38]. Furthermore, a combination of random,
convenience, and purposive sampling techniques was employed in the distribution
of the questionnaires [31, 40, 41]. The Oman data were collected at two continuing
professional development (CPD) events organized by the Royal Institution of Char-
tered Surveyors (RICS) and Oman Society of Engineers (OSE), respectively. The
organizing committees of both events were approached and requested to assist in
distributing the questionnaires to their members. The UAE data on the other hand
were collected using convenience sampling approach to reach construction profes-
sionals and ex-students working in construction-related fields. IBM SPSS version 29
was used to perform inferential statistical procedures including reliability analysis,
normality tests, nonparametric statistics (Mann–Whitney U tests and Kruskal–Wallis
H tests) and factor analysis. The Monte Carlo PCA for parallel analysis software was
used to confirm the ideal number of factors after the factor analysis [45].

4 Results and Discussions

A total of 312 responses were received from the respondents in both countries, 145
responses from the UAE and 167 responses from the Sultanate of Oman, although 300
questionnaires were sent out in each case. The responses represent a 52% response
rate overall, and they also represent 48% and 56% response rates for the UAE
Revisiting Construction Delays in GCC: Oman Versus UAE 27

and Oman, respectively. Sambasivan and Soon [34] relied on 150 responses while
Oyegoke and Kiyumi [30] relied on 53 responses, hence the number of responses
for this study I inadequate. As given in Table 2, 71% of the respondents have over
5 years of industry experience while about 273 respondents representing 87.5% of
total possess a B.Sc. degree and above. Furthermore, there were 126 Engineers,
46 Architects, 43 Contractors, 43 Clients, and 54 respondents belonging to ‘Other’
construction-related professions.
In terms of respondents’ sector, 215 were from the private sector, while 97 were
from the public sector. From the foregoing respondents’ profiles, it can be seen that
the respondents were qualified to provide credible opinions on the subject matter.
The data were further tested for reliability and the result returned a Cronbach Alpha
of 0.919 which falls under the ‘excellent’ classification of George and Mallery [14].
According to Ghasemi and Zahediasl [15], an assessment of Normality should be
undertaken when intending to use parametric statistical tests. Both lilliefors tests
of Normality (Kolmogorov–Smirnov = 0.021, Shapiro–Wilk = 0.001) returned a
significant result indicating that the data violates normality assumptions; hence,
nonparametric statistics were employed.
The Mann–Whitney U test was used to assess if there were statistically signifi-
cant differences between the respondents based on respondents’ country and sector
affiliation. The results revealed that there were statistically significant differences
between the respondents based on respondents’ country (ρ-value = 0.001, z-78.16,
df-1) as given in Table 3.
However, there was no statistically significant difference between the respondents
on the basis of sectoral affiliation (ρ-value = 0.609, z-0.262, df-1).
Kruskal–Wallis H tests were used to test if differences exist between the respon-
dents on the basis of professional affiliation, years of industry experience, and
academic qualifications. The results revealed that there were statistically significant
differences (ρ-value = 0.001, z-27.13, df-4) between the respondents on the basis of
their professions with Architects responsible for the difference. Upon further anal-
ysis it was found that 42 of the 46 Architects were from the UAE sample, hence

Table 2 Crosstab of respondents’ profession and years of experience

Respondents’ years of experience
Respondents 1–5 Years 5–10 Years 10–15 Years 15–20 Years Over 20 Years Total
background
Architects 25 13 3 5 0 46
Clients 4 2 20 17 0 43
Contractors 9 6 17 5 6 43
Engineers 46 15 13 30 22 126
Others 7 9 10 4 24 54
Total 91 45 63 61 52 312
The typographical emphasis was used to highlight to the reader total, values and remarks that were
accepted
28 N. S. S. Al Sharji et al.

Table 3 Results of nonparametric statistical tests

S/No. Categorical Nonparametric tests Test statistics df Asymp. Sig.
variables values
1 Respondent country Mann–Whitney U test 78.840 1 0.001
2 Respondent sector Mann–Whitney U test 0.262 1 0.609
(public v Private)
3 Respondent Kruskal–Wallis H test 27.130 4 0.001
profession
4 Respondents’ years Kruskal–Wallis H test 18.290 4 0.001
of experience
5 Respondent Kruskal–Wallis H test 4.412 4 0.353
academic
qualification
The typographical emphasis was used to highlight to the reader total, values and remarks that were
accepted

only reflects the difference already revealed between the two countries. When the
test was conducted based on years of experience of respondents, it also revealed
statistically significant differences (ρ-value = 0.001, z-18.29, df-4) with 5–10 years
category responsible for the differences. Upon further review through crosstab, it
was found that 36 out of the 45 respondents in that category belonged to the UAE
sample further reinforcing the country differences earlier revealed (ρ-value = 0.001,
z-78.16, df-1). However, when the Kruskal–Wallis test was performed using respon-
dents’ academic qualification as the categorical variable, the result indicated that there
was no statistically significant difference (ρ-value = 0.353, z-4.412, df-4) between
the groups.
Exploratory Factor Analysis (EFA)
The data was subjected to Exploratory Factor Analysis (EFA) in order to reduce
the variables into a smaller number of manageable factors. Factor analysis is a data
reduction technique which takes a large number of variables and clusters them into a
smaller number using the latent correlation among the variables [32]. Several authors
have put forward certain conditions that must be met by data meant for factor analysis.
The results of Kaiser–Meyer–Olkin test not being less than 0.6, Bartlett’s tests of
sphericity being significant along with the number of subjects not being less than
150 [32], are some of the preconditions for factor analysis. For N-312, the KMO
was 0.752, while BTS was significant (0.001) indicating that the data were fit for
EFA. The communalities values all exceed 0.5 for all variables in the analysis. The
EFA extracted nine factors, and these factors were further analysed using the Monte
Carlo PCA for parallel analysis to confirm the ideal number of factors. Table 4
shows the results of the EFA for N-312, and it can be seen that although nine factors
were extracted but the Monte Carlo PCA for parallel analysis only confirmed seven
factors, while two factors were rejected. The Monte Carlo PCA for parallel analysis
is an independent software used to confirm the ideal number of factors from SPSS
Revisiting Construction Delays in GCC: Oman Versus UAE 29

factor analysis results [45], although the version of SPSS used for this analysis (IBM
SPSS V29) has the software integrated into it. The software works by generating
random eigen values which are then compared with those generated by SPSS factor
analysis. Any factor whose SPSS eigen values are higher than those generated by the
Monte Carlo PCA for parallel analysis are accepted, while those lower are rejected
[32].
From the foregoing, it can be seen that weather conditions were determined as the
most critical cause of construction delays in the GCC. Although an earlier country-
specific study in Oman found from factor analysis that weather was the third factor
extracted out of four factors in total [5]. The authors argued that contractors in the
region are aware of the impact of the summer months and have already developed
methods for reducing the impacts of weather issues. Temperatures during the summer
months are known to range between 45 and 50 °C. As a result, the governments across
GCC countries prohibit work outside between the hours of 12noon and 3 pm when the
temperatures are at their maximum. In Oman, article 16/3-3 of ministerial resolution
No. 286/2008 as amended by ministerial resolution No. 322/2011 mandates work
stoppage from 12.30 to 3.30 pm, while Ministerial Decree No. 401/2015 is the
guiding law in the UAE. There are heavy fines attached to each of the decrees as
deterrents to prevent contractors forcing workers to work in the hot afternoon heat.
The break in routine construction work impacts delivery over the course of the four
months of summer in the region as workers struggle to gain back work momentum
or work rhythm after each break. Earlier studies of construction delay causes in the
GCC have also identified weather as a significant contributor to construction delays

Table 4 Factor analysis for all respondents (N-312)

S/No Factors SPSS eigen values Monte Carlo eigen values Remark
1 Weather conditions 9.768 1.730 Accept
2 Delays in payment to 3.213 1.645 Accept
contractors
3 Shortage of materials 2.968 1.574 Accept
4 Economic environment 2.805 1.514 Accept
5 Poor site management and 1.841 1.466 Accept
supervision
6 Poor communication 1.711 1.422 Accept
between parties
7 Subcontractor issues 1.408 1.381 Accept
8 Inappropriate government 1.285 1.341 Reject
policies
9 Unrealistic contract 1.146 1.299 Reject
duration
Percentage of variance explained by the factors: 68%
The typographical emphasis was used to highlight to the reader total, values and remarks that were
accepted
30 N. S. S. Al Sharji et al.

Table 5 Factor analysis for Oman respondents (N-167)

S/No. Factors SPSS eigen values Monte Carlo eigen values Remark
1 Poor communications 7.081 2.064 Accept
between parties
2 Poor site management and 4.545 1.919 Accept
supervisions
3 Design errors 4.351 1.810 Accept
4 Materials procurement 3.681 1.716 Accept
5 Client financial difficulties 2.229 1.651 Accept
6 Change in materials costs 2.130 1.582 Accept
7 Inappropriate government 1.686 1.455 Accept
policies
8 Labour accidents 1.602 1.397 Accept
9 Working hours restrictions 1.408 1.345 Accept
10 Delay in client approval 1.110 1.295 Reject
11 Weather conditions 1.078 1.247 Reject
Percentage of variance explained by the factors: 81%
The typographical emphasis was used to highlight to the reader total, values and remarks that were
accepted

in the region [9, 25]. But an older study by [37] found that weather was one of the
least causes of construction delays in the region. This finding may be the result of the
growing impact of climate change in the region. A recent study employing simulation
has predicted that the average temperature in the GCC would rise to 42 °C in five of
the six capital cities in the region, while daily temperatures are projected to exceed
55 °C during the same period within the region [6].
Delays in payment to contractors were the second most important factor causing
delays across the two countries under study. This cause extends well beyond these
two countries to other members of the GCC as evident by the report on the collapse
of Carillion in 2018, where the House of Commons found that delays in payments
for Carillion’s GCC projects were a major factor in its bankruptcy [16, 26]. In the
USA, the 2020 National Construction Payment Report (NCPR) found that over 80%
of the 540 contractors surveyed indicated that they spent a substantial part of their
time chasing down payment for completed work [24]. Across many studies of delays
in the region, delay in payments to contractors has always featured as a major factor
and has consistently been ranked in the top ten causes [9, 30], while in the UAE, it
ranked 66th place out of 88 delay causes. Shortage of construction materials was
the third most significant factor causing delays in both countries under investigation.
Consistent with an earlier study of the region, this factor was also ranked in third
place [9]. Country-specific studies in Oman also found this factor as a major cause
of construction delays [42], while this was not found to be an issue in the UAE where
it ranked 71 out of 88 delay causes [28]. The economic environment was found to be
Revisiting Construction Delays in GCC: Oman Versus UAE 31

the fourth most important cause of delays from the EFA results. In one of the recent
studies, it was ranked in 16th place [25].
In fifth place is poor site management and supervision, this factor is ranked in
fourth place by the two previous cross-region studies of delays [9, 25]. This indicates
the continued relevance of this factor in causing delays to construction projects in
the region. However, this finding also indicates a failure on the part of contractors in
the region to undertake and benefit from post-project lessons learned. Across almost
all country-specific studies, this factor finds itself ranked among the top ten causes
of construction delays in the region. It was also ranked in fifth place in an Oman-
specific study [5]. Even in the USA, 70% of the contractors surveyed in a recent
study indicated that poor site management was a major contributor to delays and cost
overruns on construction projects [24]. Poor communication between the contracting
parties was found to be the sixth factor. This poor communication was also ranked
in 10th place by the two previous cross-region studies of the subject matter. In terms
of country-specific studies, it was ranked in 8th place by Al Subhi et al. [5] in
Oman, while Faridi and El-Sayegh [11] ranked it in 16th place in the UAE. Even in
developed countries such as the USA, poor communication between the stakeholders
has also featured among the top ten causes of construction delays [38]. The fact that
it found itself in the top ten across so many studies indicates the need for training of
construction stakeholders on the importance of effective communication strategies
in the construction industry. However, this factor was ranked outside the top ten in
the two global studies of the subject matter, 15th place in [48] and 20th place in [35].
Delay events resulting from subcontractor issues closed out the accepted number of
factors in 7th place. The importance of this factor stems from the fact that it was also
ranked in 7th place by Emam et al. [9], a major cross-region study of delays in the
GCC. This ranking may not be unconnected to the ongoing affirmative action in the
region requiring jobs to be awarded to local contractors under the Omanization and
Emiritization policies in both countries. Many of the subcontractors do not possess
the requisite experience, a weakness in affirmative action policies.
Country-Specific EFA
Country-specific Exploratory Factor Analysis (EFA) was performed for both coun-
tries. Interestingly, the IBM SPSS extracted eleven factors for each country despite
varying number of respondents (Oman-167, UAE-145). However, upon the confir-
matory test using Monte Carlo PCA for parallel analysis the number of accepted
factors dropped to Nine for Oman and five for the UAE. The result for the Sultanate
of Oman revealed that the most critical factor was poor communications between
contract parties, while the least was working hours restrictions resulting from the
hot summer temperatures. Delays in client approval and weather conditions were
rejected by the Monte Carlo PCA for parallel analysis confirmation.
Design errors by the designer is ranked in third place for Oman. This factor was not
reflected in the overall EFA (N-312) nor in the UAE result. However, it is instructive
to note that it is a very common factor in the top ten in other studies, for example
Mahdi and Soliman ranked it in 8th place while in the USA, design errors is ranked
in third place [38]. Materials procurement and client financial difficulties, the two
32 N. S. S. Al Sharji et al.

common factors between Oman and UAE were ranked as fourth and fifth factors
in the Oman sample. However, weather conditions which ranked in first place in
the overall sample (N-312) did not make it into the accepted factors by the Monte
Carlo PCA. Hence, the least factor causing delays according to the EFA for Oman is
working hours restrictions which is coincidentally linked to the weather conditions.
This is an affirmation of the impact of weather conditions on safe and timely delivery
of construction projects in the GCC.
As stated above, although SPSS also extracted 11 factors for the UAE, Monte
Carlo PCA for parallel analysis only confirmed five factors which include
client financial difficulties, subcontractor issues, low labour productivity, materials
procurement and inadequate consultant experience as given in Table 6. Interestingly,
there were only two common factors between the EFA results of both countries (client
financial difficulties and materials procurement) further affirming the significance of
their differences. This result further affirms the earlier findings of [28] that the most
critical delay factors tend to be country-specific.

Table 6 Factor analysis for UAE respondents (N-145)

S/No Factors SPSS eigen values Monte Carlo eigen values Remark
1 Client financial 10.788 2.064 Accept
difficulties
2 Subcontractor issues 3.469 1.919 Accept
3 Low labour productivity 2.499 1.810 Accept
4 Materials procurement 2.222 1.716 Accept
5 Inadequate consultant 1.759 1.651 Accept
experience
6 Labour accidents 1.534 1.582 Reject
7 Poor planning and 1.376 1.519 Reject
scheduling
8 Unrealistic contract 1.240 1.455 Reject
duration
9 Design errors 1.184 1.397 Reject
10 Economic environment 1.078 1.345 Reject
11 Poor communication 1.005 1.295 Reject
between designers and
contractors
Percentage of variance explained by the factors: 74%
The typographical emphasis was used to highlight to the reader total, values and remarks that were
accepted
Revisiting Construction Delays in GCC: Oman Versus UAE 33

5 Conclusions

Construction projects delays have become pervasive across the global construction
industry. It is an area where even the developed countries have been unable to excel
over developing countries as both groups struggle with delay problems on major
construction projects. However, differences do exist with regard to the most impor-
tant causes of delays across different countries and regions. This study sets out to
identify and determine if differences existed between two culturally similar countries,
Oman, and UAE with regard to causes of construction delays. The results indicate
that, despite their similarities in terms of governance, religion, culture, history, geog-
raphy, and even filial relationship, significant differences exist between both coun-
tries. While nine factors were found to causes construction delays in Oman, only five
factors were found for the UAE. Interestingly, only two causes were similar between
both countries. The results are of practical importance to construction professionals,
especially consultants and contractors, to help them manage the liability of foreign-
ness when moving between countries in the Middle East, especially the GCC for
work purposes. Contractors should review and standardize their materials procure-
ment process to make it more efficient by focusing on their supply chain management
processes. The client should ensure they have made adequate financial arrangements
with financial institutions before contractors are mobilized to site. These two areas—
materials procurement and client financial difficulties—were the only common vari-
able between the two countries under study, hence should be the focus of future
process re-engineering within the construction industries in both countries.

Limitation of the Study

The findings of this study relied on 312 responses from two countries within a region
comprising six countries. Therefore, the results and findings should be viewed within
the context of these two countries and not the entire region.

Acknowledgements The authors are grateful to the Military Technological College (MTC) Muscat
Senior management for providing support through purchase of IBM SPSS software V29 and
sponsorship to attend EPPM 2023 Conference in New Zealand.

Author Contributions Nasra Al Sharji contributed to conceptualization, methodology, software,

validation, analysis, investigation, Oman data collection, draft preparation, manuscript editing,
and visualization. Taleb Al-Rousan contributed to conceptualization, methodology, UAE data
collection, manuscript editing, and project administration. Abdullahi Ahmed Umar contributed to
Oman data collection, software, and analysis. Dr. Atef Badr contributed to supervision, manuscript
editing, and project administration. All authors have read and agreed on the manuscript before
its submission and publication.
Funding ‘This research received no specific financial support from any funding agency’.

Ethics Statement ‘Not applicable’

34 N. S. S. Al Sharji et al.

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Team Dynamics and Its Effect
on the Design Process Within
the Construction Industry

Ronald Manyathi and Rolien Terblanche

1 Introduction

The traditional method of construction is a three-phase linear process which consist

of design–bid–build. This project delivery method is widely used in KwaZulu-
Natal for public construction building projects. At design phase, the project owner
procures construction professionals to form a design team to work in an interdisci-
plinary project organization. Collectively, these team members become responsible
for producing a complete design that is fully defined and scoped to enable contractors
to bid for the project and complete the construction of works.
According to Buffinton et al. [2], teams are designed to function in a similar
manner, yet some teams function better than others and at least one team usually
suffers with significant team dynamic problems. Team dynamics encompass the
interaction and process within groups that allow the group to function and complete
tasks [5, 22]. According to Schulz et al. [22], the characteristics of team dynamics are
multifaceted and include decision-making, problem solving and conflict resolution
process, communication strategies and comfort in expressing opinions; leadership
and influence, trust between team members, commitment and participation.
The construction industry is no exception to dealing with team dynamics due to the
nature of the field being project-based, involving different companies that form multi-
disciplinary project organization for the purpose of constructing facilities according
to agreed contractual obligations and specifications [29]. The success of these project
organizations relies on each team member working effectively within a team [20],
however conflict of confrontational relationships, disputes on tasks and conflicting
team objectives among team members arise and make it difficult to achieve project
objectives [12]. Research has identified design information, design processes and

R. Manyathi · R. Terblanche (B)

University of the Witwatersrand, Johannesburg, South Africa
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 37

J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_3
38 R. Manyathi and R. Terblanche

design management practices as the main attributes to disputes in the construction

industry (Love et al. 2010).
In the context of the construction building industry, design management can be
defined as a managerial practice with a specific objective of improving design proce-
dure and develop high quality buildings using effective processes [25]. The intro-
duction of design management resulted from the construction industry having chal-
lenges related to specialized disciplines, complexity of construction project delivery,
high level of collaboration, cooperation, coordination within design and engineering
processes [19]. Construction building professional teams like any other teams are
exposed to team dynamics. The performance of design management processes
should be investigated when disrupted by the team dynamics of construction building
professionals while working on construction building projects.
The aim of this study is to investigate the effect of the team dynamics at play,
while interdisciplinary design teams work on the design management task during the
design phase of construction building projects. This was achieved by identifying the
key design team members accountable for the design management process, estab-
lishing the problem areas hindering design management, evaluating the level of team
dynamics encountered by interdisciplinary design teams and testing the interrelation
between team dynamics and design management.

1.1 Literature Review

The topic of team dynamics has been broadly researched and explored in various
contexts. Buffinton et al. [2] indicated that problems solving styles and interper-
sonal dynamics of teams are critical factors for effective functioning of teams. This
study aimed to understand problem solving strategies among project team members.
Although the study was conducted on university students from the engineering and
management schools, Buffinton et al. [2] shared the same view with Lehmann-
Willenbrock et al. [12] after investigating team dynamics at the workplace among
industrial workers in Germany.
Conflict was evident among team members although the studies differed with
respect to the cause of conflict. Buffinton et al. [2] concluded that conflict was asso-
ciated with cognitive styles within teams. Lehmann-Willenbrock et al. [12] argued
that team members’ individual status related to starting and ending disagreements.
Lehmann-Willenbrock et al. [12] mentioned leaderless team interactions at the indus-
trial workplace as a limitation, yet according to Buffinton et al. [2] even if project
teams are established without leaders, leaders emerge through a democratic process
or by default. In the context of construction building professionals, there is a need to
take into consideration remuneration and contractual obligations that may influence
the leadership and involvement of a professional service provider.
Che Ibrahim et al. [6] identified seven indicators for multi-disciplinary project
teams to be successful. The indicators are team leadership, trust and respect, single
team focus on project objectives and key result areas, collective understanding,
Team Dynamics and Its Effect on the Design Process Within … 39

commitment from project alliance board, creation of single and co-located alliance
team and free flow communication. This study contextualized team dynamics into the
construction industry with client, contractor and consultant as participants. However,
the research was based in New Zealand, and the design alliance is not a procurement
strategy that is used in South Africa.
Majority of the literature studied placed trust as a dominant indicator of team
dynamics to measure the level of team work performance. Lindskold [16] indicated
that people experience lower levels of conflict when interacting with people they
trust. Uusitalo et al. [27] researched interpersonal trust and information flow from
the lean design management (LDM) concept to solve design management problems
in construction projects. LDM consists of a social domain that creates trust among
project team members and a technical domain which improves project information
flow.
According to Uusitalo et al. [27], USA, Finland and Brazil actively use the lean
construction method; hence, the study was conducted in these countries. South Africa
is not known for utilizing the above-mentioned method; therefore, applying the LDM
concept would be out of context. However, the building information modelling (BIM)
approach is favourable over LDM for research based in South Africa as previous
studies have indicated that the use of both BIM and LDM increases the level of
interaction among design team members [1].
Uusitalo et al. [27] indicated that construction professionals require trust among
each other which will in return produce team chemistry, allow for communication,
openness, transparency and create a sense of shared goals. However, this study did
not include leadership as part of the social aspect required for teams to succeed.
Furthermore, Uusitalo et al. [27] identified that trust alone is not a prerequisite for
solving design quality problems. However, according to Rezvani et al. [20] trust is
positively associated with team performance.
Walker et al. [28] could not associate positive team dynamics with performance in
a study of health students as much as students studied in collaboration and in teams,
assessments required individual performance. In the same study, Walker et al. [28]
identified interpersonal team relations and task functions as the two categories of team
dynamics that allow teams to function. Cresswell-Yeager (2020) also applied the two
categories in the study of small group communication among students exploring the
interpersonal relationships among the students collaborating in task-orientated small
groups.
Cresswell-Yeager [8] identified communication, leadership, diversity, conflict,
ethical decision-making and problem solving as key indicators of successful collab-
oration in task-orientated small groups. Although the origins of the two categories
used in the studies from Walker et al. [28] and Cresswell-Yeager [8] cannot be
factually proven, they gained popularity from Tuckman [24] applying the two cate-
gories of team dynamics in the forming, storming, norming and performing theory.
Tuckman [24] identified them as two realms of group development: interpersonal
relationships and task activities. Using the Tuckman theory model Tuckman [24],
Cresswell-Yeager [8] found small groups are able to communicate, delegate and find
solutions.
40 R. Manyathi and R. Terblanche

The literature review can identify the historical pattern of research in topic of
team dynamics in the construction industry. Recent studies have investigated trust in
solving design management problems followed by trust as a prerequisite of solving
design quality [26, 27]. It can be concluded that to achieve high quality design,
solving the design management process is key to solving design quality problems.
Jin et al. [13] indicated that countries like China have a growing demand for BIM
professionals. The demand in the South African context should be investigated as it
impacts the ability to perform design management. Furthermore, BIM as a design
management tool in South African projects should be studied as BIM has been found
to affect the traditional role of architects in project designs due to multi-disciplinary
involvement [13].
Researchers have indicated team meetings are a fundamental design manage-
ment technique for resolving design technical issues. Most interactions in construc-
tion meetings are task-focused according to [10]. However, Otter and Emmitt [18]
suggested that agreed outcomes from personal dialogue among team members may
also be presented in formal design meetings for other stakeholders to discuss. There
is an opportunity to use meetings to address and resolve social issues that have a
negative impact to the design management task.
Taking to consideration the well-publicized level of corruption among state-owned
enterprises in South Africa, trust alone cannot be relied on to enhance team perfor-
mance hence research that seeks to understand team dynamics in the form of inter-
personal relationships and task orientations can contribute to the body of knowledge.
The topic of team dynamics requires a task to be performed in order to understand the
interpersonal relationship among the parties involved; hence, team dynamics can be
researched in conjunction with design management at design phase. The construc-
tion professionals that forms part of the design and management is predominantly the
architect that designs [9], the quantity surveyor that manages the cost of the design
[23] and the project manager that manages the time [17].

1.2 Theoretical Review

Team dynamics have been historically explored using the Tuckman [24] theory
of forming, storming, norming and performing small group development sequence
model which depicts the four stages required to reach effective group functioning
[3]. According to Cresswell-Yeager (2020), the forming stage team members are
civil towards each other. The storming stage introduces conflict and resistance to the
team formation [3]. The norming stage is about developing cohesion and the team
functioning as an entity [24]. The final stage of performing, team members focus on
collaboration to achieve task goals (2020). This theory is relevant in assessing the
performance of design team members’ performance during the implementation of
the design management task. The small group development model is shown in Fig. 1.
Team Dynamics and Its Effect on the Design Process Within … 41

Forming Storming Norming Performing

Fig. 1 Tuckman [24] model of small group development

2 Method

2.1 Research Philosophy and Approach

This study is based on the interpretivism philosophy from the school of epistemology.
Interpretivist paradigm seeks to understand humans in their roles as social actors [21].
The subjects for this study are construction professionals working in design teams
that are required to individually contribute towards the design management process.
The social context of these subjects was entered with the objective of gaining insight
of the phenomenon by obtaining individual perspectives from multiple participants
which revealed the social pattern required for this study.
Inductive reasoning is based on an observation of a sample which leads to conclu-
sions on the larger population drawn from the sample [14]. This study is based on
the inductive approach which intends to systematically analyse qualitative data gath-
ered from interviews conducted on the construction building professionals about the
social phenomenon. The data analysis is subjective with the objective of searching
for patterns that reflect on the data. Theory serves as a lens for an inquiry during the
research study [7]. This study used the Tuckman theory model of forming, storming,
norming and performing Tuckman [24] to compare patterns from the data collected.

2.2 Methodology

Qualitative research explores and seeks to understand individual meaning to social

problems [7]. This study used the qualitative research methodology, using semi-
structured interviews as a tool to gather data from individual construction profes-
sionals experiencing the same phenomenon. There are various ways of conducting
one-on-one interviews with the participants. They can be conducted by having the
researcher and the participants in the same room, virtually or via email [7]. For the
purpose of this study, the interviews were be conducted in the same room with the
participants and virtually. Graue [11], Leedy and Ormrod [14] and Tibben (2015)
indicated that triangulation is the use of interdependent data sources to corroborate
research findings. This study corroborated research findings using literature review,
Tuckman [24] theory and semi-structured interviews and is illustrated in Fig. 2.
42 R. Manyathi and R. Terblanche

Fig. 2 Triangulation. Source

Researcher’s own
development Literature
Review

Semi-
Tuckman
Structured
Theory
Interviews

2.3 Research Methods

There are two types of semi-structured interviews, viz. exploratory and explanatory
type, both used to gather data from open-ended questions that require order and logic,
thereafter analysed qualitatively [21]. This study utilized semi-structured interviews
to gain individual perspectives from construction building professionals.

2.4 Population and Sampling

This study targeted the population that encompasses architects, project managers
and quantity surveyors working for small, medium to large consulting firms. A qual-
itative sampling method of purposive sampling (non-probability) was used. A total
of 15 construction building professionals based in KwaZulu-Natal, South Africa,
participated.

2.5 Development of the Research Instrument

Qualitative research data was collected by verbal data which was in a form of
scheduled semi-structured interviews. Construction building professionals working
in design teams have had different experiences from various construction building
projects which this research seeks to discover.

2.6 Data Collection Protocol

Fifteen one-on-one semi-structured interviews were conducted to collect individual

experiences from construction building professionals across KwaZulu-Natal, South
Team Dynamics and Its Effect on the Design Process Within … 43

Africa. The state-owned enterprises COEGA Development Corporation, the Depart-

ment of Public Works and the Independent Development Trust as implementing
agents were approached for a database of construction building professionals. An
invitation to professionally registered architects, project managers and quantity
surveyors sourced from the databases was sent out via email. The invitation requested
for participation from construction building professionals that have experienced team
dynamics in the design phase of the construction building projects and would like to
share the experience in a one-on-one interview session with the researcher.

3 Results

Thematic analysis was used for this study using a six-step process of familiarizing,
generating initial codes, search for themes, reviewing themes, defining and naming
themes and finally producing the report (Braun and Clark 2006). Audio interview
question responses were transcribed into a word document, broken down into smaller
segments and grouped for coding. NVivo computer software was used to analyse the
data collected.
The study findings were as follows.

3.1 Design Management

• High Level of Collaboration: Multi-disciplinary organizations distributed projects

within the organization for project teams to collaborate. Joint ventures were
another form of collaboration between same discipline organizations assembled
to increase capacity to deliver large construction building projects. Collaboration
was found to be problematic when joint venture arrangements were not mutual
and were imposed for black broad-based economic empowerment. Project organi-
zations collaborated better when all disciplines were involved from the inception
project stage.
• High Level of Cooperation: Multi-disciplinary organizations had the benefit
of organization culture, policy and procedures that allowed for cooperation.
Project organizations relied on high professionalism and contractual obligations
to cooperate with one another.
• High Level of Coordination: Coordination of design documentation using 2D
drawings was found to be time-consuming and contributed to a lengthy design
process. Same discipline joint ventures required design team members to work in
one office to enable efficient coordination among themselves prior to coordinating
with other disciplines. Design teams experienced coordination problems when
design team members were using different software programmes.
44 R. Manyathi and R. Terblanche

3.2 Interpersonal Relationships

• Trust: Design team members valued trust, those that did not take trust into consid-
eration chose respect and professionalism, respectively. Trust was found to be
something that is developed over a period of time working together on different
construction building projects. Participants emphasized that trust can be gained
and lost, when design team members repeatedly fails to resolve design issues
relating to their discipline, a reduction of trust levels is consequently experienced.
The study found that professional registration builds confidence when design team
members are working together for the first time.
• Leadership: This study found leadership during the design process to be between
the architect and the project manager, however the project manager was the
preferred leader. When design teams do not have a project manager or the project
manager demonstrates incompetence to lead, the architect would acquire the lead-
ership role. The leader is given authority to give the project direction by setting
up processes and standards that the team is required to follow.
• Communication: Emails and meetings were the main communication channels
used by design teams. Emails were the primary communication method for they
kept record of correspondence. Phone calls were the secondary communication
method utilized to follow up on emailed correspondence. Informal chats and
WhatsApp were used to gather ideas which were subsequently presented in formal
design meetings.
• Commitment to Project Goals: According to the study, commitment was demon-
strated by design teams retaining the same individuals throughout the design
phase. The study found that not all design team members were committed, team
members would resign and fail to complete the design process.

3.3 Task Orientation

• BIM: Design teams that used BIM were able to produce design documentation
effectively within desirable timeframes. However, participants that had access
to BIM did not apply it to all construction building projects as setting up BIM
required a lot of time and should be used selectively depending on the project
complexity. Large organizations had the benefit of having dedicated BIM mangers
to assist in model coordination and provide training to professionals. Experienced
professionals preferred the traditional approach to managing the design process.
Cost factors associated with BIM, purchasing software and training contributed
to the no-use of BIM.
• Meetings: Participants indicated that design team members can get more out of
getting people around the table face to face and sharing information rather than
using BIM. Weekly meetings were commonly used to resolve design issues and
coordinate design documentation. Team members present in the meetings were
Team Dynamics and Its Effect on the Design Process Within … 45

expected to be competent enough to resolve discipline related matters during the

meeting sittings.

3.4 Working Style

• Integrated Design Under the Strong Direction of the Architect: Design teams
that preferred to work under the strong direction of the architect required value
engineering of initial designs for the final design to be within the client’s budget.
This working style was primarily adopted by architects with vast experience in
projects of similar nature.
• Cooperative Design Based on Team Work: Cooperative working style based on
team work was preferred on refurbishments, addition and alteration construction
building projects. Findings suggest that architects relied more on other disciplines
to support the architectural information in projects of this nature.

3.5 Variations

• Errors and Omissions: Variations during the design process were common espe-
cially on refurbishments, addition and alteration construction building projects.
These projects are infamous to have a high probability of variations due to unfore-
seen elements that cannot be predetermined. The cause of design changes stem
from design teams not performing a detailed analysis on a design that incorporates
design documentation from all disciplines. Furthermore, a substandard business
case and a lack of detailing and coordination between the design team create scope
creeps.
• Design Information and Documentation Delays: Design information delays are
caused by a shortage or a change of resources within the design team. Polit-
ical pressure contributed to the provision of inadequate timeframes to manage
the design process. Furthermore, state organizations lacked internal coordina-
tion resulting in gradual design approval processes contributing to the design
information and documentation delays.
Tables, figures and appendix must be embedded in the corresponding order in
the manuscript. An example of table content is given in Table 1. The width of the
table line is 1/2p. The width of the table is the same as that of the single column
or double column arrangements. Wilder table should be accommodated in a single
column arrangement. Please try not to use the bold format in the column unless the
authors would like to highlight something important.
46 R. Manyathi and R. Terblanche

3.6 Conflict

• Personality Clashes: Personality clashes existed in design teams in a form of egos.

Design team members experience attitude that created unease for team members.
Project management was identified discipline for having a historical background
of intimidating fellow design team members.
• Late Submissions: The allocation of short timeframes or failing to project accu-
rate timeframes required to complete deliverables resulted in late submissions.
Furthermore, design team members deliberately withheld information when
remuneration for work done was not adhered to.
• Unhappiness with on Another: Racial, language barriers and personal problems
brought into the design process overtime created unhappiness. Disorganized orga-
nizations would introduced new individuals during the design process which trig-
gered unhappiness. Also, unhappiness was experienced when architects would
marginalize design inputs from design team members and when quantity surveyors
proposes economical solutions that complement the project budget.

3.7 Development Sequence

• Forming: Design teams established boundaries during the first meeting which
included a joint project plan which entailed processes and procedures, communi-
cation strategy, teamwork strategy, allocation of resources, meeting schedule and
setting timelines against deliverables.
• Storming: The boundaries formed also changed during the course of the design
process; hence, a live project plan was altered at any point in time depending on
circumstances.
• Norming: A long design process duration contributed to design team forgetting
about the boundaries set at project inception. Design teams were required to
continuously remind and encourage each other to adhere to the set boundaries.
Transparency, high professionalism, adhering to the respective discipline’s code
of conduct and having the end goal of completing the design phase allowed design
team members to treat each other as colleagues.
• Performing: Participants revealed that design teams performed well when team
members have a previously worked together on similar projects with the same
client over a number of years. Design teams remunerated according to the govern-
ment gazette fee scale were inspired to work well with each other throughout the
design process.
Team Dynamics and Its Effect on the Design Process Within … 47

3.8 Performance

• Time: Government design process timelines are not adhered to because they are
not profit driven like private sector timelines. Design approval processes and
red tape from government departments influenced the time delays. Value engi-
neering completed design documentation prolonged the design process beyond
the scheduled timeframe.
• Cost: The duration of the design phase had an impact on the client’s original
budget. Escalation was found to be a factor since additional time spent on the
design process increased the construction building project cost.
• Quality: The quality of design documentation is highly influenced by time. Infor-
mation supplied for the bidding phase became compromised when the design
documentation was not given adequate time to be completed.

4 Discussion

4.1 Team Dynamics: Social Domain

Hackman (2002) found that personalities or behaviours of individual team members

were not essential for teams to thrive. However, this study has indicated that team
dynamics among design team members are highly instrumental in the performance of
the design management task implemented at the design phase of a design–bid–build
project. The dominant team dynamics indicators established were trust, leadership,
communication and commitment to project goals. Results suggest that profession-
alism facilitated trust thus design team members should approach one another in
a respectful and professional manner throughout the design process. Furthermore,
professionalism also plays a significant role when design team members advance
into conflict resolution after personality clashes are encountered.
The study found design teams to function better when they are led by project
managers as oppose to architects who remain leadership contenders. Therefore, team
members should be agreeable to being led and given guidance by a project manager
during the design process. Accordingly, the leader has the obligation to keep the
design team motivated and committed to delivering high quality design documenta-
tion on time and on budget. During the design phase the leadership role of a project
manager should direct the design team to adopting a working style of developing a
design that is based on a collaborative effort of teamwork.
48 R. Manyathi and R. Terblanche

4.2 Team Dynamics: Technical Domain

Rojas et al. (2019) found that the use of BIM allows quicker and more accurate
project cost estimates. This design management tool supports the participation of
a quantity surveyor at the early stages of the design. A quantity surveyor is skilled
in maintaining the client’s original budget by monitoring and value engineering
all stages of the design. The study found open communication is a prerequisite to
keeping all design team members cognizant of the projects design status. While there
are several communication channels available for the design team to use, phone calls,
WhatsApp and informal chats are among the popular ones nonetheless emails and
meets remain the formal communication platforms for design teams to agree and
disagree on matters involving design documentation.
Organizations and the older generation of construction professionals involved in
design teams need to adapt to the changing world. Resisting the available technology
is contributing to the failure of construction building projects. Project managers
should introduce BIM technology to design teams as this tool is capable of managing
the design process better if applied correctly. BIM features encourage collaboration,
cooperation and coordination of design information which eliminate design informa-
tion delays. BIM should be explored to reduce time on the design process, monitor
the project cost during the design stages and ensure quality information is supplied
to produce high quality design documentation for construction.

5 Conclusion

The study was able to identify the architect, project manager and quantity surveyor as
the key design team member accountable for the design management process. These
three disciplines play the principal roles when design teams collaborate in designing,
planning and costing of a construction building project. The study suggests that both
interpersonal relationships and task orientations are problematic during the imple-
mentation of design management. The study found team dynamics to be at a high
level during a volatile design management process; hence, design teams experienced
a development sequence. The study found a link between the two variables of team
dynamics and design management. The social and technical attributes coexist in
design teams.
The aim of this research was to establish the effect of team dynamics on design
management performance. This research has shown that team dynamics have a signif-
icant effect on design management performance. Positive team dynamics increase the
level of collaboration, cooperation and coordination. Furthermore, it eases the team
management. These factors are prerequisites that enable design teams to perform
design management. In the contrary, negative team dynamics can decrease the ability
for design teams to perform design management.
Team Dynamics and Its Effect on the Design Process Within … 49

Although participants stated that team dynamics did not prevent the continuity of
the design management process, negative team dynamics made the design manage-
ment a challenging task that became labour intensive and time-consuming. Find-
ings suggest that positive team dynamics enhance design management performance
by keeping trust levels high, electing appropriate leadership that correlates with
the working style and having a communication strategy that will allow for conflict
resolutions when design team experience the development sequence.
The study was limited to one research instrument of semi-structured interviews
with a population only in South Africa. The participants were predominantly male
due to the willingness to participate and the nature of the construction industry.
Future research should investigate the effect of team dynamics on design management
performance among South African design teams working on public construction
building project. Researchers should further investigate the team dynamics on South
African design teams using BIM as a design management tool.

Acknowledgements Dr. Rolien Terblanche for her guidance throughout this research paper.

Author Contributions Ronald Manyathi contributed to conceptualization, methodology, vali-

dation, analysis, investigation, data collection, draft preparation and manuscript editing. Rolien
Terblanche contributed to conceptualization, methodology, validation, analysis, manuscript editing
and supervision.
Funding This research received no specific financial support from any funding agency.

Ethics Statement Ethics clearance was obtained from the University of the Witwatersrand,
Johannesburg School of Construction Economics and Research Ethics Committee. The committee
approved the research study as a minimum risk. All citations should be listed in the reference list.

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Building Organizational Resilience
Capacities and Capabilities
in Construction Firms

Zamageda Zungu and Samuel Laryea

1 Introduction

The construction industry holds a prominent position on a global scale, as it accounts

for an average annual contribution of just over a tenth of the gross domestic product
of nations globally [57]. Its significant contribution extends beyond economic output,
impacting various socioeconomic indicators in diverse countries [4, 8, 13, 18].
Nevertheless, this strong interdependence between the construction industry and the
economy renders it highly susceptible to economic fluctuations, making it vulner-
able to disturbances [41]. Thus, in the light of recent escalations in the frequency of
major disruptive events, including natural disasters, terrorism, economic recessions,
mass migration, cyber threats, and epidemics, which have exerted a detrimental influ-
ence on the global economy [63, 67], it comes as no surprise that the construction
industry stands as one of the sectors profoundly affected by such occurrences. Over
the past decade, growing market volatility and the rise in environmental disasters
have prompted numerous organizations to reorient their strategic objectives [26].
This shift, from a traditional emphasis on profit-seeking to a concerted pursuit of
resilience, has captured the attention of both scholars and practitioners in the field
of management.
In order to thrive in unpredictable environments and cultivate long-term success,
construction organizations must possess the ability to effectively navigate various
manifestations of the unexpected. It is imperative for firms to cultivate a capability
and capacity for organizational resilience, enabling them to respond appropriately
to unforeseen circumstances and anticipate risks that may pose potential threats to
the organization’s survival [36]. Consequently, the topic of organizational resilience

Z. Zungu (B) · S. Laryea

University of the Witwatersrand, Johannesburg, South Africa
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 51

J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_4
52 Z. Zungu and S. Laryea

in the contexts of firms has emerged as a focal point of research and practice in this
domain.
In recent years, there has been a substantial growth in the body of research dedi-
cated to the exploration of resilience within the realms of business and management
[28, 38]. However, despite the growth of scholarly works focusing on resilience in
management and business disciplines, there still exists a lack of clarity regarding
the specific actions undertaken by resilient organizations and the practical means by
which organizational resilience can be attained [9, 19, 21]. Furthermore, there is a
notable scarcity in the literature concerning the organizational capabilities and capac-
ities that foster organizational resilience, particularly within the context of construc-
tion firms [14, 27]. This study contributes to this knowledge gap by answering the
following research question: “What are the capacities and capabilities required by
construction firms to attain organizational resilience when disruptive events occur?”
As part of this research endeavour, a systematic literature review encompassing arti-
cles published from 2014 to 2023 is undertaken. This review focused on the examina-
tion of firm-level resilience capacities and capabilities, and we conducted a rigorous
analysis of 20 selected publications.
This study aims to identify the capabilities and capacities required by construction
firms to attain resilience against disruptive events. Although the capability perspec-
tive of resilience is not novel, this literature review offers additional value by iden-
tifying the capacities and capabilities of organizational resilience that are unique
to the construction industry. By articulating the various organizational capabilities
and capacities that construction firms require to attain resilience, this study makes a
noteworthy and original contribution to the ongoing discourse on resilience within
the management literature. This aligns with [47], who highlighted the importance of
developing specific capabilities as the basis for improved performance.
The structure of the remainder of this paper is organized as follows. Firstly, an
overview of literature on organizational resilience capabilities is presented. Secondly,
the research methodology is outlined, which entails a description of our criteria for
selecting relevant literature and the protocol employed for data analysis. Subse-
quently, the primary findings are presented and analyzed. Finally, a conclusion is
offered and suggestions for future research directions, aiming to further enhance the
comprehension of firm capacities and capabilities.

2 Overview of Organizational Resilience Capabilities

Currently, there is limited research on resilience capabilities, so it is essential to

explore related areas like crisis management and innovation management, as well
as other disciplines such as public administration, to understand the capabilities
behind individual resilience stages [19]. To address the capabilities and capacities
required for organizational resilience, it is important to define the resilience process.
To do this, Duchek [19] and Williams et al. [66] drew upon process-oriented studies
that highlight the dynamic interaction between organizations and their environment
Building Organizational Resilience Capacities and Capabilities … 53

in resilience. From this perspective, resilience involves effectively responding to

adverse events not only after they occur but also before, during, and after [19, 66].
Based on this understanding, the three successive stages of the resilience process are
proposed as anticipation, coping, and adaptation [19]. Accordingly, each of these
stages is accompanied by capabilities.
Anticipation, as the first stage of organizational resilience, pertains to its preven-
tive aspects in response to potential disturbances [19]. It involves the ability to proac-
tively detect crucial developments within the organization or its environment [60].
Anticipation encompasses three specific capabilities: observing internal and external
developments, identifying critical developments and potential threats, and preparing
for unexpected events [19]. Observation and identification are closely related and
involve recognizing early signals of a crisis to respond quickly and prevent escala-
tion [46]. Preparation, a crucial aspect for high-reliability organizations (HROs) oper-
ating in high-risk environments, is also vital for resilient organizations [19]. Being
prepared means having the necessary resources and recovery plans in place to deal
with unforeseen adversity and capitalize on unexpected opportunities [36]. However,
preparation also involves intuitive action and ad hoc decisions, as unexpected events
may not align with formal plans [54].
Resilience involves not only anticipating and preparing for critical events but also
coping effectively with unexpected dangers once they occur [65]. Coping with the
unexpected can be referred to by various terms in the literature, such as dealing with
unknown hazards or responding productively to significant change [29]. The ability to
cope with the unexpected can be further divided into two sub-categories: the ability to
accept a problem and the ability to develop and implement solutions [33]. Accepting
the problem requires acknowledging and facing reality, which is crucial during crises
[26]. Developing the ability to accept problems helps organizations react quickly
and effectively in such situations [19]. This acceptance dimension of organizational
resilience involves understanding the environment, defining a reference state, and
acknowledging system failures [10]. Developing and implementing solutions during
a crisis are a combination of sensemaking and acting [64]. Sensemaking is the contin-
uous process of creating order and understanding from ongoing events, enabling
effective action [19]. During crises, organizations rely on both formal and informal
coordination mechanisms to ensure prompt decision-making and response. Expertise
coordination practices help to manage distributed knowledge, while dialogic coor-
dination practices facilitate time-critical responses to unexpected events [23]. The
implementation of solutions is equally important, requiring wide acceptance and
adoption across the organization [17].
In addition to anticipation and coping, resilience also involves the ability to adapt
to critical situations and use change to advance the organization [37]. Adaptation
comprises two main capabilities: reflection and learning, and organizational change
capabilities [19]. Reflection and learning involve both cognition and behaviour. Orga-
nizations must reflect on crisis situations, gain insights, and incorporate this knowl-
edge into their existing knowledge base [19]. Learning is an ongoing process that
guides future behaviour, and it can be facilitated through various practices such as
problem-solving meetings, project reviews, and informal discussions. Learning can
54 Z. Zungu and S. Laryea

also be enhanced by studying failures experienced by other organizations, as these

experiences can offer valuable lessons and prevent similar problems from recur-
ring [16]. However, generating lessons learned is not enough,organizations must
effectively translate this knowledge into new behaviours, which requires diversity
in perspectives and deeper discussions [25]. Organizational change, or higher-level
learning, is necessary for real change to occur [62]. This involves developing new
norms, values, and practices based on higher-level insights and adjustments. Kendra
Kendra and Wachtendorf Kendra [34] posit that resilient organizations are willing
to challenge and question past experiences to address novel features in current trou-
blesome situations. Change management capabilities are vital for successful orga-
nizational resilience [6], as two out of three change initiatives tend to fail [56].
Organizations must be aware of potential resistance to change and apply effective
change management practices, such as soft managerial practices and the use of change
agents, to overcome resistance and enhance resilience [17].

3 Methodology

Integrative and systematic literature reviews play a crucial role in showcasing

research endeavours regarding emerging topics [32]. Moreover, these reviews involve
the comprehensive analysis and synthesis of existing research, while also identifying
the obstacles that require attention in the future studies. To effectively manage the
substantial volume of information, a systematic review methodology was employed
[49]. This methodology focuses on narrowing down the literature to address specific
research question of the study. To ensure unbiased results in the literature review,
Tranfield et al.’s [61] systematic review process was adopted for this study. This
process involves manual filtering and maintains transparency, enabling reviewers to
gain deeper understanding and insights into the topic, rather than relying solely on
automated filtering methods [11].
The 20 articles selected for this study are classified and research findings are
structured into five key issues. This method has proven to be successful and has been
utilized by numerous researchers in the field [5, 15, 32, 55].
The classification system utilized in this study is based on the framework
introduced by [24]. This system incorporates six distinct steps as follows:
Step 1: Conduct an extensive search of relevant articles.
Step 2: Develop a classification system using a logical structure code.
Step 3: Apply the classification system to categorize the reviewed papers.
Step 4: Present the primary findings derived from the articles.
Step 5: Perform an analysis of any existing gaps in the research.
Step 6: Put forth suggestions for future research endeavours.
Building Organizational Resilience Capacities and Capabilities … 55

By following this systematic approach, the study ensures a comprehensive and

organized analysis of the literature while identifying areas for further investigation.

3.1 Search of Relevant Articles

The initial step involved conducting a thorough search of relevant articles and meticu-
lously selecting those deemed suitable for addressing the research question. Multiple
searches for articles pertaining to organizational resilience capabilities and capacities
were performed on the Scopus database, selected due to its all-encompassing nature
and rigorous methodological criteria for content inclusion [22]. To mitigate potential
bias resulting from the ongoing updates in the database, the collection and export
of selected publications were carried out within a single day [45]. On 6 June 2023,
searches for articles related to organizational resilience capabilities and capacities
were conducted by using the following keywords:
“organizational resilience AND capabilities”, “organizational resilience AND capacities”,
“organizational resilience AND drivers”, “organizational resilience AND antecedents”,
“organizational resilience AND strategies”, “organizational resilience AND characteristics”.

To retrieve a comprehensive dataset, no limitation was imposed on the period

of publication. After removing 732 duplicate articles from the multiple searches,
the search yielded a total of 2530 publications from the Scopus database published
between 1989 and 2023, covering a period of 34 years. However, the articles rele-
vant to the study only spanned the period between 2014 and 2023, indicating the
contemporary focus on resilience within the construction industry. The retrieved
publications were subsequently evaluated based on suitable inclusion and exclusion
criteria.

3.1.1 Inclusion and Exclusion Criteria

To ensure a focused research approach, the retrieved dataset was narrowed down
using Centobelli et al.’s [11] three specific criteria for selecting research papers for
review. Firstly, the abstracts of the retrieved articles were assessed to determine if
they addressed the research topic (Criterion 1). Secondly, the relevance of the content
to the research question was evaluated (Criterion 2). Thirdly, the relevant references
cited in the literature were examined that were not available in the Scopus database
(Criterion 3). This is the protocol that was used for the selection of articles reviewed
in this study. The selection process and the flow of articles are illustrated in Fig. 1.
Only articles discussing the capacities and capabilities required for organizational
resilience in the construction industry were included in the study, while unrelated
articles were excluded. No articles cited in the literature review were not retrieved
from the Scopus database. Consequently, a total of 20 articles remained for further
review.
56 Z. Zungu and S. Laryea

Articles identified through Scopus searches

(n= 3262)

Articles after duplicates were removed (n=2530)

Articles after exclusion of articles with abstracts

Criterion 1
not relevant to the topic (n=162)

Articles after exclusion of articles with content not

Criterion 2
relevant to the research scope (n=20)

Articles after inclusion of articles in the literature

Criterion 3
reviewed but not available on Scopus (n=20)

Articles included in the review (n=20)

Fig. 1 Process for selecting sample of articles to be reviewed

3.2 Classification of Selected Articles

Following the selection of articles for the review, a classification framework was
developed utilizing number and alphabetic codes to classify the selected articles
as illustrated in Table 1. The classification categories consist of the following five
elements which were adopted from the works of Amui et al. [5], who conducted a
study seeking to systematize the available knowledge on dynamic capabilities for
sustainability.

1. National context: The studies were classified on a scale of A to C, based on the

works of Jabbour [32], to indicate the specific national context under analysis.
2. Theoretical focus: The coding system, inspired by Lages Junior and Godinho
Filho [35], utilized Codes A to D to differentiate between research that focused
on dynamic capabilities theory, resource-based view theory, knowledge-based
view theory, and research that did not have a theoretical focus.
3. Research methodology: The methodological approach employed in each study
was coded on a scale of A to G, drawing from and adapting the work of Lages
Junior and Godinho Filho [35].
4. Result areas: The areas of measurement for organizational resilience in the
research were coded on a scale of A to B.
5. Capabilities and Capacities: The capabilities and capacities highlighted in the
selected articles were coded on a scale of A to N. The basis for the categorization
of capabilities and capacities was the research question of the study.
Building Organizational Resilience Capacities and Capabilities … 57

Table 1 Literature classification framework and coding

Number Elements of classification Code
1 National context Developed country 1A
Developing countries 1B
Not applicable 1C
2 Theoretical focus Dynamic capabilities 2A
Resource-based view 2B
Knowledge-based view 2C
Not applicable 2D
3 Research methodology Qualitative 3A
Quantitative 3B
Mixed-methodology 3C
Empirical 3D
Theoretical 3E
4 Results’ area Organizational resilience 4A
Organizational performance 4B
5 Capabilities and capacities Anticipation/sensing 5A
Coping/ceasing 5B
Adaptation 5C
Learning and knowledge 5D
management
Human resource management 5E
Flexibility/agility/transformability 5F
Product innovativeness/digital 5G
technology
Organizational creativeness 5H
Leadership and management 5I
Project planning 5J
Absorptive capacity/redundancy 5K
Restorative capacity 5L
Corporate social responsibility 5M
Financial resource management 5N

4 Presentation and Analysis of Results

Following the methodology described, 20 articles were selected for classification

and coding, as depicted in Tables 2 and 3.
58 Z. Zungu and S. Laryea

Table 2 Articles selected for the literature review

Authors Title Journal
Abdullah et al. [1] Resilient organization: Modelling the International Conference on
capacity for resilience Research and Innovation in
Information Systems,
ICRIIS
Akgun and Keskin [3] Organizational resilience capacity and International Journal of
firm product innovativeness and Production Research
performance
Richtner and Lofsten Managing in turbulence: How the R&D Management
[50] capacity for resilience influences
creativity
Duchek [20] Growth in the face of crisis: the role of Academy of Management
organizational resilience capabilities
Sapeciay et al. [52] Building organizational resilience for the International Journal of
construction industry: New Zealand Disaster Resilience in the
practitioners’ perspective Built Environment
Pascua and Investigating the resilience of civil Procedia Engineering
Chang-Richards [48] infrastructure firms in New Zealand
Sapeciay et al. [53] Building Organizational Resilience for Earth and Environmental
the Construction Industry: Strategic Science
Resilience Indicators
He et al. [27] Resilience for construction project-based Proceedings of 22nd
organizations: Definition, critical factors International Conference on
and improvement strategies Advancement of
Construction Management
and Real Estate, CRIOCM
2017
Baublys [7] Resilience capacity development: Proceedings of the 16th
Prerequisites for proactive organizational European Conference on
transformation Management Leadership
and Governance, ECMLG
2020
Rodríguez-Sánchez How to emerge stronger: Antecedents and Journal of Management and
et al. [51] consequences of organizational resilience Organization
Acciarini et al. [2] Resilient companies in the time of Journal of Entrepreneurship
Covid-19 pandemic: a case study and Public Policy
approach
Chih et al. [13] Resilience of Organizations in the Journal of Management in
Construction Industry in the Face of Engineering
COVID-19 Disturbances: Dynamic
Capabilities Perspective
Ma and Lui [39] Multiple paths to enhancing the resilience Engineering, Construction
of project-based organizations from the and Architectural
perspective of CSR configuration: Management
evidence from the Chinese construction
industry
(continued)
Building Organizational Resilience Capacities and Capabilities … 59

Table 2 (continued)
Authors Title Journal
Matysek-Jędrych Beyond the COVID-19 pandemic: what International Journal of
et al. [43] builds organizational resilience capacity? Emerging Markets
Malik et al. [41] Resilient Capabilities to Tackle Supply Buildings
Chain Risks: Managing Integration
Complexities in Construction Projects
Nay Chi and Sirisuhk Integrative Review of Absorptive Sustainability
[44] Capacity’s Role in Fostering
Organizational Resilience and Research
Agenda
Hu et al. [30] Effective Crisis Management during Sustainability
Adversity: Organizing Resilience
Capabilities of Firms and Sustainable
Performance during COVID-19
Zheng et al. [68] Knowledge Management Capability, International Journal of
Organizational Resilience, and the Distributed Systems and
Growth of SMEs Technologies (IJDST)
Su and Junge [58] Unlocking the recipe for organizational European Management
resilience: A review and future research Journal
directions
Madani and Parast An integrated approach to organizational International Journal of
[40] resilience: a quality perspective Quality and Reliability
Management

4.1 National Context

The systematic literature reviews conducted by Mariano et al. [42] and Jabbour
[32] emphasize the importance of considering the national context when analyzing
research within a literature review. Figure 2 displays the distribution of national
contexts across the selected articles. It is noteworthy that a significant proportion
(55%) of the studies reviewed were theoretical papers, and as such, did not incorporate
any specific national context due to their nature. On the other hand, empirical studies
have accounted for the remaining cases, and their national contexts were taken into
account. Among these empirical studies, 35% focused on developed countries, while
10% cantered on developing countries.
Regarding the national context, there is a research opportunity for investigations
on developing countries, as they represent only 10% of the published articles.

4.2 Theoretical Focus

The analysis of the data presented in Fig. 3 reveals interesting patterns regarding the
consideration of theoretical frameworks in organizational resilience studies. Among
60 Z. Zungu and S. Laryea

Table 3 Codification of articles selected for the literature review

Authors National Theoretical Research Results Capabilities and
context focus methodology area capacities
Abdullah et al. [1] 1C 2D 3E 4A 5F
Akgun and Keskin 1A 2B 3B, 3D 4B 5A, 5G
[3]
Richtner and Lofsten 1A 2B 3C, 3D 4A 5H
[50]
Duchek [20] 1C 2A 3E 4A 5A, 5B, 5C
[52] 1A 2D 3C, 3D 4C 5A
Pascua and 1A 2D 3C, 3D 4C 5B, 5I
Chang-Richards [48]
Sapeciay et al. [53] 1A 2D 3C, 3D 4C 5C, 5D, 5I
He et al. [27] 1C 2D 3A, 3D 4A 5A, 5J, 5K, 5L
Baublys [7] 1C 2D 3E 4A 5F
Rodríguez-Sánchez 1A 2D 3B, 3D 4B 5E
et al. [51]
Acciarini et al. [2] 1A 2D 3B, 3D 4A 5G
Chih et al. [13] 1C 2A 3C, 3D 4A 5A, 5B, 5C
Ma and Lui [39] 1B 2D 3A, 3D 4A 5M
Matysek-Jędrych 1C 2D 3C, 3D 4A 5N, 5E, 5G, 5K
et al. [43]
Malik et al. [41] 1C 2D 3C, 3D 4A 5D, 5A, 5F
Nay Chi and Sirisuhk 1C 2A, 2C 3E 4A 5D, 5A, 5F, 5E,
[44] 5I, 5B, 5C
Hu et al. [30] 1B 2A 3E 4B 5N, 5D
Zheng et al. [68] 1C 2D 3E 4A 5D
Su and Junge [58] 1C 2D 3E 4A 5A, 5B, 5C, 5D
Madani and Parast 1C 2B 3E 4A 5C, 5L, 5K, 5A,
[40]

Fig. 2 Distribution of the national contexts in the selected articles

Building Organizational Resilience Capacities and Capabilities … 61

Fig. 3 Distribution of the theoretical focus in the selected articles

the examined studies, 65% did not incorporate any specific theoretical framework,
indicating a significant proportion of research lacking a structured theoretical founda-
tion. This finding raises concerns about the depth and robustness of the insights gained
from these studies, as the absence of a theoretical framework may lead to limited
understanding and potential gaps in the analysis. On the other hand, 20% of the studies
applied the dynamic capabilities theory, demonstrating its popularity as a guiding
framework in the examination of organizational resilience capacities. Dynamic capa-
bilities’ theory focuses on an organization’s ability to adapt, integrate, and reconfigure
its resources and capabilities to respond to dynamic environments effectively [59].
Its incorporation in these studies suggests a recognition of the importance of adapt-
ability and flexibility in enhancing resilience. The resource-based view was utilized
in 15% of the studies, emphasizing the role of unique and valuable resources as a
source of competitive advantage and resilience. This theoretical perspective high-
lights the significance of resource allocation and utilization for building resilience
and sustainability in organizations [28]. The knowledge-based view was employed
in only 5% of the studies. This suggests a relatively lesser emphasis on the role of
knowledge and organizational learning in fostering resilience, despite its recognized
importance in helping organizations anticipate and cope with unexpected events [19].
Overall, the data underscore the need for a more comprehensive and system-
atic integration of theoretical frameworks in organizational resilience research. By
adopting a theoretical lens, scholars can gain deeper insights into the mechanisms
and factors that contribute to resilience-building processes, ultimately enhancing the
practical implications of their findings for organizations striving to withstand and
thrive amidst challenges.

4.3 Research Methodology

The results of the literature review presented in Fig. 3 reveal interesting trends in
research methodologies and the nature of studies within the selected literature corpus.
Notably, mixed-methodology studies constitute the majority, with a significant 40%
share, indicating a growing trend towards integrating both qualitative and quantitative
62 Z. Zungu and S. Laryea

Fig. 4 Distribution of the

research methodology in the
selected articles

approaches in research. This suggests a recognition among researchers of the need

to capture a more comprehensive understanding of complex phenomena by drawing
from multiple data sources and analysis methods.
Empirical research, accounting for 65%, dominates the literature, reflecting a
strong emphasis on practical investigation and data-driven inquiry within the field.
The prominence of empirical research suggests a commitment to producing evidence-
based knowledge that can inform practice and policy. However, theoretical studies,
though comprising a slightly smaller share at 45%, still play a substantial role in
contributing to theoretical frameworks and conceptual developments within the field.
This balanced mix of research methodologies and the strong presence of empirical
research collectively demonstrate a robust and multifaceted approach to advancing
knowledge in the subject area (Fig. 4).
Overall, this analysis provides valuable insights into the methodological diver-
sity within the literature, emphasizing the prevalence of qualitative and theoretical
approaches, as well as the relatively lower utilization of case studies and surveys.
Researchers can draw from these findings to inform their own methodological choices
when conducting future studies in this domain.

4.4 Results’ Area

The analysis of the literature review on the area of measurement of outcomes of orga-
nizational resilience presented in Fig. 5 yields significant findings. It is evident that
a substantial majority, comprising 85% of the reviewed studies, emphasizes “Orga-
nizational Resilience” as the primary area of measurement. This strong focus on
Building Organizational Resilience Capacities and Capabilities … 63

Fig. 5 Distribution of the

results area in the selected
articles

resilience underscores the growing recognition of its importance in enabling organi-

zations to withstand and adapt to various challenges, uncertainties, and disruptions.
Conversely, the area of “Organizational Performance” represents a relatively smaller
proportion of the literature, accounting for only 15% of the studies. This suggests
that while organizational performance is still a relevant and essential aspect, it is not
as extensively explored as resilience in the context of the reviewed research.
This analysis highlights the critical role of organizational resilience as a dominant
area of measurement and reflects the growing significance of understanding and
enhancing an organization’s capacity to endure and adapt in a constantly changing
landscape. Policymakers, leaders, and practitioners can benefit from these insights
by prioritizing resilience-building strategies and integrating resilience considerations
into their organizational practices and decision-making processes to achieve long-
term success and viability.

4.5 Organizational Resilience Capabilities and Capacities

The analysis of capacities and capabilities required by construction firms to be

resilient, based on the literature review, reveals a diverse and multifaceted land-
scape. The most frequently mentioned capacity is “Anticipation/Sensing”, appearing
in 50% of the reviewed studies. This underscores the significance of construc-
tion firms’ ability to foresee potential challenges, market trends, and disruptions,
enabling them to proactively prepare and respond effectively. Following closely is
“Adaptation” and “Learning and Knowledge Management”, each with a frequency
of 35%. These capacities highlight the importance of construction firms continu-
ously evolving, acquiring new knowledge, and effectively applying it to improve
their practices in response to changing circumstances. “Coping/Ceasing” and “Flex-
ibility/Agility/Transformability” were mentioned in 30% and 25% of the studies,
respectively. These capacities emphasize construction firms’ ability to cope with
immediate crises and their flexibility to adjust their operations and strategies in the
face of uncertainties. The “Human Resource Management” capacity was identified
in 20% of the studies, indicating the critical role of a skilled and engaged workforce
64 Z. Zungu and S. Laryea

Fig. 6 Capabilities and capacities of organizational resilience

in building resilience within construction firms. “Leadership and Management”,

“Absorptive Capacity/Redundancy”, and “Financial Resource Management” were
each mentioned in 20% of the literature. These capacities highlight the importance
of strong leadership, resource management, and the ability to absorb shocks and
redundancies to enhance resilience. Other capacities, such as “Product Innovative-
ness/Digital Technology”, “Restorative Capacity”, “Corporate Social Responsibil-
ity”, “Organizational Creativeness”, and “Project Planning”, appeared with lower
frequencies ranging from 10 to 15% (Fig. 6).
Overall, the analysis demonstrates that a wide array of capacities and capa-
bilities contributes to construction firms’ resilience. It is clear that a combination
of anticipation, adaptation, learning, and flexibility, supported by effective human
resource management and leadership, plays a crucial role in fostering resilience in
this industry. Construction firms can leverage these insights to prioritize and enhance
their resilience-building strategies, enabling them to thrive and endure in a dynamic
and challenging business environment.

5 Conclusions

In conclusion, this paper systematically examined the capabilities and capacities of

construction firms that contribute to organizational resilience. Through classification
and coding of selected studies, a comprehensive research agenda with five key issues
was developed, highlighting the need for further empirical research in this domain.
Building Organizational Resilience Capacities and Capabilities … 65

The capabilities and capacities contributing to the organizational resilience of

construction firms identified in the results of this study correspond to those identified
in previous studies undertaken in other industries. Furthermore, the capabilities iden-
tified can also be categorized into the three resilience stages which are anticipating,
coping, and adaptation.
This study significantly contributes to the literature on construction firm capabil-
ities and capacities required for resilience. By identifying the attributes necessary
for enhancing resilience, it provides a solid foundation for future empirical studies
aimed at bolstering organizational resilience in the construction industry.
Future research could focus on identifying specific practices employed by
construction firms to enact organizational resilience capabilities and capacities. Addi-
tionally, organizing the literature based on dimensions such as business strategy,
supply chain management, drivers, barriers, and stakeholder roles presents an excel-
lent avenue for further investigation in the development of organizational resilience
within construction firms.

Author Contributions Zamageda Zungu contributes to conceptualization, methodology, data

collection and analysis, draft preparation, manuscript editing, and visualization.
Samuel Laryea contributes to the conceptualization and supervision of the project.
All authors have read and agreed with the manuscript before its submission and publication.
Funding This research received no specific financial support from any funding agency.

Ethics Statement Not applicable.

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Communication Strategies
and Construction Projects’ Outcomes
in Nigeria

Olatunji Joseph Oladiran, Bashir Ibrahim, and Ahmed Mohammed Waziri

1 Introduction

Communication is key in all aspects of life including construction projects. Daniyan

[6] asserts that construction projects by its nature require timely and sufficient
communication to foster active collaboration and participation of all project partic-
ipants. Several factors can be attributed to the significance of good communica-
tion in the performance or success of construction projects. Some of these factors
include the fragmented nature, complexity, huge resources, size and capital inten-
sity of construction projects. Construction projects’ performance indicators include
three key components, time, quality and cost [5, 10]. All these require effective
communication throughout project life cycle to attain.
Boone [4] opines that engagement, information and connection form the three
main duties of communication, and connection is done in several ways. Application
of collective ideas must be embraced by all involved in effective engagement [4].
Oil and Gas projects function on communication and over 50% of the difficulties
in Oil and Gas projects stem from poor communication [12]. In this regard, Kotler
[9] posits that receiver and sender are two of the nine segments of the process of
communication. Information are passed out in encrypted form through media to
receivers in plain form for the receivers to comprehend the message, and replies
are given by receivers to the messages. Kotler [9] reveals major determinants of
good communication. Senders need to understand their listeners and encrypt the
messages properly both in project management and any other profession. Väänänen

O. J. Oladiran (B) · B. Ibrahim

Department of Building, University of Lagos, Lagos, Nigeria
e-mail: [email protected]
A. M. Waziri
Nigerian Midstream and Downstream Petroleum Regulatory Authority (NMDPRA), Abuja,
Nigeria

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 69

J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_5
70 O. J. Oladiran et al.

[16] opines that receivers’ change of knowledge and perspectives are the expected
outcomes of good communication process. However, one-way communications are
equally employed in organizations just for the purpose of informing people about
their firms, services, goods, products and so on, though this method still require
some forms of engagements [4]. Feedback is the best test of communication style in
project management.
Moreover, communication can be viewed in three ways [17]. First is internal
communication within a firm or person to many receivers. Second is organiza-
tional communication and thirdly, public relations. Organizational communication
interplays within a firm, whereas public relation entails internal and external public
linkage. The senders are saddled with passing correct messages, while the receivers
understand and revert appropriately. According to Super-[13], communication has
many dimensions: unspoken and verbal, hearing and talking, interior (within the
project) and external (outside the project); official (reports, briefings) and unofficial
(letters and conversation) and upward (above and below) and even (with mates).
Furthermore, there are three communication routes: face communication; printed
media in paper formats and electronic media via gadgets such as email, databases
or groupware, which can be easily stored [16]. The scenario in face communi-
cation differs from emails which is less engaging [17]. The best-fitted channels
for project-oriented firms are electronic due to precision, updating and synchro-
nization. One pertinent feature of project management communication is common
language, because project management could sometimes entail lots of technology-
related communication and networks [8], though one best communication in inexis-
tent [17]. Corporate communication is key in achieving company goals and produc-
tion because it unifies the personnel. A lot of things are involved in the success of
corporate communication which must all be factored in the choice of communication
types and channels [17].
Additionally, Ndihokubwayo [10] posit that critical to project performance is
availability of timely and detailed information, circulated and disseminated among
project participants constantly. However, it has been opined that the effectiveness of
communication is hinged hugely on the strategies employed. Henderson [7] defined
communication strategy as the approach, technique, mode and method by which
information are spread among project team to prevent ambiguities and errors. Infor-
mation in the form of scope, designs, drawings, specifications, materials, construc-
tion methods and more must be clearly and discretely communicated every point
in time for intended purpose to be achieved in projects. Communication strategy
therefore forms the measures and approaches through which vital information are
communicated to project partners all through implementation phase tailored towards
successful delivery. This study aimed at investigating implementation of communi-
cation strategies with a view to improve construction outcomes. The specific objec-
tives are to examine the application of communication strategies and to establish the
impact of such strategies on projects’ outcomes. The significance of the study lies in
improvement of construction projects outcomes through the adoption of appropriate
communication strategies.
Communication Strategies and Construction Projects’ Outcomes in Nigeria 71

2 Research Method

Survey research design approach was considered suitable to carry out this study. The
population of the study is construction professionals in construction companies in
Lagos State. A sample of 150 was selected using convenience sampling technique.
The sample size was considered adequate as stipulated by the rule of thumb, which
suggests that sample size which is more than 30 and less than 500 is appropriate
for researches. Questionnaires were used to elicit data on demographic information,
frequency of use of communication strategies (from 1 to 5) and significant impact of
the strategies on the outcomes of projects (from 1 to 5). Descriptive statistics were
used to analyze the data.

3 Findings and Discussions

3.1 Demographic Information

As many as 34% of organizations’ ownership were fully indigenous, 57.9% were

fully foreign and 7.9% were partly indigenous and foreign; 19.7% were between
1 and 5 years in the industry, 23% were 6–10 years, 14.8% were 11–15 years and
21.3% each were 16–20 years and above 20 years; 1.3% had annual turnover of less
than 5 million Naira, 3.9% had 6–20 million Naira (Nigerian currency), 10.5% had
21–50 million Naira, 14.5% had 51–100 million Naira, 10.5% had 101–250 million
Naira and 59.2% had above 250 million Naira. Moreover, 37% of the respondents
have 1–5 years’ experience, 16% have 6–10 years, 32% have 11–15 years, 10% have
16–20 years and 5% have above 20 years.

3.2 Application of Communication Strategies (CS)

in Construction Projects

The frequency of application of 39 communication strategies from previous studies

was examined. The strategies are categorized to written and verbal, with the mean
scores presented in Table 1.

Written Communication The most frequently used in this category is electronic

media (i.e. email, websites, etc.) and report. Information regarding projects are
therefore commonly channelled via electronic media and reports. Stakeholders in
construction projects therefore could be said to consistently communicate by sending
emails, accessing websites to draw vital and relevant information and providing
details on the progress of projects and other aspects that inform on successful delivery.
This outcome portrays that communication among the stakeholders is often time
72 O. J. Oladiran et al.

Table 1 Application of CS in projects

Communication N 1 2 3 4 5 TS StD MS RK
strategies
Written communication
Electronic media 76 1 2 10 27 36 323 0.881 4.25 1
Report 76 3 4 13 23 33 307 1.089 4.04 2
Project plan 76 1 8 15 25 27 297 1.048 3.91 3
Schedules 76 1 5 20 26 24 295 0.979 3.88 4
Notice board 76 5 5 17 22 27 289 1.189 3.8 5
Memo 76 3 3 23 25 22 288 1.037 3.79 6
Drawings 76 1 5 26 21 23 288 0.998 3.79 6
Site photographs 76 2 7 22 22 23 285 1.072 3.75 8
Manuals 76 2 6 19 31 18 285 0.995 3.75 8
Contract 76 3 7 30 15 21 272 1.111 3.58 10
Notes 76 5 9 29 11 22 264 1.216 3.47 11
Minutes 76 3 8 29 23 13 263 1.026 3.46 12
Phone chat 76 8 11 25 13 19 252 1.288 3.32 13
Text messages 76 8 12 24 15 17 249 1.271 3.28 14
Social media tools 76 10 12 26 14 14 238 1.269 3.13 15
Verbal communication
Phone calls 76 1 7 15 14 39 311 1.098 4.09 1
Formal verbal 76 1 3 17 30 25 303 0.916 3.99 2
presentation
Face-to-face meetings 76 4 5 18 23 26 290 1.14 3.82 3
with key stakeholders
Pictorial interpretations 76 2 11 27 21 15 264 1.052 3.47 4
and illustrations
Posters 76 4 12 18 22 20 270 1.193 3.55 5
Physical distance 76 3 9 27 25 12 262 1.025 3.45 6
Webpages 76 7 12 20 18 19 258 1.276 3.39 7
Symbols 76 7 15 15 20 19 257 1.306 3.38 8
Social gathering 76 4 11 30 16 15 255 1.116 3.36 9
On-scene activities 76 3 9 35 16 13 255 1.029 3.36 9
Workshops 76 4 8 32 21 11 255 1.029 3.36 9
Signs 76 6 10 25 22 13 254 1.15 3.34 12
Media 76 9 11 23 13 20 252 1.329 3.32 13
Facial expressions 76 7 19 14 19 17 248 1.31 3.26 14
Video chats 76 11 9 29 13 14 238 1.269 3.13 15
Body language 76 6 19 23 15 13 238 1.204 3.13 15
Communication Strategies and Construction Projects’ Outcomes in Nigeria 73

driven by the use of reports. The project report therefore provides all necessary
information needful to keep stakeholders well informed on how project has been
going, issues, risks and all other matters pertaining to projects. This helps in keeping
the stakeholders updated and making informed decision on project. Nonetheless,
social media tools and query are least used because they are engaged occasionally,
and their use is therefore not common in construction projects.

Verbal Communication Phone calls, verbal presentations and face-to-face meet-

ings with key stakeholders are the most frequently used form of verbal communi-
cation. The outcome therefore portrays that stakeholders in construction projects
often make calls on phone, arrange for meetings and leverage on the presence of
one another to discuss relevant details on projects. Stakeholders therefore meet
together to converse on various issues of projects which influence success. Facial
expressions, video chats and body language are the least used in this category. It
thus depicts that stakeholders also somehow do communicate among themselves
through facial expression when need be and as situations demand. The combination
of facial expression and body language therefore bears their relevance in projects’
communication.

3.3 Impact of CS on Construction Project Outcomes

The significance of the impact of communication strategies on construction projects

was examined and the mean scores are presented in Table 2.
Cost Outcomes: the highest impact is on meeting cost baseline targets. The
outcome therefore depicts that one of the very significant impacts of communi-
cation strategies on construction projects is that it assists in meeting cost targets.
This helps in achieving cost performance in project, while issues of cost overruns are
mitigated. As stakeholders engage diverse communication strategies, information
are disseminated promptly and consistently. This guides the implementation process
of construction works at every phase, contributing towards streamlining activities
towards cost-effectiveness, thereby resulting to meeting overall cost baseline goals,
targets or expectations. Cost reduction is one critical area of attention in construction
projects to solve house deficit among other reasons [1]. The least impact here is on
appropriate management of reworks. The outcome therefore depicts that one of the
moderate significant impacts of communication strategies on construction project
is that it contributes towards the rework costs been well managed. This is because
engaging communication strategies helps in constant and continuous communication
among stakeholders as project is ongoing. Issues pertaining to rework if needful can
therefore be discreetly channelled such that cost to be incurred is minimized in a way
that does not result in undue cost been incurred on project as against the projected
cost.
74 O. J. Oladiran et al.

Table 2 Impact of CS on project outcomes

Project outcomes N 1 2 3 4 5 TS StD MS RK
Cost
Meeting cost baseline target 76 2 6 6 33 29 309 1.011 4.07 1
Net profit targets were met 76 1 5 14 35 21 298 0.92 3.92 2
Well understood markets 76 2 5 10 42 17 295 0.923 3.88 3
competition
Well-managed contingencies 76 2 5 19 28 22 291 1.012 3.83 4
Rework costs well managed 76 3 9 17 35 12 272 1.023 3.58 5
Schedule
Materials availability was well 76 2 6 15 27 26 297 1.048 3.91 1
managed
Equipment availability was well 76 4 3 15 33 21 292 1.046 3.84 2
managed
Overall project schedule 76 1 8 17 28 22 290 1.016 3.82 3
performance was met
Labour availability was well 76 1 6 20 28 21 290 0.976 3.82 3
managed
Optimization of schedule float 76 2 4 21 30 19 288 0.97 3.79 5
management
Quality
Overall project quality met 76 4 4 13 24 31 302 1.131 3.97 1
Customer satisfaction 76 4 5 13 25 29 298 1.14 3.92 2
Less reworks 76 4 6 19 22 25 286 1.153 3.76 3
Achievement of customers’ 76 3 14 19 24 16 264 1.137 3.47 4
expectations
Health and safety
Overall project safety 76 4 3 17 18 34 303 1.149 3.99 1
performance
Adequate management of 76 3 7 15 16 35 301 1.183 3.96 2
hazard measures
Overall project safety 76 4 5 14 24 29 297 1.145 3.91 3
performance
Good safety craftsmen 76 3 4 24 24 21 284 1.05 3.74 4
Trades’ and personnel’s low 76 5 4 25 19 23 279 1.159 3.67 5
frequency of complaints or
grievances
Operating environment
The deployment of new 76 2 5 16 25 28 300 1.044 3.95 1
technologies
Improved market place 76 3 6 14 27 26 295 1.095 3.88 2
qualifications of the
organisation
(continued)
Communication Strategies and Construction Projects’ Outcomes in Nigeria 75

Table 2 (continued)
Project outcomes N 1 2 3 4 5 TS StD MS RK
Compliance with project 76 1 8 18 22 27 294 1.063 3.87 3
documentations
Compliance with project 76 4 3 16 31 22 292 1.059 3.84 4
schedule
Proper handling of rework and 76 4 4 20 31 17 281 1.046 3.70 5
repair
Overall performance
Project operational 76 3 3 14 31 25 300 1.018 3.95 1
performance goals were met
Good project performance data 76 1 7 19 27 22 290 1.003 3.82 2
Accurate project performance 76 1 8 21 25 21 285 1.021 3.75 3
data
Predictive performance data 76 1 7 23 32 13 277 0.919 3.64 4
(metric)
Well-established method for 76 5 6 17 31 17 277 1.116 3.64 4
managing project performance
data (metrics)
Personnel involvement 76 1 8 23 31 13 275 0.938 3.62 6
Cognizance of performance 76 3 7 25 25 16 272 1.049 3.58 7
measurements throughout the
project

Schedule Outcomes: the highest impact in this category is on management

of materials. The outcome therefore depicts that communication strategies ensure
proper management of available materials. Materials management is a critical
element on project that cannot be ignored if the completion time must be met. Mate-
rials’ management concept is a plan adopted during project implementation to foster
adequate flow of materials for proper control, which can be ensured by CS. The least
impact is on optimization of float management. The outcome therefore depicts that
an additional way by which communication strategies impact on construction project
is that it optimizes schedule float management.
Quality Outcomes: the highest impact in quality category is on achieving
overall project quality. The outcome therefore depicts that communication strate-
gies contribute towards meeting the overall project quality objectives. Quality has
become a feature that is most expected in projects by clients and cannot be underes-
timated in fostering clients’ satisfaction. To continually meet with the quality stan-
dard expected in projects, the imperativeness of communication among stakeholders
cannot be undermined. As communication strategies are imbibed by the parties in a
76 O. J. Oladiran et al.

project, it systematically fosters quality control in project and dynamically directs

construction activities towards the attainment of quality standard set at the onset.
Communication strategies therefore function as a systematic approach for setting and
meeting quality goals in project throughout construction process. The least impact
is on attainment of customers’ expectations. The outcome therefore depicts that an
additional way by which communication strategies impact projects is that they have a
way of ensuring that the customer’s true goals and expectations are properly reflected
in contract performance incentives. The clients initiate the drive for the implementa-
tion of construction project and also take responsibility for the financing with specific
expectations.
Health and Safety Outcomes: the highest impact in health and safety is on
attaining overall project safety performance, resulting in reduced organizations’ total
recordable injury rate. The result therefore depicts that one of the significant impacts
of communication strategies in construction project is that it fosters project safety
performance. Construction environment is risky due to a number of reasons; thus,
it is the principal responsibility of contractors and other concerned parties to ensure
safety on construction sites. Efficient communication channelled through appropriate
communication strategies however comes to fore in achieving health and safety on
construction sites. The least impact here is opined as trades’ and personnel’s’ low
frequency of complaints or grievances. The result depicts that communication strate-
gies spur support of the trades and labour personnel via less complaints or grievances.
As different communication strategies are engaged therefore, health and safety can
be easily realized during construction.
Operating Environment Outcomes: the highest in this category is on the deploy-
ment of new technologies for improvements. The result sheds light that CS fosters the
deployment of new technologies which improve project performance. As communi-
cation becomes efficient among stakeholders, aspects that require attention in project
can be easily identified, and through brainstorming or any relevant techniques, solu-
tions can be initiated and obtained. This could therefore lead to deploying new tech-
nologies that would contribute towards achieving project performance. The least
impact is on appropriate management of rework and repair. The need for rework
may not be totally avoided in project construction as it was. However, engaging
appropriate communication strategies all through the phases of project construction
can minimize rework and repair and ultimately the cost.
Overall Performance Outcomes: the highest significant impact is on meeting
project operational goals. The result established that CS impacts on every construc-
tion process and performance. Stakeholders through communication are able to inte-
grate and synergize for project performance. The least impact is on project personnel
remaining cognizant of performance measurements throughout the project. Stake-
holders through the various communication strategies inculcated therefore become
cognizant of performance measurement as construction is ongoing. At long run,
project performance becomes achievable.
Communication Strategies and Construction Projects’ Outcomes in Nigeria 77

Ramalingam et al. [11] opine that communication is a core competency that when
properly executed connects every member of a project team to a common set of strate-
gies, goals and actions. Unless these components are effectively shared by project
leads and understood by stakeholders, project outcomes are jeopardized stipulating
that communication must be properly managed, transferred and understood so that
the various aspects of the project can be assembled to attain performance. Similarly,
Tourish and Hargie [14] indicated that project outcomes depend on CS adopted,
while Akinradewo et al. [2] assert that the communication strategy adopted during
project implementation has a unique way of influencing project performance.

4 Conclusions and Recommendations

This study aimed at investigating implementations of communication strategies in

construction projects, so as to enhance projects’ outcomes. The objectives were to
examine the application of communication strategies in construction projects and to
establish the impact of such strategies on projects’ outcomes. The study was carried
out empirically among construction professionals, and the findings reveal the most
frequently used communication strategies and have established their contribution to
projects’ outcomes.
It is concluded therefore that electronic media and reports are the most frequently
used written communication strategy, while they are phone calls and presentations in
verbal strategy in construction projects. The implication of this is that construction
projects could experience some level of improvement in delivery due to good commu-
nication flow. Communication is very vital on construction projects particularly on
complex ones. Thus, the engagement of these strategies frequently is understandable.
Additionally, this study concludes that communication strategy contributes signif-
icantly to the realization of desired construction project outcomes. It implies that the
strategy employed for communication on construction projects could determine the
outcomes. Previous studies, such as Tourish and Hargie [14], have shown the impor-
tance of communication on projects outcomes and site productivity. Amusan et al. [3]
posit that construction projects combine complex interrelated systems. It is required
therefore for practitioners and stakeholders to employ the discovery in this study
about the significance of CS in the procurement of construction projects.
In view of the aforementioned, the study recommend that all various verbal and
written communication strategies should be frequently implemented in construc-
tion projects. This can be achieved by the deliberate action of stakeholders on
construction projects. There are several other communication strategies not maxi-
mally implemented by construction practitioners, which could limit their inherent
benefits and largesses on construction projects. Construction industry is generally
slow in adopting new ideas and technology, such as novel CS and sustainable
construction [15].
78 O. J. Oladiran et al.

Furthermore, construction practitioners should operate communication strategies

to improve the outcomes of construction projects. This can be achieved by attitudinal
changes of construction team and personnel. Attitude is key in the application of
anything in an industry like construction that is heavily human operated currently.
The willingness and readiness of the industry key players are germane to frequent
adoption of all the identified communication strategies.

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Intervening Qualities of Building
Information Modeling (BIM)
on the Adoption of Prevention Through
Design (PTD)

Rimmon Labadan, Kriengsak Panuwatwanich, and Sho Takahashi

1 Introduction

Ensuring safety throughout the project lifecycle is of utmost importance in the

construction industry. Adopting a proactive strategy to promptly detect potential
safety risks, implement preventive measures, and mitigate threats before they mani-
fest as significant issues is always advisable. Adopting a proactive safety approach, in
contrast to a reactive one, entails anticipating incidents, preparedness, expedited reac-
tion times, and reducing injury occurrences. According to Zhang et al. [45], the imple-
mentation of construction safety management is feasible prior to the commence-
ment of construction activities. Therefore, prevention through design (PTD) is a
viable methodology for conducting safety evaluations in the construction industry.
Several studies [1, 17, 40] assert that risks and hazards can be prevented or mitigated
during the design phase of a construction project using a safety management strategy
known as prevention through design (PTD). However, PTD implementation in the
construction industry remains rare due to several obstacles.
Meanwhile, building information modeling (BIM) has strong potential for occu-
pational risk prevention and safety management. BIM represents a novel and innova-
tive approach to design and management based on a complex system of procedures
and technologies aimed at defining an accurate three-dimensional intelligent virtual
model of the structure/infrastructure and supporting the entire construction process,

R. Labadan · K. Panuwatwanich (B)

School of Civil Engineering and Technology, Sirindhorn International Institute of Technology,
Thammasat University, Pathum Thani, Thailand
e-mail: [email protected]
R. Labadan · S. Takahashi
Faculty of Engineering, Hokkaido University, Sapporo, Japan

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 81

J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_6
82 R. Labadan et al.

i.e., design, construction, and management throughout its lifecycle [10]. In a BIM-
based approach, a 3D model often serves as the primary working tool. BIM can inte-
grate multi-disciplinary data to create detailed digital representations that could be
managed in a sharable platform for real-time collaboration. Using BIM gives stake-
holders greater visibility, better decision-making, more sustainable options, and cost
savings on AEC projects. One area where BIM has been deemed particularly useful
is in the PTD approach in construction safety management. Research has showcased
BIM’s capabilities as a valuable tool for PTD and in construction occupational safety
assessment or analysis [17, 19, 21]. Using BIM to integrate safety considerations into
the design process, project teams can reduce the likelihood of accidents and injuries,
minimize the need for costly redesigns, and create a safer work environment for
everyone involved.
The construction industry encounters challenges in terms of adapting and imple-
menting PTD [41]. While many countries such as the United States, Australia, Singa-
pore, and Hong Kong have begun to adopt and enforce the notion of PTD, in numerous
other countries, this approach remains relatively novel and is not yet required by law.
According to previous research [6, 14, 22, 26], a lack of PTD tools is one of the causes
of the slow adoption of PTD. Therefore, determining how BIM technology could be
an innovative means of promoting the adoption of PTD necessitates a comprehensive
examination of the significance of BIM for PTD. Thus, the study’s objective is to
determine the intervening qualities of BIM technology that could impact the rate of
BIM-based PTD adoption. It aims to quantitatively assess the influence of various
factors on adopting a particular system, in this case, the BIM-based PTD. This paper
delineates relevant BIM qualities to overcome or address a BIM-based intervention
of PTD adoption.

2 Theoretical Background

BIM is a methodology and process for creating and managing digital representations
of physical buildings and infrastructure projects. While BIM is not a singular tech-
nology, its implementation requires a variety of tools and technologies. Adoption
of a BIM-based concept requires the implementation of BIM technologies. Since
the hypothesis of this study is that BIM technologies can facilitate the adoption of
PTD, it is necessary to examine the adoption of BIM for PTD through the lens of
technology adoption theories.
There are several theories and models to predict factors that influence the accep-
tance of new technologies. However, the technology acceptance model (TAM),
developed by Venkatesh and Davis [42], is the most prevalently used. TAM has
been accepted as a parsimonious and highly predictive model for understanding a
user’s technology adoption behavior [9, 8, 31, 42]. According to the TAM (Fig. 1),
which was first presented to the public in 1989, “perceived usefulness” (PU) and
“perceived ease of use” (PEOU) are the two factors that significantly impact an
individual user’s intention to adopt new technology. PU is defined as the extent to
Intervening Qualities of Building Information Modeling (BIM) … 83

Fig. 1 Classical technology acceptance model. Adapted from Venkatesh and Davis [42]

which an individual believes that utilizing a particular system will improve his or her
job performance. PEOU is defined as the extent to which an individual believes
in using the system without putting in a deliberate effort. Since then, multiple
experts have consistently validated the TAM in several situations, resulting in its
wide use in technology adoption research. TAM has been a reasonably simple model
that may be altered or extended in various ways. As a result, several expansions
publishing numerous combinations of other theories have been published, which
leads to different frameworks.
Behavioral intention is the intent to engage in a specific behavior. It is a factor that
influences that behavior and indicates a desire to engage in that conduct with pleasure
and a desire to use the service, suggest it to others, and return to use the service again
[28]. Behavioral intention to adopt was defined as the strength of an organization’s
future intention to employ the technology [39]. Wang and Song [44] investigated the
impact of five variables on the contentment of BIM users in the AEC industry. Three
of these variables were derived from TAM: perceived benefits, perceived conve-
nience of use, and attitude. The remaining two variables were management-related:
support from top management and management by objective. The results indicated
that perceived usefulness, top management support, and management by objective are
substantially associated with BIM user satisfaction, with management by objective
having a more significant impact on BIM user satisfaction than perceived usefulness
and top management support. Additionally, perceived usability and attitude have a
substantial impact on perceived utility.
Furthermore, TAM explains the determinants of technology acceptance in general
and traces the impact of external factors on internal beliefs [37]. According to the
theory, the adoption behavior is determined by the intent to use a particular system,
which is determined by the perceived usefulness and ease of use of that system.
However, additional external variables not addressed by TAM could contribute to the
variation explained by their study model. Legris [24] suggested that the TAM is useful
but needs to be integrated into a broader model that includes other human, technical,
and social variables that can indirectly impact the user’s attitude and intention to
adopt. Therefore, the study includes constructs complementing TAM’s two (the PU
and PEOU) contracts.
84 R. Labadan et al.

2.1 The Perceived Usefulness of BIM for PTD

BIM technology has revolutionized the construction industry. Its usefulness in the
construction industry lies in its ability to streamline collaboration, improve decision-
making, reduce risks, enhance project visualization, and support efficient project
management throughout the lifecycle of a building or infrastructure project. The
perceived usefulness of BIM can vary depending on the specific stakeholders
involved. Generally, BIM provides a comprehensive digital representation of a
building or infrastructure project throughout its lifecycle, from design and construc-
tion to operation and maintenance. This enables stakeholders to access and manage
project data, including specifications, schedules, costs, and maintenance information
lifecycle [10]. BIM facilitates enhanced collaboration and communication among
project team members, including architects, engineers, contractors, and owners. It
allows for real-time sharing of project information, design and construction activities
coordination, and better integration of different disciplines—thereby improving the
overall project coordination, increasing efficiency, and reducing errors or conflicts
[46].
Designing means “to prepare the preliminary sketch or the plans for a work to be
executed, especially to plan the form and structure,” for which the usefulness of BIM
technologies in designing is unmatched. The concept of PTD is the consideration
of safety during the design phase of a project—making BIM technology a suitable
tool for PTD. BIM allows stakeholders to visualize and simulate designs in 3D or
4D (3D + time) environments [5, 16], enabling stakeholders a proactive approach
to construction of safety assessments. This capability is useful in comprehending
spatial relationships, identifying conflicts or interferences, evaluating design alter-
natives, and depiction of construction hazards for construction safety. It enables more
informed decision-making during a project’s design and planning phases. Addition-
ally, BIM enables clash detection, where potential conflicts between various building
systems (e.g., structural, mechanical, and electrical) can be identified and resolved
digitally before construction. This improves risk management and project outcomes
by decreasing the likelihood of accidents on the construction site.

2.2 The Perceived Ease of Use of BIM for PTD

Technology’s perceived ease of use generally refers to how users perceive the
simplicity and user-friendliness of tools and processes [4, 29]. The user interface
of BIM software plays a crucial role in its perceived ease of use. An intuitive and
well-designed interface with clear menus, icons, and navigation options can make
it easier for users to interact with the software and access the necessary functions.
BIM software is integrated with other commonly used software or tools that can
enhance its ease of use. Its tools can import and export data from widely used design
Intervening Qualities of Building Information Modeling (BIM) … 85

software or construction management systems, and users can leverage their existing
knowledge and workflows.
Although adequate training and education on BIM tools and processes with
comprehensive training programs, workshops, and resources can help them acquire
the necessary skills and knowledge to use BIM effectively, BIM tools and processes
are more accessible to a broader range of users which can significantly impact
the perceived ease of use of BIM for PTD. BIM software provides standardized
templates, libraries, and predefined objects that can simplify the modeling process
of construction hazards and risks. Several BIM softwares (e.g., Tekla Structures,
Autodesk Revit, and Cype) have object-oriented modeling tools that easily include
construction safety items. Having readily available components and templates
reduces the need for users to create everything from scratch, making it easier and
quicker to generate BIM models for PTD assessments.

2.3 The Relative Advantage of BIM for PTD

A product, process, or idea does not need to be original when it is created in order
to qualify as an innovation; rather, its freshness can be gauged by how novel it
is to the user or implementing unit. According to Rogers, innovations’ traits or
features—which may be measured—are connected to the adoption and decision-
making processes [32]. Innovations can take many different shapes [30]. It might be
radical (a scientific or technological advancement brings about a new change), incre-
mental (changes are made gradually in response to prior experience), or modular
(an idea is modified inside a specific system’s component) [3]. Rogers’ [35] study
found five perceived features of an innovation that influence its acceptance rate.
These are compatibility, relative advantage, complexity, observability, and triala-
bility. According to Moore and Benbasat [27], how people evaluate these innovative
qualities predicts how they will respond to the innovation. However, three of the five
qualities of innovation—relative advantage, compatibility, and complexity—have
repeatedly been recognized as significant factors that affect how people view the
application of an innovation [27, 39]. Relative advantage is the perception that the
innovation is better than the idea it supersedes, is already in use, or is available. It
answers the question: “Is it better?” The cost and social status motivations for inno-
vations are both factors in determining relative advantage. Adoption is increased
when a potential user can readily see the benefits of innovation. The more apparent
the advantage is to the adopter, the more likely they are to adopt.
One of the advantages of BIM is its ability to improve accuracy and reduce
errors [20]. Unlike traditional 2D drawings, BIM provides a detailed 3D model of
a building or structure, including all the elements and components, making a BIM-
based approach convenient for PTD. This approach enables designers and builders to
identify inconsistencies, conflicts, and errors early in the design process, improving
the project’s quality and reducing the potential for rework. In addition, BIM allows
project stakeholders to simulate different scenarios, analyze the impact of design
86 R. Labadan et al.

changes, and optimize the building’s performance, resulting in cost savings and
improved sustainability.
Furthermore, BIM is the most capable tool for PTD [2]. The known visual-
ization capability and its ability to facilitate rule checking and run construction
sequence simulations, BIM makes it suitable for hazard prevention analysis before
the construction phase of safety planning and even further back during the project’s
conceptualization and design phase [23]. With BIM’s virtual replica of a building
that includes 3D dimensions and physical and functional information, the resulting
model is a data-rich, intelligent, object-oriented, and parametric digital depiction of
the building and building construction process.

2.4 The Perceived Benefits of Using BIM for PTD

In general, perceived benefit refers to the perception of favorable outcomes resulting

from a given action [25]. Davis et al. [8] stated that the decision to employ a new
technology is governed by the extent to which the consumer perceives it to be more
cost-effective than the current way of supplying goods or services. In the construction
industry, for instance, the perceived benefits of technology adoption for fundamental
design, group collaboration, data visualization, acquisition, and management are
demonstrated by the increased work efficiency, productivity, quality, and health and
safety to be of the utmost importance [7].
BIM produces high-quality advantages for all stakeholders, both direct and indi-
rect, promoting its adoption within the construction industry. The perceived benefits
of BIM by early adopters and the findings of numerous studies indicate that BIM-
based strategies aid in delivering projects with lower costs, decreased time, improved
quality, and more customer satisfaction [18]. Furthermore, the AEC industry has
benefited from using BIM through improved collaboration and communication,
which enhance design visualization, streamlined construction management, and effi-
cient facility operations. By embracing BIM, stakeholders can harness its power to
optimize project outcomes, reduce costs, save time, and deliver more sustainable,
resilient, and functional buildings [36].
Since BIM can facilitate the integration of construction safety aspects of design, it
can benefit the designers in conducting PTD analysis. The 3D views and data incor-
porated in BIM models are appropriate to the designer’s need that generate analysis
to make PTD decisions and improve construction and give a plus in understanding
construction safety even before the construction phase [12].
Intervening Qualities of Building Information Modeling (BIM) … 87

3 Proposed Model

In the context of the current study, the term “behavioral intention to adopt BIM
for PTD (BI)” refers to the motivation and self-inclination of designers toward the
adoption of BIM-based PTD. “Perceived usefulness of BIM for PTD (PU)” refers to
the extent to which designers believe BIM has the potential to enhance and improve
evaluations and analyses related to PTD. “Perceived ease of use of BIM for PTD
(PEOU)” refers to the designer’s subjective perception of the level of effort required
and the ease with which they may utilize BIM for PTD purposes. “Perceived relative
advantage of using BIM for PTD (PRA)” refers to the extent to which the utilization
of BIM for PTD is deemed superior to alternative methodologies for PTD. “Perceived
benefits of using BIM for PTD (PB)” refers to the extent to which the utilization of
BIM is expected to enhance the effectiveness, efficiency, productivity, and overall
quality of PTD processes.
The framework designed to address the knowledge gap observed earlier can be
seen as illustrated in Fig. 2. The framework was constructed with the designer’s level
of perception to embrace BIM for PTD as its primary focus, and it was based on
TAM (Fig. 1). In this study, a socio-technical perspective on the implementation of
PTD is taken, which means that in addition to the technological implementation,
the socio-cultural milieu that acts as its framework is taken into consideration. This
study intends to position the intervening features of BIM inside the framework, which
can assist designers in positioning themselves to adopt the BIM for PTD concept.
These qualities (PU, PEOU, PB, and PRA) should also be considered when working
toward widespread acceptance of PTD in the construction industry. It is anticipated
that the compatibility between the intervening qualities of BIM will either directly
or indirectly impact the behavioral intention of designers to use BIM for PTD.

Perceived Perceived
Relative Usefulness of
Advantage of BIM BIM for PTD
for PTD (PRA) (PU) Behavioral Intention
(BI) to Adopt BIM for
PTD
Perceived Perceived Ease
Benefits of BIM of Use of BIM
for PTD (PB) for PTD (PEOU)

Fig. 2 Theoretical framework

88 R. Labadan et al.

4 Methodology

4.1 Analysis Approach

The objective of this study is to quantitatively assess the influence of various factors
on the adoption of a particular system. As a result, the research employed a measure-
ment approach that enables the concurrent examination of a network of associations
among numerous dependent and independent variables. Quantitative measurement
methods enable the formalization and evaluation of hypotheses concerning the inter-
relationships among variables. The use of such a methodology is crucial for the
advancement and verification of theoretical frameworks.
To attain the study’s objective, first, the “measurement model” must be speci-
fied and evaluated, and then the “structural model” must be tested to investigate the
relationships of the constructs. Only then will the objective of the study be attain-
able. Using confirmatory factor analysis (CFA), a dependable measurement model
was developed prior to the testing phase of the structural model. It is a multivariate
statistical method that examines the extent to which observed variables (indicators
or items) align with a predefined theoretical framework or construct. Analysis was
completed prior to the testing phase. This conclusion was reached due to the subse-
quent belief that these aggregated components represent identifiers for their respec-
tive constructions (Fig. 2). The maximal likelihood estimate (MLE) technique and
AMOS software were utilized throughout the CFA operation.

4.2 Questionnaire Survey

A structured questionnaire was developed and aligned with each construct in prepa-
ration for conducting CFA. The questionnaire is an essential and extensively used
data collection instrument in empirical research. In its most basic form, a question-
naire is a series of questions used to collect information or data from individuals
about a specific topic. When the number of respondents is large and geographically
dispersed, questionnaires are the most effective method for collecting data [34]. As
a direct result, it was determined that a questionnaire survey would be the most
efficient approach for achieving the study’s objectives. Quantitative questionnaires
collect organized, numerical data that can be subjected to statistical analysis [33].
Quantitative questionnaires generally have closed-ended questions that offer prede-
termined response alternatives. Frequently, these inquiries are intentionally struc-
tured to facilitate quantification, employing formats like multiple-choice questions
or Likert scale questions. Hence, it was concluded that employing a quantitative ques-
tionnaire survey would be the most efficacious approach for achieving the objectives
of this research. The questionnaire employed a dispersed format and consisted of
two distinct sections. The initial segment comprises five divisions that align with
five specified constructs (latent variables), each encompassing three questions as
Intervening Qualities of Building Information Modeling (BIM) … 89

observed variables (e.g., PU1, PU2, and PU3). Each item in all survey parts was
evaluated using a five-point Likert scale, ranging from 1 (strongly disagree) to 5
(strongly agree). The subsequent section encompassed the demographic background
information of the participants, including their years of experience and occupational
positions.

4.3 Research Sampling

Consistent with the principle of PTD, the designers are assumed to have the central
role as the principal agents. Therefore, the individuals selected for this study were
professionals working in the field of design. The sample population was restricted to
structural engineers employed within the geographical boundaries of the Philippines.
Initially, efforts were made to find respondents of approximately 300 engineers to
answer the questionnaires.

5 Preliminary Results

5.1 Respondents Demographics

The researchers were able to utilize 131 of the received responses. This quantity was
selected as a representative sample of the entire population. As a result, every respon-
dent possessed a degree equivalent to a bachelor’s. Thirty-two percent (32%) held a
master’s degree, while 5% held a doctorate. The proportion of respondents between
the ages of 26 and 30 represented 43% of the total. Notably, the preponderance of
respondents (28%) are senior structural engineers, the same proportion as freelance
structural designers.

5.2 Data Screening

Data screening refers to the process of evaluating and examining collected data to
ensure its quality, accuracy, and reliability. The first step was doing data screening to
determine the suitability of the acquired data for the modeling analysis. The z-score
is a statistical measure that quantifies the number of standard deviations by which
an observation deviates from the mean of a normal distribution. In the event that the
data follows a normal distribution, an observation with a z-score of 3.29 signifies that
it deviates from the mean by more than three standard deviations. This occurrence
is considered quite exceptional. The z-score threshold of 3.29 is associated with a p-
value of 0.001, which is widely employed as a statistically significant level in various
90 R. Labadan et al.

academic disciplines. In the current investigation, the scores of all variables were
converted into standardized z-scores in order to identify any significant variations.
According to Tabachnick and Fidell [38], instances exhibiting a z-score absolute
value over 3.29, which corresponds to three standard deviations at a significance
level of p < 0.01, were classified as outliers. Out of the total of 131 responses,
it was observed that there were no instances of missing data and none of the z-
values above the critical value of 3.29. Furthermore, the assessment of normalcy was
conducted as the present study’s analysis depended on several statistical techniques
that presupposed normality. According to Garson [13], skewness and kurtosis values
fell within the range of + 2.00 to − 2.00, suggesting that the distribution can be
characterized as normal. Thus, the results justified the use of MLE in CFA.

5.3 Confirmatory Factor Analysis

This study was conducted using these five prevalent model fit indicators: the
normed chi-square (χ 2 /df ), goodness-of-fit index (GFI), comparative-fit index (CFI),
incremental-fit index (IFI), and root mean square error of approximation (RMSEA).
The quality of each index was evaluated based on how well it met the criteria
suggested by Hair [15]: χ 2 /df < 3.00; CFI, IFI, and GFI all equaled 0.90; RMSEA
< 0.08. In Table 1, the results obtained through the application of the measurement
model are detailed. Using the above criteria, it was determined that the model had
a satisfactory level of fit (χ 2 = 141.82; df = 80; 22/df = 1.773; GFI = 0.88; TLI
= 0.918; CFI = 0.937; IFI = 0.939; RMSEA = 0.077). According to Hair, each
indicator loaded substantially (p = 0.001) on their respective constructs, and the
loadings of each indicator were greater than 0.50. As a rule of thumb, any items with
R2 values that were substantially lower than the commonly accepted criterion of 0.50,
may be candidates for elimination from the model. However, the result showed that
all the indicators’ factor loadings were significant. Thus, it was determined that the
measuring model should continue to include every component (Fig. 3).
CFA is a statistical technique used to assess the validity and structure of a measure-
ment instrument or scale. On the basis of these findings, it would appear that the
measurement model has adequate convergent validity. Thus, the measurement model
can be used to evaluate the subsequent structural model because its fit indices were
determined to be adequate.

6 Conclusion and Further Study

The investigation uncovered important characteristics and patterns of variables, both

of which can be utilized in the construction of a structure for the adoption of BIM
for PTD. Following a comprehensive study and synthesis of perceived BIM qual-
ities and technology adoption theories, this research proposed an integrated model
Intervening Qualities of Building Information Modeling (BIM) … 91

Table 1 Measurement model results

Constructs/factors Loadings t-value* R2
Perceived usefulness of BIM for PTD
(PU):
PU1 0.945 f.p 0.893
PU2 0.89 14.137*** 0.792
PU3 0.661 8.853*** 0.436
Perceived ease of use of BIM for
PTD (PEOU):
PEOU1 0.656 f.p 0.43
PEOU2 0.695 5.543*** 0.483
PEOU3 0.534 4.709*** 0.285
Perceived relative advantage of using
BIM for PTD (PRA):
PRA1 0.853 f.p 0.727
PRA2 0.873 10.986*** 0.762
PRA3 0.746 9.368*** 0.556
Perceived benefits of using BIM for
PTD (PB):
PB1 0.748 f.p 0.559
PB2 0.781 6.722*** 0.61
PB3 0.626 6.058*** 0.392
Behavioral intention to adopt PTD
(BI):
BI1 0.858 f.p 0.736
BI2 0.953 13.766*** 0.907
BI3 0.744 10.102*** 0.553
Notes Model fit indexes:χ2 = 141.82; df = 80; χ2 /df
= 1.773; GFI = 0.88; TLI = 0.918; CFI =
0.937; IFI = 0.939; RMSEA = 0.077; f.p., parameter is fixed for estimation purpose; *** t-values
are significant at p < 0.001

to investigate the implications of various constructions that have been taken into
consideration. The results of the exploratory study gave a foundation for a more
in-depth understanding of adoption behavior in the context of PTD adoption. As a
result, the perceived usefulness, perceived ease of use, perceived relative advantage,
and perceived benefits of BIM for PTD can influence the possibility that designers
working in the construction industry would effectively implement PTD. To confirm
and validate the model, a case study was carried out in the Philippines to shed light
on the influence of the aforementioned BIM properties on adopting PTD. This paper
presented the preliminary results of the conducted data analysis. The results quan-
titatively confirm the model’s constructs for further structural analysis. An analysis
of the model will be performed utilizing a structural modeling technique to justify
92 R. Labadan et al.

Fig. 3 Measurement model

the model’s correlation of components is now being carried out. After the model is
validated, it should be able to shed light on the influence of the features of BIM on
the adoption of BIM for PTD.
Funding This study is partially funded by the ASEAN University Network/Southeast Asia Engi-
neering Education Development Network (AUN/SEED-Net)—Collaborative Education Program
(CEP) and the Chair Professor Program (P-19-52302), the National Science and Technology
Development Agency (NSTDA), Thailand.
Intervening Qualities of Building Information Modeling (BIM) … 93

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Barriers to the Adoption
of Robot-Assisted Construction
Approach in the South African Built
Environment

Opeoluwa Akinradewo, Clinton Aigbavboa, Mfundo Gwebu,

and Seyi Stephen

1 Introduction

Construction is one of the most essential processes in a construction project life span,
and it involves many individuals. The construction industry in most non-industrial
nations has various efficiency challenges. These incorporate work shortage, unfor-
tunate efficiency, an excessive amount of wastage, and hazardous working circum-
stances, which are all for the most part brought about by dreary and work serious
jobs [27]. Robots are intelligent mechanisms that might be modified to do exer-
cises autonomously, prompting a wide range of study topics in both well-engineered
industrial settings and domain-oriented applications that operate in a dangerous or
difficult environment [30]. Robotics has developed and thrived in pretty much every
modern area other than civil structure construction since the mid-20th 100 years.
The development of robots picked up speed during the 1970s and 1980s in Japan.
It was where the establishments for this present reality use of technology in off-site
building fabricating, single-task development robots, and locations for automated
construction were laid. The construction industry in many countries contributes up
to 10–20% of the GNP, making it the biggest financial utilizing area [33].
In constructing sites, robots are often used to help humans work. This technique
embodies a decentralized, independent, adaptable, essential, and versatile struc-
ture strategy. Accordingly, the development of robots has turned into a well-known
concentrate theme in the industry. Construction work is tedious and dangerous, and

O. Akinradewo (B) · C. Aigbavboa · S. Stephen

Cidb Centre of Excellence, University of Johannesburg, Johannesburg, South Africa
e-mail: [email protected]
M. Gwebu
Department of Construction Management and Quantity Surveying, University of Johannesburg,
Johannesburg, South Africa

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 97

J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_7
98 O. Akinradewo et al.

the idea of the errand and materials utilized fluctuate consistently [9]. The presen-
tation of robots in India’s development area will work on the industry and give a
solution for its shortcomings, like sluggish speed, slow specialist efficiency, and
low well-being and quality. The construction site will turn out to be more financially
savvy and cutthroat thus. India has a logical outlook and however needs the utilization
of robots; yet, there is a negligible exploration of robots in the Indian construction
industry [14].
Construction automation and robots are most generally utilized in the creation
of cement footers, segments, and blocks. Lasers (for ensuring quality and checking
aspects), substantial blenders, cutting and boring mechanized gear, and different
advances are utilized in the assembling of construction components [9]. Pre-
assembled parts are utilized on the grounds that they are fabricated under severe
management and in a controlled climate to stay away from temperature variances
that could affect item quality. At long last, assuming that only a tad measure of work
is important, the last work is finished nearby. As indicated by Mahbub [20], research
endeavours in the construction area in the fields of mechanization and advanced
mechanics are arranged into two expansive divisions in light of utilizations: civil
infrastructure and building. This research will therefore seek to assess the barriers
to the adoption of robot-assisted construction operations in the South African built
environment. This is with the aim to provide a reference point for practitioners, poli-
cymakers, and researchers in identifying and prioritizing the most critical barriers
that need to be addressed for successful implementation of automation and robotics
in the South African built environment.

2 Adoption of Robots in the Construction Industry

The construction output in some developing countries has grown particularly fast
in the recent years, so much so that the growth is often more than the growth rate
of the economy, as these countries put their infrastructure in place during the early
stages of development [2]. Other countries double their construction outputs and
development, therefore creating a rapidly developing industry that needs efficient
and innovative solutions to increase the production and quality of work [26]. In many
of these industrialized countries, prefabricated components are now manufactured in
workshops and erected on site instead of using the conventional building methods due
to the fast rise of infrastructure and development in these countries [21]. Construction
robots are still being explored in the majority of the world’s construction industry,
and just a few useful construction robots have been built and put to service [16].
To address issues facing the sector, such as diminishing productivity and quality,
as well as onsite accidents, more automation and robotics must be used [26]. The
first single-task construction robots for use in real-world applications were created
in Japan by the country’s largest construction company, Shimizu, and tested in the
market [5]. Major advancements in the sector have been made in recent years as
new technical advances are gradually being adopted. The adoption of construction
Barriers to the Adoption of Robot-Assisted Construction Approach … 99

automation and robotics would be beneficial to construction industries by increasing

production, reducing construction duration, improving quality, lower risks of injuries
and fatalities and reducing labour and production costs [1, 5].
Robotics and automation have been adopted slowly in the construction sector,
which is a challenge that affects many sectors of the global construction industry,
including the South African construction industry. The using of bricklaying robots in
the South African construction industry determined the desire and preparedness of
construction organizations to embrace this robot as a step in automating their work
processes in order to better understand the underlying causes behind this low adop-
tion of automation and robotic technology [13]. By shifting and reassigning labour
that was previously done by people to robots, construction robotics helps businesses
achieve improved quality while using less resources and less time. [26] work demon-
strates that construction robots are self-regulating process by deploying computer-
ized machines to do various building duties. Construction automated machines are
created and built to work in accordance with a software that controls the behaviour
of the machine and ensures efficiency at all times without causing any risk to humans
operating or working nearby.

2.1 Barriers to the Adoption of Robot-Assisted Construction

Operation in the Construction Industry

Automation and robots have been widely adopted by many sectors, but not to the
same extent in the construction industry. A crucial worldwide sector, construction
must solve challenges with productivity, safety, quality, and profitability. On all of
these fronts, automation and robots have the potential to make a significant difference,
increasing the effectiveness and performance of construction projects. For instance
[32], highlighted four main causes for the poor success of robotic adoption in building
construction: inadequate development, inappropriate building design, insufficient
economic rationale, and management hurdles. Despite the potential for increased
productivity, there are several implementation problems. This study seeks to pinpoint
some of the major obstacles to the construction industry’s use of automation and
robots.
One of the obstacles to the application of construction robotics is the high cost of
obtaining and maintaining the technology [21]. The high cost of implementing tech-
nology in building robots, especially automation technologies which are so expensive
[23]. The expense of purchasing and implementing new technologies means that only
businesses with strong market rivalry and high turnover can afford them [29]. Addi-
tionally, the automation systems require updating and maintenance, and most of
them are expensive [23]. Because a specialized professional is required to perform
the maintenance work, new robotics equipment often has higher maintenance costs.
Construction robotics are difficult to employ since they are expensive, and only big
companies with strong market rivalry and turnover can afford them [29]. Because
100 O. Akinradewo et al.

every building process is distinct in its own way and because the same technolo-
gies are not suited in every situation, medium-sized and small-sized businesses have
limited resources available to them to embrace these technologies. Compared with
small and medium businesses, large enterprises have adequate investment capital to
implement new technology [26].
Another identified barrier is incompatibility of the technology with present
building methods and practices [20, 21]. Due to the unstable and unpredictable
nature of the construction environment, workers choose the older, tested solution
over newer methods and technology [12]. According to Koskela [18], each project
results in a distinctive building and is viewed more as a prototype than a finished
product. Kirchberger and Pohl [17] further claimed that for items to be sold to be
valuable to society and profitable for the corporation, technology must be included
in them. However, research done in the context of developing nations [3, 7, 31]
focuses on the transfer of information and skills, building methods, organizational
know-how, and management systems on a national level. The backlog is caused by
the technology’ incompatibility with present building methods and practices. Due
to the volatile and unpredictable nature of the construction environment, workers
choose the former and tested answer over novel ways and technology.
The project process, whether it uses traditional or new building methods, has a
fragmentation problem [24]. The construction business is fragmented, which prevents
innovative technology from being adopted [21]. Because of the complex nature of
the construction work processes, the creation of construction robots is technically
challenging to perform tasks in construction, where strong, adaptable, mobile, and
versatile robots are required. Due to the nature of the construction work processes
itself and the necessity for durable, agile, highly mobile, and versatile robots, the
field of construction is technologically challenging [20].
Due to the complexity of the programme, technologies are difficult to use and
comprehend. For construction sector personnel who tend to have less education,
the high level of intricacy of the robot control system becomes a more difficult
component of their jobs [2]. Robotics technologies are challenging to use in the
construction sector because they are complex to regulate, particularly during the
programming process. Due to the complexity of the programme, technologies are
difficult to use and comprehend [20]. Construction workers, who tend to be less-
educated employees, face greater obstacles as a result of the high sophistication of
the robot control system. Robotics technologies are complex to manage, particularly
the programming process, and introducing them into the construction industry is
quite challenging [4].
Workers in workplaces do not readily adopt new technologies. Active labour
unions in various nations view this technology as a means of replacing employees
[20]. This demonstrates that in order to achieve the desired outcomes, the integration
of robots into the building must have the full support of both the workforce and
management at all levels [12]. For instance, in Australia, any effort to deploy robots on
a construction site must be predicated on a three-way agreement between the workers,
management, and the union, with the building union representative having to be
persuaded that using robots in construction won’t endanger their jobs [20]. According
Barriers to the Adoption of Robot-Assisted Construction Approach … 101

Table 1 Identified barriers from reviewed literature

Barriers to the adoption of robot-assisted construction operations Source(s)
High cost to maintain Mahbub [22]
Expensive to implement Mistri and Rathod [23]
Incompatibility of the technology Mahbub [22]
Construction technological challenges Mahbub [22]
Fragmentation problems Nawi et al. [25]
Complex of technology Balaguer and Abderrahim [4]
Technological usability Mahbub [22]
Poor success of robotic adoption Yahya et al. [32]
Affordable to business with high turnover Sadique and Mahesh [29]
Challenges faced by less-educated employees Balaguer and Abderrahim [4]
Readiness of employees to adopt to technology Mahbub [22]
Educating staff have a negative impact on financial result Fellows et al. [10]
High risk of job loss caused by technology Robison [28]
Time-consuming to educate staff about robotic equipment Kumar [19]

to the Economic Planning Unit [8], 93% in the construction industry are low-skilled
migrant labourers. So that retraining of construction employees becomes required
to upgrade skills for a semi-skilled worker or through seminars and workshops to
enhance awareness of the technologies in the sector and on the jobsite [23]. Educating
staff on how to use the new robotic equipment will be a time-consuming and expensive
process that will have a negative impact on financial results [10]. The contractor
must spend significantly on employee education and training in order to prepare the
workforce for using the robots [19].
Table 1 gives the identified barriers to the adoption of robot-assisted construction
operations from the reviewed literature with the relevant sources.

3 Research Methodology

The quantitative strategy accompanied by a literature review is the picked method

for this research to accomplish the study goals. The quantitative research approach
was used because of the nature of this study. Based on the literature study, a well-
structured questionnaire was created because it is quick, allows for broad geographic
coverage, and gives respondents enough time to double-check facts and provide
correct responses [15]. The research was conducted in the city of Johannesburg
municipality, Gauteng, South Africa and the targeted respondent will be professionals
in the South African industry. The respondents for this study were construction
industry experts in the Gauteng Province of South Africa. Construction managers,
102 O. Akinradewo et al.

quantity surveyors, architects, and project managers are among the responses. Profes-
sionals were selected using a purposeful sampling strategy to guarantee that they have
sufficient expertise in construction automation and robotics [26]. A well-drafted
questionnaire was used to achieve the aim of the research. In accordance with the
explanation given by Fellow et al. [11], the use of questionnaire is the application of
numerical constants to collect primary data from identified respondents. Since the
respondents of this study are professionals in the construction industry, primary data
was collected from them, hence justifying the reason behind the research instrument
employed in the study. Retrieved data was analyzed using descriptive analysis such
as mean item score, standard deviation and normalized mean value. The Cronbach
alpha was employed to determine the reliability of the data collection instrument and
the result revealed an alpha value of 0.899 which indicates a strong reliability as the
value is above the 0.7 threshold.

4 Findings and Discussion

4.1 Respondents’ Background Information

Based on the results of the analysis, the most common qualification among respon-
dents was Bachelor’s Degree (50.79%), followed by Honour’s Degree (33.33%),
Master’s Degree (6.35%), Diploma (4.76%), and Matric (4.76%). Among the partic-
ipants, 38.10% were civil engineers, 23.81% were quantity surveyors, 19.05% were
construction managers, 11.11% were in other professions, 4.76% were mechanical
engineers, 1.50% were architects, and 1.59% were construction managers. In terms
of work experience, 40.79% had 1–5 years of experience, 1.59% had 10–15 years
of experience, 4.76% had 5–10 years of experience, 39.68% had less than 1 year
of experience, and 3.17% had more than 20 years of experience in the construction
industry. The data presented above provides insights into the qualifications and work
experience of the respondents in the construction industry. The implication of the
data is that the majority of the respondents hold Bachelor’s and Honour’s Degrees,
indicating a relatively high level of formal education among the participants. Addi-
tionally, the data shows that civil engineers, quantity surveyors, and construction
managers are the most common professions among the respondents. In terms of
work experience, a significant percentage of the respondents have 1–5 years of expe-
rience, while a smaller percentage have more extensive experience ranging from 5
to 10 years, 10 to 15 years, and over 20 years. This suggests a mix of experienced
professionals and those with limited experience in the construction industry. Hence,
their opinion can be relied upon for this study.
Barriers to the Adoption of Robot-Assisted Construction Approach … 103

4.2 Descriptive Analysis Result

Table 2 presents descriptive analysis results for identified barriers related to robot-
assisted construction. The mean item score (MIS) is used as a measure of the average
rating given by respondents for each barrier, with a higher score indicating a higher
level of perceived barrier. Standard deviation (SD) is used as a measure of the vari-
ability or dispersion in the responses. NMV represents the normalized value of MIS.
The higher the NMV, the higher the perceived significance of the barrier. Rank indi-
cates the ranking of each barrier based on its MIS and NMV value. From the table, it
can be observed that the top three perceived barriers are: (1) Risk of job loss caused
by technology, (2) High costs of acquiring technology, and (3) High costs of main-
taining technology, with NMV values of 1.00, 0.79, and 0.68 respectively. Other
barriers with relatively high NMV values and ranking lower on the list include resis-
tance to implementation of technology by workers, high cost of training workers,
lack of capital required to implement technology, and the need for constant power
supply. On the other hand, barriers such as difficult to acquire technologies due to
unavailability, difficult to operate and not easy to understand technology, have NMV
values of 0.00, indicating that they are perceived as less significant barriers.
The adoption of robot-assisted construction approaches in the South African built
environment is hindered by several identified barriers as given in Table 2. Firstly,
there is a risk of job loss caused by technology, as workers in the construction
industry may fear that robots and automation technologies could replace human
labour, leading to reduced employment opportunities and impacting their livelihoods
[2]. This fear of job loss can create resistance and reluctance towards adopting robot-
assisted construction approaches. Secondly, the high costs associated with acquiring
and maintaining robot-assisted construction technologies pose significant barriers.
The upfront costs of purchasing, installing, and integrating these technologies into
existing construction processes can be prohibitive, especially for smaller construc-
tion companies or contractors with limited financial resources [20]. Additionally, the
ongoing costs of maintenance, upgrades, and repairs can add to the overall cost of
adopting and implementing robot-assisted construction approaches, making it finan-
cially challenging for construction companies to sustain such technologies in the
long term [2]. Thirdly, resistance to the implementation of technology by workers is
another barrier to the adoption of robot-assisted construction approaches. Workers
may be resistant to change, especially if they perceive that these technologies could
potentially replace their jobs or require them to acquire new skills [21]. This resistance
can hinder the successful implementation and adoption of robot-assisted construction
approaches if workers are not supportive or unwilling to work with the new technolo-
gies. Furthermore, the high costs of training workers to use and operate robot-assisted
construction technologies can be a significant barrier. Training programmes may be
required to familiarize workers with the new technologies, teach them how to operate
and maintain them, and ensure they can work effectively with the technologies [32].
However, the costs associated with training workers can be prohibitive, particularly
for smaller construction companies or contractors with limited training budgets.
104 O. Akinradewo et al.

Table 2 Descriptive analysis result for the identified barriers

Barriers MIS Standard deviation (SD) NMV Rank
Risk of job loss caused by technology 4.51 0.982 1.00 1
High costs of acquiring technology 4.30 1.042 0.79 2
High costs of maintaining technology 4.19 0.965 0.68 3
Resistance to implementation of 4.02 1.070 0.51 4
technology by workers
High cost of training workers 3.95 0.974 0.44 5
Lack of capital required to implement 3.86 1.060 0.35 6
technology
They need constant power 3.86 1.229 0.35 7
High cost to update technology 3.76 0.995 0.25 8
Lack of knowledge on how to operate 3.71 1.197 0.20 9
technology
Causes construction technology 3.67 1.000 0.16 10
fragment
Inadequate compatibility of 3.65 1.080 0.14 11
technologies with current practices
Difficult to understand technology 3.62 1.142 0.11 12
Time-consuming to educate 3.60 1.040 0.09 13
employees
Difficult to acquire technologies due 3.54 1.242 0.00 14
to unavailability
Difficult to operate and not easy to 3.51 1.203 0.00 15
understand technology

In addition, the lack of capital or financial resources required to implement robot-

assisted construction technologies is another barrier. Implementing these technolo-
gies may require significant upfront investments in terms of purchasing equipment,
software, and other infrastructure [23]. The lack of capital can pose a challenge
for construction companies, particularly smaller ones, in adopting and integrating
robot-assisted construction approaches into their operations. Moreover, the need for a
constant and reliable power supply is another barrier to the adoption of robot-assisted
construction approaches. These technologies may rely on electricity to function, and
the availability of a stable power supply may be essential for their proper operation
[12]. However, in regions where there are issues with power outages or unreliable
electricity supply, the need for constant power can be a significant hindrance to
the adoption of robot-assisted construction approaches. Another barrier is the high
cost of updating or upgrading robot-assisted construction technologies over time.
Technology is constantly evolving, and updates or upgrades may be required to
ensure that the technologies remain effective, efficient, and compatible with changing
industry standards [28]. The high costs of updating technology can be a challenge for
construction companies, particularly if they lack the necessary financial resources
Barriers to the Adoption of Robot-Assisted Construction Approach … 105

to keep up with the rapid pace of technological advancements. Furthermore, the

lack of knowledge or skills among construction workers on how to operate and
work with robot-assisted construction technologies is another barrier. Workers may
require training or education to understand how to use these technologies effec-
tively [2]. The lack of knowledge or skills can hinder the adoption of robot-assisted
construction approaches, as workers may feel ill-equipped or unprepared to work
with these technologies. Lastly, the potential fragmentation or incompatibility of
different construction technologies can also pose a barrier to the adoption of robot-
assisted construction approaches. If different technologies used in construction are
not compatible or do not integrate well with each other, it can create challenges in
implementing a cohesive and unified robot-assisted construction approach [32].
The data was further subjected to clustering process having examined their inter-
relatedness and the result presented three clusters which are indicated thus. Cluster
1: Barriers related to cost and financial resources. This cluster includes barriers that
are primarily associated with the costs and financial resources required for the adop-
tion of robot-assisted construction approach. These barriers include high costs of
acquiring technology, high costs of maintaining technology, high cost of training
workers, lack of capital required to implement technology, high cost to update tech-
nology, and difficulty in acquiring technologies due to unavailability. These barriers
highlight the financial challenges that may hinder the adoption of robot-assisted
construction approach in the South African built environment. The costs associated
with technology acquisition, maintenance, and training of workers, as well as the
availability of capital for implementation and updates, may be perceived as barriers
by construction stakeholders, especially smaller firms or those with limited finan-
cial resources. These barriers may require careful financial planning and investment
strategies to overcome and ensure successful adoption of robot-assisted construction
approach.
Cluster 2: Barriers related to human factors and knowledge/skill. This cluster
includes barriers that are related to human factors and knowledge/skill require-
ments. These barriers include the risk of job loss caused by technology, resistance
to implementation of technology by workers, lack of knowledge on how to operate
technology, difficulty in understanding technology, and time-consuming nature of
educating employees. These barriers highlight the importance of addressing the
human aspect of technology adoption in the construction industry. Resistance from
workers, concerns about job loss, and lack of knowledge or skills to operate and under-
stand the technology may hinder the successful implementation of robot-assisted
construction approach. Overcoming these barriers may require effective change
management strategies, comprehensive training programmes, and communication
efforts to ensure the acceptance and readiness of workers towards the adoption of
robot-assisted construction approach.
Cluster 3: Barriers related to technology compatibility and power supply. This
cluster includes barriers that are related to technology compatibility and power
supply. These barriers include causes of construction technology fragmentation,
inadequate compatibility of technologies with current practices, and the need for
constant power to operate the technology. These barriers highlight the challenges
106 O. Akinradewo et al.

associated with the compatibility of technology with existing construction prac-

tices and the availability of reliable power supply. Construction stakeholders may
face challenges in integrating new technologies into their current processes, which
may result in fragmentation and incompatibility. Additionally, the requirement of
constant power supply for the operation of technology may be a concern in certain
regions or construction sites with inconsistent or limited power supply. Addressing
these barriers may require thorough assessment of technology compatibility, identi-
fication of power supply solutions, and modification of existing practices to ensure
smooth integration of robot-assisted construction approach into the South African
built environment.

5 Conclusion and Recommendation

This research aimed to identify and evaluate the barriers to the adoption of robot-
assisted construction operations in the South African built environment. The quan-
titative research approach was employed, and data was collected through a well-
structured questionnaire administered to construction of industry professionals in
Gauteng Province, South Africa. The findings revealed the top three perceived
barriers to be the risk of job loss caused by technology, high costs of acquiring
technology, and high costs of maintaining technology. Other barriers such as resis-
tance to implementation of technology by workers, high cost of training workers,
lack of capital required to implement technology, and the need for constant power
supply were also identified. The barriers were also clustered into three which are
barriers related to cost and financial resources; barriers related to human factors
and knowledge/skill; and barriers related to technology compatibility and power
supply. Based on the findings, several recommendations can be made to address the
identified barriers to the adoption of robot-assisted construction operations in the
South African built environment. Firstly, stakeholders in the construction industry,
including government, construction companies, and technology providers should
work together to create awareness and educate workers about the benefits of construc-
tion automation and robotics. This could include training programmes and work-
shops to familiarize workers with the technology and alleviate concerns about job
loss. Secondly, efforts should be made to address the high costs of acquiring and
maintaining technology. This could involve exploring options for financing or subsi-
dizing the costs, promoting local manufacturing of construction automation and
robotics technologies to reduce import costs, and incentivizing companies to invest
in these technologies through tax breaks or other financial incentives. Thirdly, strate-
gies should be developed to address the resistance to implementation of technology
by workers. This could involve involving workers in the decision-making process
and providing opportunities for them to contribute ideas and feedback, as well as
addressing any concerns or misconceptions they may have about the technology.
Additionally, training programmes should be developed to provide workers with
Barriers to the Adoption of Robot-Assisted Construction Approach … 107

the necessary skills to operate and maintain the technology, and these programmes
should be affordable and accessible to ensure widespread adoption.
While this research provides insights into the barriers to the adoption of robot-
assisted construction operations in the South African built environment, there are
several areas for future research that could further enhance our understanding of
this topic. Future research could be conducted to understand the perceptions and
attitudes of workers towards construction automation and robotics, including their
concerns, fears, and expectations, and how these perceptions may influence their will-
ingness to adopt and embrace these technologies. In conclusion, this research has shed
light on the barriers to the adoption of robot-assisted construction operations in the
South African built environment and provided recommendations for addressing these
barriers. Further research in the areas outlined above could contribute to the devel-
opment of effective strategies for promoting the adoption of construction automa-
tion and robotics in the South African construction industry, leading to improved
productivity, quality, and safety in the construction processes.
Author Contributions Opeoluwa Akinradewo contributes to conceptualization, methodology,
validation, analysis, investigation, data collection, draft preparation, manuscript editing, visual-
ization, supervision, and project administration. Clinton Aigbavboa contributes to supervision and
project administration. Mfundo Gwebu contributes to conceptualization, methodology, software,
validation, analysis, investigation, data collection, draft preparation, manuscript editing, visual-
ization, supervision, project administration, and funding acquisition. Seyi Stephen contributes to
methodology, analysis, draft preparation, manuscript editing, and visualization. All authors have
read and agreed with the manuscript before its submission and publication.
Funding This research received no specific financial support from any funding agency.

Ethics Statement Not applicable.

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Accessibility to the Built Environment
for Mobility-Impaired Persons: A Review

Margaret Stefanitsis, Claire Flemmer, Eziaku Rasheed,

and Naseem Ameer Ali

1 Introduction

Disabled persons are developing “from invisible citizens to agents of change”,

explained [16], but their journey towards their ultimate goal, equal rights with
able-bodied people, is very long. This is particularly obvious with accessibility to
the built environment (BE). One reason is that buildings are principally designed
by non-impaired architects and constructed by able-bodied builders. For mobility-
impaired persons, there is often great apprehension when approaching a building for
the first time as to whether they can access it. However, now a greater effort is being
made by governments to understand the needs of the mobility-impaired community
due mainly to the advocacy of disability organisations and their members. Never-
theless, it is almost impossible for able-bodied people to envisage being mobility-
impaired, which creates a gap between what disabled people need and what designers
and lawmakers perceive is required. Furthermore, in 1998, Imrie and Kumar found
regulatory controls which oversee disabled people’s access were weak.
Generalising all people with disabilities in a population is common, whereas each
impairment is distinct and has its own needs. People with mobility impairments
use wheelchairs, mobility scooters, canes walkers, and other mobility assistance
methods. They try to overcome their confining restrictions personally only to be
challenged by the attitude of others and architectural barriers in the urban envi-
ronment, according to Lid and Solvang [33]. As Green [25] pointed out, not all
buildings are intentionally inaccessible, many are so, due to a lack of understanding
of the mobility-impaired needs. Understanding the range of needs to be considered
in accessible buildings can take time and effort. For example, a building which meets
the legal existing standards may be inaccessible because mobility scooters cannot

M. Stefanitsis (B) · C. Flemmer · E. Rasheed · N. A. Ali

School of Built Environment, Massey University, Palmerston North, New Zealand
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 111
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_8
112 M. Stefanitsis et al.

manoeuvre within the space allowed by those standards [20]. Jackson and Laws
believe builders do not understand the differential needs of persons with disabilities.

1.1 A Short History of Disability in New Zealand

and Internationally

Historically many disabled persons suffered harsh discrimination. In early New

Zealand settlement, Pakeha viewed disability as an individual flaw, whereas Māori
saw it as part of human diversity. Only families and charitable aid provided support
[30]. Reference [37] referred to the 1899 Immigration Restriction Act, which prohib-
ited immigrants deemed a burden and sought to deter disabled people. Because of this,
the BE developed without considering the needs of the disabled [22]. When World
War I wounded and disabled soldiers returned, they challenged this cruel theory of
eugenics. However, Sullivan and Stace [45] found that little changed until World War
II ended, and the Rehabilitation League was established. Finally, for the first time,
the nation had to change for disabled people, not vice versa. Despite this view, the
Accessibility for New Zealanders Act (ANZA), which was recently announced as a
law ensuring accessibility to the BE for the mobility-impaired, has fallen far short
of what the New Zealand disability community expected. It states, in s.3, that its
purpose “is to accelerate progress towards a fully accessible New Zealand”. To that
end, s.2 of the ANZA establishes the Accessibility Committee to:
(a) Identify accessibility barriers in New Zealand society;
(b) Progressively work towards preventing and removing accessibility barriers in
New Zealand society; and
(c) Progressively work towards growing accessibility practices across New Zealand.
It is, however, a great disappointment to the disabled community as it appears
only to provide for the establishment of an advisory committee.

1.2 The Progress Made Internationally

The situation in the U.K. was similar to that in New Zealand; people who were not
cared for by family, charities, or medical professionals in institutions simply had to
look after themselves [7]. However, things also began to change there with the return
of soldiers from the wars, particularly World Wars I and II. This led to the passing of
the Disabled Persons Employment Act on 1 March 1944 [36]. This Act introduced
compulsory hiring of disabled people, as well as granting power to the relevant
ministry to appoint certain employment fields only to be open to disabled people.
Although this would be labelled discrimination today, it opened up new avenues and
opportunities for disabled persons.
Accessibility to the Built Environment for Mobility-Impaired Persons … 113

For disabled persons internationally, the progress to emancipation has equalled

this struggle. Moyn [40] suggested that human rights were not recognised as grounds
for justice until after 1968. People thought of human rights as protection for all people
endorsed by the force of international law. Nevertheless, without the United Nations,
the forward-thinking Declaration of Human Rights would not have been adopted.
Arguments and counterarguments were set forth, often due to the perspective of
human rights by the various nations, mainly the Soviet Union [35]. After much
debate, the discussions led to the Declaration’s final form. Elston [19] noted that
it had become more than was claimed when it was finally adopted by the General
Assembly of the United Nations in December of 1948. Nevertheless, fifty years after
the drafting of the Declaration, political scientists seemed to have no interest in inter-
national human rights, and only a few published articles made passing mention of
them [23]. The human rights interest did not revive until the adoption of the Conven-
tion on the Rights of Persons with Disabilities (CRPD). The CRPD is an international
treaty of the United Nations, which came into force on 03 May 2008, and is ratified
by 185 countries, “but not the United States”, Kanter [31] points out. The 50 articles
of the treaty are recognised as the definitive global standards to which all who have
ratified them strive to attain. Early endeavours to persuade the General Assembly that
a convention concentrating on people with disabilities should be drafted were unsuc-
cessful for decades [15]. However, continual persistence by the global disability
population demanding that disability issues become mainstreamed led to interest
from other human rights organisations such as Amnesty International and Human
Rights Watch although both remained at arm’s length with their support [34]. At last,
after persistent pressure from the disability community, a committee was set up for
a meeting to examine the recommendations for a convention. This was scheduled
to meet for the first time in July 2002. All member states were invited. Disabled
persons’ organisations from all around the world sent representatives, however, right
from the first day, it was obvious there was no clear mandate. The Government of
Mexico had been pushing for the General Assembly to “develop a human rights
convention in relation to persons with disabilities” since 2001, according to Kayess
and French [32]. Eventually, Mexico was successful, encouraging other delegates
“ready or not” to begin negotiations for a convention. After much debate, and with
only minutes until the meeting ended, the Committee agreed to Disability Negotia-
tions Bulletin Vol. 2 No. 6, 23 June (2003). At last, these groups and governments
were “sitting at the same table” negotiating a text which would be legally binding
[16]. Graham et al. [24] reported that after five years of negotiations, the CRPD was
adopted by the United Nations in 2006. One significant problem is the complaints-
based enforcement system of the CRPD. Elmas [18] explains that the main challenge
is that enforcement decisions are made by a committee which is comprised of various
state members. He suggests that these committees may impose the will of their own
jurisdictions which may weaken the strength of these decisions. If Article 2 of the
CRPD could be changed to an enforcement policy backed by the strength of interna-
tional law through the International Court of Justices, which is the principal judicial
organ of the United Nations, it may strengthen the enforcement power. However, the
114 M. Stefanitsis et al.

effectiveness of that court is questionable and has been under scrutiny over the years
[29].

1.3 The Focus of the Study

This research will examine two aspects of (in)accessibility to the built environment,
namely from a compassionate point of view and a legal vantage. For many mobility-
impaired, life is a struggle. They often cannot get employment which means they
are restricted to living on a benefit which reduces their quality of life. For able-
bodied people who make an effort to achieve it, a reasonable standard of living can
generally be enjoyed. The law, which is meant to provide accessibility for all, some-
times discriminates against those it is meant to benefit because of the inability of
able-bodied people to empathise with the mobility-impaired. Designers and builders
seek to cut corners when constructing buildings, which may prevent someone with
a disability from accessing the building. It may be a simple matter of putting a few
steps in a place where a ramp is needed. This review discusses chronicled experi-
ences of mobility-impaired people and correlates their needs with existing attitudes
and current law. Principally, it assesses the ANZA legislation, which is currently
progressing through the New Zealand parliament, as to its commensurate ability to
meet these needs. This bill is to be reported back to parliament on 22 June 2023 and
hopefully will progress to its second reading at that time.

2 Method

A content analysis of literature was undertaken, many of which were academic papers
written during the last 10 years, comprising information pertaining to accessibility,
universal design, mobility impairment, and the built environment. For inclusion in
this review, the researchers sought literature that focussed on both accessibility
and mobility impairment. Thus, an article which addressed accessibility without
referring to disability impairment was not deemed suitable. However, a consider-
ation of one or the other in articles about universal design in the built environ-
ment were included in the review. Book chapters were often found not applicable,
so most were excluded. The review includes analysis of comparative international
law and their applicable standard regulations. Finally, government statistical reports
were reviewed with very sparse disappointing results, as mobility-impaired disabled
persons were rarely included in census enumeration. The review was restricted only
to English-written articles.
Accessibility to the Built Environment for Mobility-Impaired Persons … 115

3 Results and Discussion

The results of researching accessibility for the mobility-impaired to the BE from the
two distinct areas, namely the legal aspects, which mandates the rules that designers
and building practitioners must meet when constructing the built environment and
the practical or functional aspects, which give the mobility-impaired an increased
quality of life are presented in this section.

3.1 The Law on Accessibility in the Built Environment, New

Zealand

In New Zealand, three documents guide the design of buildings—the Building Act
2004 (also known as the Act), the Building Regulations 1992 (generally referred to
as the Building Code and abbreviated as ‘BC’) and the New Zealand Standard NZS
4121:2001. These must be complied with for all building consents.
The Act is the primary legislation governing the New Zealand building industry.
It establishes the rules that all construction in New Zealand must meet. This research
concentrates on accessibility to the built environment for mobility-impaired persons
and the rules found in s.117 to s.120 of the Act. The Act lists the types of buildings
which must be accessible in schedule two of section 118(2).
The secondary legislation is the Building Code (BC) which lies directly beneath
the Act. The BC details the minimum requirements for buildings to meet by setting
performance standards. Being performance-based, the BC does not outline how the
buildings must be built but rather how they must perform. The building owner is
legally bound only to meet the requirements of the BC.
The third document, New Zealand Standard NZS 4121:2001 on Design for Access
and Mobility—buildings and associated facilities provides solutions to various
construction features that comply with the performance criteria in section 118(2)
of the Building Act.
The issue with these laws is the lack of “enforcement” and loose expectations
in the regulations. For example, within the Act are the regulations, which contain
prescriptive forms and detailed systems. They define things such as “nearly as is
reasonably practicable” in s.115 (a) and (b) of the Act, which are not actions of
Parliament but made under the delegated authority of an Act.
These regulations often cause significant problems to consenting authorities (such
as council building inspectors) in issuing a building consent, as they must accept
evidence of compliance if the Building Code is met. NZS 4121 allows designers and
builders to use either verification methods or acceptable solutions that are possibly
admissible “as nearly as is reasonably practicable”, also mentioned in s. 112 (1) of
the Act. This allows some designers and architects to meet these demands in many
original and ingenious ways.
116 M. Stefanitsis et al.

Cox et al. [14] brought to light a common problem today, namely that “many
private dwellings now function as businesses”. For instance, many day care centres,
boutique stores, and even medical and dental surgeries in New Zealand are set up
in residential structures. These conversions, often termed refurbishments, are not
mentioned in the Building Act 2004 and allow designers and building owners to
escape the need to meet the code and the accessibility standards. Researchers have
suggested the favoured choice for owners would be to select a dwelling that only
needed minor or nil changes to allow disability access. This would cost less, comply
with the NZS 4121 standard, and avoid using language to circumnavigate the legal
requirement. Such a strategy would comply with the law and cost less to retrofit.
It can be said that the accessibility for New Zealanders Act is more an Act for the
purpose of setting up a committee and less for the purpose of designing buildings for
accessibility. The 27 sections of the Act are devoted to the committee’s establishment,
membership, powers (which are only advisory), functions “and other matters”. When
the legislation was announced, it raised expectations of improved accessibility within
the disability community. The Access Alliance (AA), a disability organisation, has
been tirelessly campaigning against the legislation in its present form and suggested
that legislation with a name such as ANZA should have, as a minimum, the following
key principles (Access [1]):
(1) It applies to all; and
(2) It sets a timeline; and
(3) It sets the bar; and
(4) It provides accessibility in all areas of life; and
(5) It sets policy; and
(6) It champions access to all goods, services, and facilities; and
(7) It champions accessible workplaces, employment, education, and government
agencies; and
(8) It will charge government with the responsibility to lead, educate, train, inform
and review; and
(9) It is enforceable; and
(10) It is made real through regulations; and
(11) It will ensure public funds are not used to create or perpetuate obstacles to full
accessibility in all areas of life; and
(12) It is a lens through which to vet legislation; and
(13) It has real force and real effect.
These principles are a very acceptable starting point for an Act given the name
“Accessibility for New Zealanders Act”. As suggested above, any law which proposes
change for a segment of a community should state to whom it applies. A timeline
must be given; otherwise, it has little value. It is stated that the bill will come into
force on 1 July 2024, if not earlier, but that deadline is for the establishment of a
committee focused on making recommendations to the Minister for Disability Issues
on how to address accessibility barriers. This seems to be its ultimate goal, as the
committee will only have advisory powers.
Accessibility to the Built Environment for Mobility-Impaired Persons … 117

Also, accessibility legislation must clarify which of the parties are obligated to
meet its requirements. It must state what areas, such as employment, education,
and justice (to name a few) will be subject to its sanctions. It must also define
whether the government is subject to this law and its obligation in that respect. All
sections of ANZA must be enforceable, as should any standards which apply to it.
The regulations must clearly define the complete compliance steps within the ANZA
and have a definitive review period.
The 11th AA principle may be a difficult section to enforce. It will need to be
carefully worded because many government departments funded by public money
will be obligated parties under this law. Principle 12 is another critical section in
that many existing applicable international laws are not updated when new ones are
enacted, leaving them open to grounds for dispute. Principle 13 may be superfluous
because if all other principles are covered, this one will be incorporated in them.

3.2 An Insight into International Laws on Accessibility

in the Built Environment

Although internationally there is law which intends to protect persons with disability,
there is very little law that relates specifically to accessibility. This is discussed below,
using the USA and the UK as examples.

3.2.1 The Americans with Disabilities (ADA) Amendment Act of 2008,

USA

In the USA, the ADA Amendment Act of 2008 is an update on the Americans with
Disabilities Act of 1990. It is very long and complex, with many cross-references
supported by the 2010 ADA standards for accessible design. The standards are
enforceable and interspersed throughout the ADA, but with the innumerable cross-
references, the law is very difficult to follow. Aldousari et al. [3] pinpointed the main
problem with the performance of the 1991 ADA legislation (which had been updated)
is that it is underpinned by poor intersectional coordination and inadequacy of capac-
ities. Moreover, it is divided into three sections (called ‘titles’) whose emphasis is
concentrated on the non-discrimination of disabled people, rather than accessibility.
Title I centres exclusively on non-discrimination in employment. Title II—Public
Services s.201 defines a person who must not be discriminated against as a “qualified
individual” and details a complex list of requirements which must be met in order to
qualify. Accessibility is first addressed in s.228 (2) (A) of this Act when it states that
railway stations “shall be made readily accessible to and usable by individuals with
disabilities”. Section 242 (3) deals with single-level coaches, which are required in
(D) (A) “to have a restroom which is usable by a person in a wheelchair and can be
entered from the station platform”. The only exception allowed is in s.242 II due to
118 M. Stefanitsis et al.

“extraordinarily expensive structural changes being needed”. Section 245 relates to

rail cars which also must be accessible on condition that they are not inconsistent with
this section. Title III—Public Accommodations and Services operated by Private
Entities follows and commences at s.301. Accessibility, as it applies to mobility-
impaired persons, is first found in s.305 in reference to accessibility to buses, cars,
and services but refers back to s.304 and forward to s.306. It then leaps to s.506,
where it discusses the related standards, the 2010 ADA Standards for Accessible
Design. These standards are enforceable if the structure was built after 26 January
1992, according to s.35.151 (a).

3.2.2 The Equality Act (EA), United Kingdom

The Equality Act [21] in the United Kingdom requires everyone, including the
government, to consider “reducing socio-economic inequalities” whenever cardinal
decisions are made [26]. The intent is that this will reduce discrimination and harass-
ment and increase equal opportunity for all, however this law is also complex and does
not flow which would be conducive to following and understanding. Accessibility is
first voiced in s.88, which directs the reader to schedule 10, where a comprehensive
set of rules that provide accessibility for disabled children are detailed. Accessi-
bility is next addressed in s.160 for the Secretary of State to make a regulation that
ensures disabled people, as well as those who need wheelchairs, are able to enter,
travel, and exit taxis safely with reasonable comfort. Gaining a taxi licence is condi-
tional on these requirements in s.163, while s.164 provides the exemptions if the
authority is satisfied that s.163 should not apply. A mobility-impaired person may
have a dog with them in a private hire vehicle under s.173 (c) if the requirements
of the EA are met. A public service vehicle may not be used on a road unless it
has an “accessibility certificate” s.176 (1). Rail vehicles must comply with similar
requirements as road vehicles, as detailed in s.182 to s.186. Only two exemptions to
the EA apply to rail vehicles in s.183. (1) to (7). Nevertheless, 115 exceptions are
referred to throughout the EA, and these are explicit and detailed so that they may
encourage frivolous attempts to justify non-compliance and circumnavigate the law.
The BS 8300-2:2018 standards also support accessibility to the built environment,
but are not linked to the Equality Act.

3.3 The Compassionate View

Notwithstanding that it is fifteen years since the CRPD was adopted, disabled people
are still experiencing considerable inaccessibility issues. This is not only in third-
world countries but in many of the leading Western economies of the world. Bordas
[6] found that architects and planners needed more than a general knowledge of
regular barrier-free requirements when designing the built environment. If they had
no understanding of the realities of life for disabled people, they would be incapable
Accessibility to the Built Environment for Mobility-Impaired Persons … 119

of meeting their needs beyond the functionality and usability concerns. He thought
empathy was essential to success in achieving inclusive architecture. Du and Kim
[17] also cautions “that one size does not fit all”. This is important to consider when
comparing international standards with New Zealand’s standards on accessibility for
mobility-impaired users.
Other problems arise when making comparisons of accessibility standards in
different countries. One reason is that in countries such as the USA, Australia, and
Canada, some states/regions have their own separate standards, which often conflict
with Federal law. The current standards in New Zealand, America, and Britain for
some of the common features of buildings such as ramps, entrances, lifts, stairs,
toilets, and washbasins are presented below. In general the standards for three coun-
tries are relatively similar but it can be seen that the New Zealand standard allows a
much shorter clearance in the ramp landing length (Table 1) which could be a problem
for manoeuvring a mobility scooter. Regarding entrances (Table 2), the British stan-
dards dictate a longer entrance threshold which would benefit large scooter users.
The American standard requires a much larger clear unobstructed floor depth in front
of lift doors (Table 3) that would again be most-appreciated for the MI using these
assistance devices.

Table 1 Comparison between New Zealand, American, and British standards for ramp features
Feature New Zealanda Americab Britainc
Ramp width (mm) 1,200 1,065 1,000
Cross slope 1:50 1:48 1:50
Clear ramp landing length (mm) 1,200 1,525 1,500
a NZS 4121 [42]
b ADA [4]
c British Building [9]

Table 2 Comparison between New Zealand, American, and British standards for entrance features
Feature New Zealanda Americab Britainc
Entrance width A level threshold or Principal entrances in The area immediately in
approach space no new buildings should be front of the accessible
less than 1200 mm × accessible. Approach entrance (at least
1200 mm inside and should be level and shall 1500 mm × 1500 mm)
outside the entrance be 1220 mm of clear should be level and have a
door floor space for surface which does not
wheelchairs impede wheelchairs
Distinguishability Must be illuminated Must be easily Signs should be obvious
to be clearly distinguishable from the and clearly identified by
distinguishable from façade tonally contrasting with
the surroundings the wall
a NZS 4121 [42]
b ADA [4]
c British Building [9]
120 M. Stefanitsis et al.

Table 3 Comparison between New Zealand, American, and British standards for lift features
Feature New Zealanda Americab Britainc
Clear unobstructed floor depth in front of lift 1800 2030 1500
doors (mm)
Interior clear space (mm) 1400 × 1400 2030 × 1370 1400 × 1100
Door clear minimum opening (mm) 900 900 900
Control panel minimum to maximum height 900–1350 1370 900
(mm)
a NZS 4121 [42]
b ADA [4]
c British Building [9]

Each standard mandates handrails on either side of stairs (Table 4) which would
only be of use if the stair width was less than the outstretched arm width of an MI able
to walk but probably restricted by having to use a cane. Disability toilet sizes vary
significantly (Table 5) and are a constant problem for MI persons as most are usually
designed only with wheelchairs users in mind. The main problem with washbasins
(Table 6) seems to be with soap and towel dispensers that are out of reach of both
children and adults. The UK updated its standards in 2018, while in the USA the
Access Board which is an independent federal agency continually upgrades standards
for people with disabilities. It will be important to identify common grounds and
improvement opportunities in future papers.

Table 4 Comparison between New Zealand, American, and British standards for stairs and handrail
features
Feature New Zealanda Americab Britainc
Risers The total rise of any Risers must be Risers must be between 150–170 mm
flight of stairs must not between high. Flights should not contain more
exceed 2500 mm. Open 100–180 mm high. than 12 risers between landings.
risers are not permitted Open risers are not Open risers should not be used
permitted
Design Spiral stairs not Spiral stairs not Spiral stairs not recommended
permitted mentioned
Handrails There must be a There must be There must be handrails on both
handrail on either side handrails on both sides of staircases more than
of the stairs sides of the stairs 1000 mm wide
a NZS 4121 [42]
b ADA [4]
c British Building [9]
Accessibility to the Built Environment for Mobility-Impaired Persons … 121

Table 5 Comparison between New Zealand, American, and British standards for toilet features
Feature New Zealanda Americab Britainc
Minimum dimensions of compartment 1900 × 1600 1525 × 1420 2000 × 800
(mm)
Toilet pan distance from back wall 700–750 1420 Approximately 600
(mm)
Height of toilet pan from floor (mm) 460 485 480
a NZS 4121 [42]
b ADA [4]
c British Building [9]

Table 6 Comparison between New Zealand, American, and British standards for washbasin
Feature New Zealanda Americab Britainc
Height from floor (mm) 675 635 720–740
a NZS 4121 [42]
b ADA [4]
c British Building [9]

3.3.1 Ramps

Most countries follow accessibility standards that are similar to the NZS 4121 [42]
standard and the British Building [9], except for narrow variances in some instances.
The U.S.A. follows the ADA [4] requirements that allows a slightly steeper slope
on ramps for getting up short distances with small height changes. The accessibility
standards for these countries are given in Table 1.

3.3.2 Entrances

Accessible entrances in the built environment still need to be improved. While they
do provide adequate access to the interior of buildings, little thought is given to how
the mobility-impaired can get to the building entrance itself. The approach often
requires a long journey around the building to some back entry access ramp. This
is something that should be considered by all construction industry stakeholders
connected with the construction and design of buildings. Table 2 gives the standards
for entrances for New Zealand, America and Britain.

3.3.3 Lifts

Thought must be given to the variability of mobility-impaired persons in terms of both

their mode of travel and their ability. For example, people using both wheelchairs
and mobility scooters should be able to manoeuvre within buildings, particularly
122 M. Stefanitsis et al.

when using lifts (since they cannot use stairs). Table 3 compares the standards for
lift features.

3.3.4 Stairs, Steps, and Handrails

Table 4 compares the standards for stair features. Rounded nosings are recom-
mended because sharp angles on stair edges are a trip hazard. Each standard mandates
handrails on either side.

3.3.5 Toilets

Table 5 lists the requirements for toilet features. The standards are specific on the
distance and pans must be from the back wall. However, the handrail position relative
to the pan is not always specified and this can be a problem when wheelchair users
transfer.

3.3.6 Washbasins

Table 6 gives the standards for washbasin height. Even when washbasins meet the
required standards, small children may be too short to reach the basin.

3.3.7 The Problem of Public Attitude

One major problem not often researched is public indifference. Zlatanova-Velikova

[46] noted that the lack of opportunities for mobility-impaired participation in social
activities lies in the complete indifference and ignorance of those without physical
limitations. Pascalau-Vrabete [43] found also that a lack of interest from the govern-
ment “created considerable barriers”. She claimed that “no amount of promissory
legislation” would change that position until that viewpoint changed. However nega-
tive social and institutional attitudes towards disability still prevail, and need to be
challenged [43]. Other noted scholars have also mentioned this. In 2011, Seelman
et al. noted that the World Health Organisation reported that physical disabilities
were dramatically increasing, particularly among the elderly, because they were
living longer while becoming frailer and falling frequently. She also found that they
were reporting a range of accessibility barriers. This is more noticeable even to the
casual observer today, as better health care keeps people alive longer but cannot cure
their mobility impairment.
Discussions with elderly mobility-impaired have confirmed this. Distress at
declining functional abilities and resultant performance meant they often lost
accessibility to favoured destinations. Table 7 summarises the reported problems.
Accessibility to the Built Environment for Mobility-Impaired Persons … 123

Table 7 Anecdotal problems faced by mobility-impaired New Zealanders

Category Description
Stairs Dental practice on the second floor without a lift. This was inaccessible to a
wheelchair user who had to change to a different dentist
Escalators An elderly mobility-impaired person fell while attempting to step on an escalator,
hitting another elderly person who also fell. Both were hospitalised with broken
bones, which may have added to their impairment
Escalators The speed of the moving stairs is too fast for elderly people and they approach
them with increased apprehension
Parking A mobility-impaired person attending an emergency surgery was unable to get a
parking space outside the building and had to use the mobility park across a busy
street. The council was approached regarding the normal parking outside the
building and the mobility parking across the street. Their reply was that it was not
council policy to reside parking outside private businesses
Wheelchair A mobility-impaired person in a wheelchair spoke of having to go “all the way
around to the back of the building” where there was a small service lift. This
person who had arrived in a party felt discriminated against as the other members
were able to use the front steps to the foyer and the passenger lift to the floor
where they were attending a meeting
Empathy Finally lack of empathy can be a problem for mobility-impaired people who are
cared for in their homes as able-bodied carers cannot understand why they take so
long to do simple tasks and become impatient with them which causes friction
between the mobility-impaired and the carer

3.4 Additional Gaps in Legislation

Additionally, gaps in disability law are also highlighted. The separation of the NZS
4121 and the law is obvious in New Zealand. This standard is specific in measurement,
but it is not the law. It allows designers and builders to use either verification methods
or acceptable solutions which are possibly admissible “as nearly as is reasonably
practicable”, which is also mentioned in s.112 (1) of the Act. However, Mulligan
et al. [39] comments that because these standards which exceed the legislation are
not obligatory, they are recommendations only. This means that adherence is not
mandatory and sometimes not complied with.
The Americans with Disabilities Act of 1990 is very long and complex, with
many cross-references supported by the 2010 ADA standards for accessible design.
The standards are enforceable and interspersed throughout the ADA, but with the
innumerable cross-references, the law is very difficult to follow. Aldousari et al. [3]
pinpointed the main problem with the performance of the 1991 ADA legislation
(which had been updated) as underpinned by poor intersectional coordination and
inadequacy of capacities.
The British Standards are the building regulations [9]. These were updated in 2015,
but according to Bright [8], the design guidance for “buildings other than dwellings
in AD M: 2015 is substantially the same as those given in the AD M 2004:2013
edition”. The wording of the EA has not been updated. It has many protracted legal
124 M. Stefanitsis et al.

descriptions. He also noted, that “in terms of simplification, it has been an opportunity
missed”.
The Accessibility Act for New Zealanders 2022 (ANZA), which was announced
as a law that would ensure accessibility to the BE for mobility-impaired, has fallen
far short of what the New Zealand disability community expected. It states in s.3
that its purpose “is to accelerate progress towards a fully accessible New Zealand”,
but instead merely establishes the Accessibility Committee tasked with identifying
accessibility barriers and working towards improving accessibility. The disability
community are dismayed: after years of lobbying for the accessibility specified by
Article 9 of the CRPD, they expected robust enforceable accessibility law which
would give them that. They felt the government’s intent was simply to establish an
advisory committee with little power other than to advise the government on how to
action improved accessibility. They feel that accessibility legislation should be the
primary driver to assist disabled people to access the built environment.

4 Conclusions

Even with the advent of the CRPD, updated disability law, and revised accessibility
standards, the current built environment often fails the mobility-impaired person. Yet
it is an issue which able-bodied designers and building practitioners rarely address
seriously because they are unable to empathise with disability. This aspect is not
often considered by researchers. Nevertheless, without empathy, it is difficult for
building planners to understand what is needed for mobility-impaired to have a
similar quality of life to the able-bodied when accessing the built environment. The
apathy of the general public is another factor which must change, for, if indifference
to the mobility-impaired persists, they will continue to have accessibility barriers,
repeatedly challenging their potential quality of life, which surely is the right of
everyone.
Further, long complex law that is mainly incomprehensible to the people it was
drafted to protect, is of little use. Imprecise terms such as “as nearly as is reason-
ably practicable” are open to opinion and can be interpreted to the disadvantage of
those it should benefit. We should all have the protection of the law, otherwise it is
inadequate. In New Zealand the disability community welcomed the announcement
of the introduction of the “Accessibility for New Zealanders Bill” with eager antici-
pation, feeling that something they had been fighting so long for was finally coming
to fruition. When it was introduced and the mobility-impaired people discovered
its contents, they were very disillusioned, as all the bill appeared to do was to set
up a committee. They were so incensed that they protested strongly until they were
heard. The latest reports are that Priyanca Radhakrishnan, the Minister for Disability
Issues has stopped all action on the progress on the bill in the term of the present
government.
Disability law internationally is fragmented, standards are sometimes divorced
from the legislation to which they apply, and the legislation is rarely enforced. The
Accessibility to the Built Environment for Mobility-Impaired Persons … 125

CRPD is the only existing document that could possibly strengthen the rights of
disabled people internationally because it is ratified by 185 countries. Unfortunately
it is not ratified by the United States, so that excludes the disabled community within
a 300 million population. The complaints-based enforcement system of the CRPD
is weakened because decisions are made by committee members who are biased
by their own jurisdictions. Enforcement power would be enhanced if it were done
through the International Court of Justices which is the principal judicial organ of
the United Nations.
This study has focused on a small selection of standards across only three coun-
tries. It has not captured all the subtlety and variation of global accessibility stan-
dards. The published literature on accessibility does not provide a comprehensive
representation of the situation in developing nations [38]. Third-world countries are
likely to have much poorer standards, primarily because they are more economi-
cally challenged [31]. People with disabilities in those countries are less likely to be
employed, less likely to have access to public transport and more likely to live in a
state of poverty.
A further limitation of this work is that it assesses a law that has yet to come into
force, and the assumptions made of its ultimate outcome may be in error. The focal
point of this research is the perceived failings of society and accessibility law to
provide the necessary support for mobility-impaired to have the same quality of life
which the able-bodied can enjoy. Further research opportunities exist for developing
directions for better law enforcement and advancing accessibility guidance to benefit
mobility-impaired people. This study may therefore provide the direction for future
research into accessibility law.

5 Ethics Statement

Not applicable.

Author Contributions Margaret Stefanitsis contributes to conceptualisation, methodology, data

collection, draft preparation, and manuscript editing. Claire Flemmer contributes to conceptu-
alisation, methodology, draft preparation, manuscript editing, and supervision. Eziaku Rasheed
contributes to manuscript review and supervision. Naseem Ameer Ali contributes to manuscript
review and supervision. All the authors have read and agreed with the manuscript before its
submission and publication.
Funding This research received no specific financial support from any funding agency.

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Covid-19 Lockdowns—Effect on Female
Worker Well-Being in New Zealand
Construction Professions

David Finnie , Aimee de Klerk, and Nayani Landage

1 Introduction

This study explores the effects on females working in the construction New Zealand
(NZ) industry during Covid-19 lockdowns. The way that construction professionals
work during the Covid-19 pandemic. The NZ government mandated nationwide
lockdowns in 2020 and 2021. Workers for construction companies, other than those
undertaking ‘essential’ work, were required to stay home to slow the rate of infections.
Most construction professionals therefore undertook their duties from the isolated
constraints of their homes, while trades workers stopped work altogether.
The NZ government is working to implement programmes and improve resources
available to promote better mental well-being, and organisations within the construc-
tion sector in NZ such as mates in construction (n.d.) are working to increase aware-
ness and improve well-being standards at work. Focusing on the well-being needs of
female workers may help improve worker well-being and attract more females in what
has historically been a male-dominated industry. Only around 10% of construction
industries in most countries are female [16].

D. Finnie (B)
College of Engineering, Construction and Living Sciences, Otago Polytechnic, Dunedin, New
Zealand
e-mail: [email protected]
A. de Klerk · N. Landage
Otago Polytechnic, Dunedin, New Zealand
e-mail: [email protected]
N. Landage
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 129
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_9
130 D. Finnie et al.

2 Literature Review

2.1 Women in Construction

Previous studies have found low percentages of women working in construction and
that opportunities exist to increase these rates. Regis et al. [16] found that on average
worldwide, only 10% of workers on construction sites are women. NZ is working
to improve these rates within historically male-dominated industries, but the rates
of women joining the construction industry remain very low, with only 13% of the
construction workforce population in NZ construction being female [4]. Azhar and
Griffin [1] also found opportunities for increasing entrance and retention rates of
women in the US construction industry. While the biggest challenge faced was the
difficulty maintaining work-life balance, the greatest successes and accomplishments
included the increased awareness by both public and private industries to address
the issues faced by women in construction. These include a shift in organisational
policies to better address the needs of women and increasing leadership roles for
women. They recommend that companies partner with women’s’ organisations to
recruit more females into construction and engineering.
Key challenges faced by women working in construction include discriminatory
factors, inadequate working conditions, and difficulty maintaining work-life balance.
Regis et al. [16] studied the shortcomings, difficulties, and good practices for women
working in construction in Brazil and found key challenges to include prejudice,
discrimination, sexism and the gender wage gap, and the authors describe how these
factors create a negative impression of the construction industry in many women’s’
minds. Wood et al. [20] also found discrimination barriers faced by women working
in UK construction including high rates of harassment on worksites that can make
women feel unwelcome and uncomfortable at work, promoting the evasion of female
employees. Sarkar [17] found women working in construction trades often face
problematic onsite working facilities including unsanitary or non-existent toilets
and lack of personal protective equipment in women’s’ sizes. Findings concluded
that due to insufficient work conditions, gender bias, and stigmas, most women in
the construction industry avoid working in trades and tend to take up positions in
administration, sales, managerial, and speciality professions. Azhar and Griffin [1]
found difficulties maintaining work-life balance as the biggest challenge encountered
by women while working in the US construction. This aligns with Sherratt and
Dainty [18] who found through evaluating health and safety claims in the UK, that
poor mental ill-health remains prevalent due to organisational reluctance to change
employee work structures, processes, and practices. Similarly Tijani et al. [19] found
in Australia through literature review analysing 60 papers from 1989 to 2020 that
key stressors relating to mental health in construction include long work hours, time
pressures, and work overload. Chan et al. [2] also reviewed literature relating to
mental health risk factors in the Australian construction industry and deduced 32
risk factors from 16 journal articles. The most influential were job demand and job
control.
Covid-19 Lockdowns—Effect on Female Worker Well-Being in New … 131

2.2 Mental Health in Construction

2.2.1 Mental Health Risk Factors and Covid

The construction industry features high rates of mental ill-health which worsened
during Covid-19 lockdowns. Frimpong et al. [5] found age, personal lifestyle,
physical health conditions, social and economic circumstances, and industry socio-
cultural norms as key risk factors. Pidd et al. [14] also found age to be a factor
with young construction workers in Australia being at greater risk of alcohol and
drug-related problems resulting from underlying mental health issues. Psychoso-
cial factors pertaining to mental ill-health in young apprentices included job stress,
included workplace bullying, and a lack of workplace social support. While Hanna
et al. (2020) found that individuals who lost their jobs in 2020 due to the pandemic,
experienced poorer well-being in terms of feelings of happiness, enjoyment, worry,
stress, depression, sadness, and anger compared with those who remained employed.
However, the above studies have not accounted for gender.
The Covid-19 lockdown meant that many construction professionals worked from
home. Prickett et al. [15] found in NZ both positive changes, such as more flexible
work hours and less money spent on transit and other work-related expenses, and
negative challenges, such as maintaining productivity while dealing with increased
home life demands such as homeschooling. However, The Centre for Construction
Research and Training (2022) found that during Covid-19 pandemic, construction
workers experienced significantly more anxiety and depression than did in 2020
and prior. Changing to a home working environment has been found to affect diet,
physical environment, and sleep. Ingram et al. [8] analysed health behaviours across
UK participants to determine their relationship with negative mood during Covid-19
lockdowns. Changes in diet, sleep, and physical activity all correlated to negative
mood states. Gupta et al. [6] found that sleep quality during Covid-19 lockdowns in
India deteriorated across different occupational groups, and reduced sleep periods
were associated with depressive symptoms. Oakman et al. [13] found through litera-
ture review undertaken in three databases, PsychInfo, ProQuest, and Web of Science,
from 2007 to May 2020 the following list of mental and physical health issues asso-
ciated with working from home. They concluded that employers focus on organisa-
tional, co-worker, technical, and managerial support, and address gender inequities
to reduce the effects.
• Participant self-reported decreased physical health
• Demands associated the home environment
• Level of organisational support
• Social connections outside of work
• Work overload
• Invasion of privacy
• Role ambiguity
• Lower job autonomy
• Being in constant electronic contact with work (work/life balance).
132 D. Finnie et al.

2.2.2 Workplace Support

Unsurprisingly then, allowing more flexibility and building resilience were found key
to working effectively through Covid-19. Cogan et al. [3] studied railway worker
well-being during the Covid-19 pandemic in the U.K. Developing more adaptive
coping strategies and building better and team-based resilience were found to have the
best impact. Malinen et al. [10] also concluded that NZ employers should acknowl-
edge the strain placed on employees due to increased workloads and allow more flex-
ible working hours and locations to support worker well-being during a pandemic.
They found six key strategies that best-supported employees in NZ during Covid-19:
1. Providing a sense of job security—Consistent hours, sense of safety, continuance
of pay,
2. Providing effective communications—Clarity, consistency, regularity, and time-
liness of information,
3. Providing recognition—Expressing appreciation for added workload and accom-
modating changes,
4. Expressing concern for employee’s health and well-being—Providing personal
protective equipment (PPE) and safe workspaces,
5. Providing support for continued work—Sending out equipment, hiring extra staff
to help with the workload, subsidising costs or providing allowances, and
6. Providing flexibility and a sense of job control—Giving employees autonomy,
allowing flexible hours. Employers should trust employee’s productivity levels
when working remotely.

2.2.3 Concluding Remarks

Previous studies have tended to analyse the effects on construction workers as a

general population and not specific to females. This may be due to authors being
male and women only accounting for 10% of the construction industry globally.
Much of the research into construction worker well-being has focused on construction
workers onsite, and not contractors and consultants who work in offices, and then
from home during Covid-19 lockdowns. Most of the research has been conducted
overseas and is therefore not specific to the NZ construction industry. Therefore, the
survey questionnaire focuses specifically on women in construction, filling the gap
in previous studies that have analysed the general construction population. Women
can have specific needs over the whole population such as managing childcare and
the like. This survey enables women to identify support provisions that would have
been most helpful in supporting their well-being during the pandemic lockdowns.
It is also specific to the NZ construction industry, whereas most previous studies
analysed effects on construction workers overseas. Survey questions focus on the
effects of working in isolation on sleep, diet, and exercise.
Covid-19 Lockdowns—Effect on Female Worker Well-Being in New … 133

3 Research Methodology

A survey questionnaire was prepared using Qualtrics distributed via the National
Association of Women in Construction [12] email database, Facebook page, and
LinkedIn profile and was open between 28 September 2022 and 15 October 2022.
The survey was divided into three sections. Section 1 collected demographics of
participants’ profession, age, ethnicity, regional location, and number of any depen-
dents. Section 2 collected data about the participants’ work, and any associated
changes resulting from Covid-19 lockdowns. Section 3 collected further details about
participants’ work-life balance, workload and work demands, support from peers and
organisations, and overall effects on well-being resulting from working from home
during Covid-19 lockdowns. The target sample population was construction workers
who identified as female and were required to continue working throughout Covid-
19 lockdowns. This primarily focused on female construction professionals who
continued their office-based roles for contractors or consultants working from home,
while construction sites were closed. A dataset comprising 306 valid responses was
collected and analysed. A quantitative approach was adopted as the findings represent
a wider population sample, and the literature review established a sufficient range of
questions from which to prepare the survey questionnaire.
Due to the anonymity of the results and the method of dissemination, it is possible
that some of the responses came from individuals outside of the target population.
It is also possible that the data could be skewed by duplicates of responses where
individuals may have completed the survey more than once. The survey questions
asked participants to provide information relating to feelings and emotions which
may have occurred up to two years ago. Data gathered is heavily reliant on accurate
recall, particularly as thoughts and emotions may be subconsciously changed in
the time between lockdowns and the time at which the survey questionnaire was
completed.

4 Data Analysis and Discussion

4.1 Population Sample

4.1.1 Ethnicity

Of the 306 responses, the majority (77%) identified as NZ Europeans’ Pakeha, 9%

identified as Māori, 2.6% identified as Polynesian/Micronesian, 6% identified as
Asian, and 3% identified as Middle Eastern/Latin American/African. The survey
sample comprised a broad range of professions.
134 D. Finnie et al.

Table 1 Profession
Profession Responses % of sample
Other, please specify 55 18.0 (Education, marketing, and sales,
building compliance, facilities
management, and law)
Quantity surveying 48 15.7 (QS, contract administration,
estimating, bid preparation)
Construction management 47 15.4 (Including 4 regional managers)
Architecture/design 38 12.4
Project management 25 8.2
Trade and skilled labour 24 7.8
Engineering 21 6.9
Health and safety 16 5.2
People and culture 13 4.2
No answer 19 6.2
Total sample 306 100.0

4.1.2 Profession

Table 1 presents the composition of professions of those surveyed. The majority

comprises quantity surveying, construction management, and project management,
totalling 39% followed by architecture and engineering, totalling 19%. Those
working in trades and skilled labour made up 7.8% of the survey responses. Further
research could focus on those working on construction sites with more targeted
questions as their needs would vary from the office-based professions that this study
focused on. 18% of respondents selected ‘other’ professions, specifically naming
education, marketing, and sales, building compliance, facilities management, and
law. 6.2% did not answer the question.

4.1.3 Age

The sample population comprised (33%) aged 31–40, (28%) aged 41–50, (16%)
aged 51–50, (10%) aged 26–30, (8%) aged under 25, and (5%) aged 61–70 years
old.

4.1.4 Locations

The participants were located in Auckland (33%), Wellington (23%), and Canterbury
(17%). This aligns with the three most densely populated regions in New Zealand
according to recent census data (Stats NZ, 2019). Other participants were based in
Covid-19 Lockdowns—Effect on Female Worker Well-Being in New … 135

Otago (8%), Bay of Plenty (8%), Waikato (5%), Whanganui (2%), and Taranaki,
Hawks Bay, and Southland (1% each).

4.1.5 Dependents

170 participants stated caring for dependants compared with 136 who had no
dependants. Therefore, there is a relatively even spread of data across this criterion.

4.1.6 Working in Isolation

Participants were asked to identify the extent to which they worked in isolation
from others. These included during nationwide alert level 3 and 4 lockdowns; while
unwell with Covid-19 or any other illness; when returning from overseas travel (i.e.
managed isolation facility); during Auckland-only alert level lockdowns (including
extensions into Waikato and Northland); or during a business shut down period
relating to the Covid-19 pandemic. Participants then categorised the effect of working
in isolation by approximate severity accounting for the on duration, as follows. These
are represented in Table 2. Of the participants who spent extensive time working
from home because of Covid-19, 88% of them lived in Auckland. The regions where
participants spent the least amount of time working from home due to Covid-19 were
Bay of Plenty, Hawkes Bay, Otago, and Southland. For many, working from home
continued post-Covid-19.
Participants were asked to rate how frequently they continued to work from home
after Covid-19 compared with before the lockdowns. Figure 1 shows the extent
that workers continued to do so. 63% of participants (192 responses) said that they
continued to work from home ‘much more’ now than they did previously. 24 said
that they ‘somewhat more’ worked from home. 61 responses said, ‘no change.’
Only 5 responses said that they work less from home after Covid-19 than before the
lockdowns. These findings may have changed since the study as more people return
to offices over time. See Fig. 1.

Table 2 Extent and impact of working in isolation

Reason Time period Severity
While unwell with Covid-19 or any other illness 1–4 weeks Low
During nationwide alert level 3 and 4 lockdowns
During a business shut down period relating to the Covid-19 pandemic 4–8 weeks Medium
When returning from overseas travel (i.e. managed isolation facility)
During Auckland-only alert level lockdowns 8+ weeks High
136 D. Finnie et al.

250

200
No. of responses

150

100

50

0
Much less WFH Somewhat less No change Somewhat more Much more WFH
now WFH now WFH now now
Effect on working from home (WHF)

Fig. 1 Extent that working from home continued after Covid-19 lockdowns

4.1.7 Work-Life Balance

When asked to rank the impact of working from home on their work-life balance,
38% of participants reported improvement (117 responses), while 26% reported a
negative change (80 responses). 23% said there was no change to their work-life
balance (69 responses), and 13% of participants did not answer. These are shown in
Fig. 2. See Fig. 2.
By ethnicity, the group which reported the most negative impact was Latin Amer-
icans (75% negative), and the group which reported the most positive impact was
Africans (75% positive), however these groups were of a very small sample size.
Engineers, project managers, and quantity surveyors reported the most positive
impacts to their work-life balances when compared with other roles (57%, 65%,
and 54% respectively).

150
No. of responses

100

50

0
Negative Impact No Impact Positive Impact Did not respond
Impact of working from home

Fig. 2 Impact of working from home on work like balance

Covid-19 Lockdowns—Effect on Female Worker Well-Being in New … 137

40%
35%
30%
% of sample

25%
20%
15%
10%
5%
0%
< 25 26-30 31-40 41-50 51-60 61-70
Age

Fig. 3 Impact of technology issues when working from home

4.1.8 Workload and Productivity

Findings about the effect of working from home varied. 34% of participants said
that their workload increased while working from home, 36% said that workload
remained the same, 36% said that workload decreased, and 14% did not answer. All
9 participants in management reported an increase in workload, making management
the most frequently reported role for increased workload during Covid-19 lockdowns.
See Fig. 3.
Perhaps unsurprisingly then, responses about productivity also varied. 25% of
participants felt that their productivity improved working from home. 38% felt that
their productivity reduced. 14% felt that their productivity remained the same. 14%
did not answer. Of the factors which negatively impacted participant’s ability to work
productively from home, the most prevalent was accessibility to other colleagues
(reported 37 times), followed by technology capabilities and user-friendliness
(reported 23 times), and distractions at home (reported 16 times). Conversely, a
few participants commented that home was less distracting and more quiet than their
normal workplace, so they felt more productive while working from home. These
findings suggest that improving technology and ability to connect with colleagues
online may be a key to focus on to reduce workloads and improve productivity while
working from home.
Interestingly, the age range of participants who found technology capabilities and
user-friendliness an issue while working from home varied, indicating an industry-
wide technological shortfall as opposed to a generational gap in computer literacy.

4.1.9 Support Systems

The most common support systems provided by workplaces to employees while

working from home included regular team well-being check-ins and encourage-
ment (191 instances), flexible working hours (159 instances), increased sick leave or
138 D. Finnie et al.

Support helpline information

Regular team wellbeing check-ins and…
Support provision

Other
Online workshops to encourage healthy habits…
Increased sick leave or Covid leave
Funded counseling
Flexible working hours
Financial aid

0 50 100 150 200 250

No. of responses

Fig. 4 Workplace support provided for working from home

Covid-19 leave (86 instances). This demonstrates the need for flexibility in working
hours and leave during Covid-19 disruption and close collaborative communication.
Online workshops to encourage healthy habits (66) and support helpline information
(58) were the next most systems provided. These were followed closely by financial
aid (57) and funded counselling (55). For office-based professions who continued
their work from home, their costs may have decreased through less travel costs and
day care negating the need for financial assistance, hence ranking below other support
systems provided. These are shown in Fig. 4.
The most common systems which participants said that they would have liked
to be provided during Covid-19 lockdowns were better work equipment and tech
support (7 instances), more flexible hours (6 instances), and more frequent well-
being check-ins and team catch-ups (5 instances each, 10 total). There were some
comments left by respondents who would have liked more support and flexibility
in caring for their children, and three comments said that their employees did not
provide any support at all.

4.1.10 Health Indicators

Sleep

Like the effects on workload and productivity, the impact of Covid-19 lockdowns on
the sleep habits also varied and of the whole participant group demonstrates a normal
distribution. 34% reported no change, 24% reported minor negative change, and 14%
reported minor positive change. While only 6% reported substantial positive and 4%
reported substantial negative change, 18% did not answer. See Fig. 5.
When compared across age brackets, it is evident that in general, younger partici-
pants under the age of 30 reported positive effects on their sleep habits, while partic-
ipants over 30 reported negative impacts under the same circumstances. It is unclear
why this is, but possible explanations could be the presence of dependents in the
household, higher pressure roles, or physiological factors. See Fig. 6.
Covid-19 Lockdowns—Effect on Female Worker Well-Being in New … 139

120

100
No. of responses

80

60

40

20

0
Effect of Covid lockdowns on sleep
Substantial positive effect Minor positive effect No Change
Minor negative effect Substantial negative effect

Fig. 5 Effect on sleep habits

40
No. of responses

30

20

10

0
< 25 26-30 31-40 41-50 51-60 61-70
Age group
Negative effect Positive effect

Fig. 6 Effect on sleep habits per age group

Diet

Nearly half (46%) of the participants reported that their diet was negatively impacted,
while 19% reported a positive impact, and 16% reported no change.

Exercise

There was an even spread of impacts on exercise habits resulting from lockdowns,
with slightly more (7%) responses reporting a positive effect. This suggests that
working from home had variable effects on participant’s exercise habits, which may
be influenced by many factors such as existing habits prior to lockdown, age, mobility,
caring for dependents, and space available in participant’s homes. See Fig. 7.
140 D. Finnie et al.

80
70
No. of responses

60
50
40
30
20
10
0
Substantial Minor negative no change Minor positive Substantial Did not respond
Negative effect effect effect positive effect
Effect of Covid lockdowns on exercise

Fig. 7 Effect on exercise

120
No. of responses

100
80
60
40
20
0
Effect of Covid lockdowns on social interactions
Substantial Negative effect Minor negative effect No change
Minor positive effect Substantial positive effect

Fig. 8 Effect on social interactions

Social

Unsurprisingly, almost two-thirds (64%) of all participants reported negative impact

on their social interactions with friends, colleagues, Iwi, and whanau when working
from home during Covid-19 lockdowns. See Fig. 8.
This demonstrates a clear correlation between declining social relationships and
working from home during lockdown, but it is likely that the negative responses are
a result of being in nationwide lockdown, and not a specific product of working from
home in general.

Sense of Well-Being

61% of participants reported negative effects on their general feeling of well-being

while working from home during Covid-19 lockdowns. 22% reported a positive
effect. Feeling of well-being is a subjective topic and therefore will have varied
responses, but the data shows a clear trend of declined well-being in periods of
Covid-19 Lockdowns—Effect on Female Worker Well-Being in New … 141

working from home during lockdowns. Again, these findings relate to the nationwide
lockdown and not working from home generally.
There was negligible variance in the distribution of reported well-being between
participants who spent a long time working from home during lockdowns compared
with those who spent the shortest amount of time working from home in lockdowns.
Across age brackets, women aged between 31 and 40 reported a negative effect on
their well-being when compared with other age groups.

5 Discussion

Previous research has studied the effects of working from home on mental health
in New Zealand, but not specifically within the group of women in construction.
This research used quantitative analysis to find that the well-being of a significant
proportion of women in construction are negatively impacted when working from
home during lockdowns, as demonstrated by the reported decreased productivity,
worsened diet, and decreased frequency of social interactions—all of which are
factors which have been identified in previous literature as challenges to overcome
while working from home during lockdowns, such as the findings in the U.K. by
Ingram (2020).
Participants were asked to identify key resources that were unavailable to them
when working from home during lockdowns and felt would have been beneficial to
them. These most frequently included better work equipment and tech support, flex-
ible work hours, frequent team catch-ups and well-being check-ins, clear communi-
cation on policies, and extended sick leave. Less frequently requested were financial
aid, reduced workload, job stability, and childcare. Specific research to develop some
or all of these support systems could provide useful knowledge to improve industry
practices around working from home. These generally support findings by Oakman
et al. [13] that employers focus on organisational, co-worker, technical, and manage-
rial support and address gender inequities to reduce the effects. Also, those findings
by Malinen et al. [10] that concluded NZ employers should acknowledge the strain
placed on employees due to increased workloads and allow more flexible working
hours and locations to support worker well-being during a pandemic. More flexible
working hours aligns too with previous studies that found a lack of work-life balance
to be a key barrier to working in construction in Australia, the U.K., and the U.S.A
[1, 18, 19]. The findings also support those of previous studies that found a mix of
positive and negative impacts deriving from working at home during Covid-19 lock-
downs in NZ, such as Prickett et al. [15] who found more flexibility, but challenges
maintaining productivity. The findings around sleep were more spread than those of
previous studies that found impact on sleep an issue. Better technology and commu-
nication systems were a factor identified for improvement, which surprisingly did
not feature so prominently in previous studies.
It is acknowledged that only 44% of all study participants had dependents to care
for. There is scope for future studies to focus on the experiences of caregivers in
142 D. Finnie et al.

construction, since there were an overwhelming number of participants mentioning

that the presence of children who would ordinarily be in school or day care was
distracting and decreased productivity. Individuals not only needed to care for their
dependents, but they were required to provide homeschooling, which on top of full-
time work is a large and reportedly unreasonable demand.
Participants were asked for any additional comments. Some of the comments
implying negative impacts as a result of working in isolation were:
• Increase in alcohol consumption
• Onset/worsening of mental health conditions requiring medication
• Increased requirement for flexibility within role
• Novelty of earlier lockdowns wore off, making later lockdowns harder
• One workplace kept typically female roles in lockdown for longer than other roles
• Unfair workload distribution when workload decreased
• Increased pressure for general managers to check on well-being of staff
• More redundancies
• Difficulty in external communications
• Government restrictions had grey areas which were difficult for businesses to
navigate
• Increased H&S plan requirements increased workloads
• Difficulties in managing homeschool alongside work
• Working as a self-employed contractor was more difficult than as an employee
• Financial loss was prevalent, especially for site-based employees and contractors
• Vaccination mandates caused exclusion from the workplace
• Breakdown of company culture and team relationships through lack of commu-
nication
• Uncertainty of market was uninspiring
• Lack of trust in employees from management.
Some of the positive comments included:
• Scope to retrain site workers for temporary administrative roles during lockdown
• Learnings from earlier lockdowns eased the impacts of further lockdowns
• Forced break from fast-paced environment
• Lockdowns provided opportunity to change existing systems
• Having a partner as a stay-at-home parent was helpful
• Managers are now more open to staff working from home
• No commute or traffic to deal with
• Isolation allowed for reflection and improvement in all areas of one participant’s
life.
All these comments are examples of more detailed subject matter which could
be studied and expanded upon in further studies to establish the wider relevance to
women working in the construction in New Zealand and help support more flexible
working home arrangements in general, and build resilience ahead of any future
pandemic events. For example, the first two factors, whether alcohol and medica-
tion consumption, may be age-related as found to be a factor by [14] with young
Covid-19 Lockdowns—Effect on Female Worker Well-Being in New … 143

construction workers in Australia being at greater risk of alcohol and drug-related

problems resulting from underlying mental health issues.

6 Conclusions

This study explored the effects on female worker well-being in New Zealand
construction while working in isolation during the Covid-19 pandemic. This research
project aimed to study the challenges and opportunities experienced by women
in construction resulting from changes to the workplace caused by the Covid-19
pandemic. It analysed 306 survey responses from participants of varied demographics
and professions across NZ who had varied and valuable experiences in the context
of this research.
This provides valuable insight into women in construction—a population which
is little researched, on a topic which is timely and current. By finding common expe-
riences between women in construction during a time of low morale and declining
well-being, specific problems can be identified, and solutions applied to both daily
systems under ‘normal’ circumstances and to future emergency situations where the
public is required to remain at home for extensive periods. By improving proto-
cols and demonstrating genuine regard for the well-being of employees, individual
businesses and the wider construction industry can continue to improve and evolve
towards greater gender inclusivity and equality.
Analysis of the data gathered determined that decreased productivity and nega-
tive impacts to diet and social interactions are common challenges for women in
construction across all demographics, and that the most desired resources which
employees want their workplaces to provide to improve the experience of working
from home are better work equipment and tech support and more flexible hours.
This contributes to the body of knowledge by targeting women in construction—a
group of people who are not frequently researched. There is scope for further research
to expand on prevalent reported issues, particularly the challenges of balancing work
and childcare during lockdowns. These findings can help inform government policy
for major managing major events such as pandemic events, and help businesses best
meet the needs of their employees during such events. Further research could expand
the sample to include males working in construction.

7 Ethics Statement

This project gained category A ethics approval from the Otago Polytechnic Research
Ethics Committee. Category A ethics approval is required for interviewing or
surveying human participants where the study involves high risk to participants.
This was deemed appropriate as the questions asked participants to recall feelings
associated with their mental well-being.
144 D. Finnie et al.

Author Contributions Dr David Finnie contributes to conceptualisation, methodology, analysis,

investigation, supervision, and manuscript editing. Aimee contributes to data collection, draft
preparation, and project administration. Nayani contributes to analysis and editing.

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Towards the Adoption of Data
Management Systems by Quantity
Surveyors

Unarine Ronaldo Phuriwa and Murendeni Liphadzi

1 Introduction

As a new democratic developing country, South Africa still faces major challenges
of poverty, unemployment, and inequality; these challenges to some extent were
largely created by the socioeconomic ills of the past regime [19]. quantity surveying
(QS) profession has faced some hiccups in its development despite its notable land-
mark in the construction industry [33]. South Africa’s troubled construction industry
will face a slew of risks and obstacles this year [11]. This finding concurred with
Bulbulia [9] who stated that the capital building industry is at a crossroads, with
diminishing activity and productivity and a poor future prognosis. The construction
sector is important to the economy because it results in the buildup of infrastruc-
ture stock/capital, which leads to greater economic, social, and economic activity.
South Africa’s construction industry is dominated by massive infrastructure projects,
which has created a robust job market for construction experts seeking new chal-
lenges. Construction companies must begin utilizing more innovative construction
technology, especially currently. It is critical for construction companies to employ
innovative technologies because it will enable them to win more projects in the
first place, Secondly, it will assist them in achieving better financial outcomes for
the project. Construction professionals must employ construction technologies to
remain competitive in the market.
Quantity surveying practices are key role players in the construction industry,
therefore most certainly they also require exposure, application, and continuous
development directly aligned with the Fourth Industrial Revolution. Khatleli [19]
emphasized that it is crucial to note that there is no chance that the construction
industry in South Africa can avoid or escape the fourth revolution. As such, the

U. R. Phuriwa (B) · M. Liphadzi

University of Johannesburg, Johannesburg, South Africa
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 147
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_10
148 U. R. Phuriwa and M. Liphadzi

transformation and economic factors will have an impact on the project scope as well
as minimising the complexity of the construction projects within the South African
construction industry. Schwab [30] describes the Fourth Industrial Revolution or
Industry 4.0 as marked by emerging technology breakthroughs in several fields,
including robotics, artificial intelligence, blockchain, nanotechnology, quantum
computing, biotechnology, the Internet of things, 3D printing, and autonomous vehi-
cles, as well as a fusion of technologies that blurs the lines between the physical,
digital, and biological spheres.
Based on existing literature and real-life observations it is clear that the South
African exploration of data management practices for quantity surveyors in the fourth
industrial revolution era will be of great contribution to the South African quantity
surveying profession. Akinshipe et al. [4] reveal that the desire to go digital is present
in professional quantity surveying firms in South Africa. However, the adoption of
innovative tools within the construction industry has been noted to be relatively slow,
for instance, drawings on projects are manually printed, and therefore need to be put
into a cloud, etc. Quantity surveyors have control over the accuracy of measuring and
enhancing the utilization of Information Technology (IT) and its software related to
the quantity surveying profession.
This study aims to assess the factors for the adoption of data management by
quantity surveyors in the South African construction industry. In addition, the purpose
of this study is to explore the data management systems that are available in the Fourth
Industrial Revolution (4IR) era. Lastly, this study aims to contribute to the body of
knowledge that exists.

2 Literature Review Framework

As stated in Luke chapter 14:28, ‘For which of you, intending to build a tower, sits not
down first and counts the cost to see whether he will have sufficient to finish it?’, the
profession of quantity surveying can be traced back to the Bible [7]. Moreover, Buys
[10] claims that the Henry Cooper and Sons company established the first quantity
surveying business in England in 1785. However, the work of the quantity surveyor
had to change to keep up with this increased demand and fill gaps across numerous
industries due to the constantly shifting market conditions, which have witnessed a
trend towards new technology and ‘green’ building. Manikas [22] contends that the
quantity surveyor’s function in the building sector looks to have drastically changed.
Quantification and documentation, construction cost, pre-tender in together with
post-tender management, and lastly, project final account are nonetheless among
traditional technical and professional services offered by quantity surveyors. While
professional quantity surveying organizations in South Africa have stated a desire
to go digital, the advantages of digitalized quantity surveying firms are significant,
according to Akinshipe et al. [4]. The South African construction industry is only
just beginning to employ digital technologies, though.
Towards the Adoption of Data Management Systems by Quantity … 149

2.1 Importance of Data

The combination of both physical and cyber worlds provides the ability to enable
digital twins to establish relationships with other digital twins and with their real-
world counterparts, and the ability to extract knowledge is among the things made
accessible by data [23]. Also, Raptis et al. [28] stated that with the assistance of data,
it is possible to enhance the applications of cycle control and turn it into non-defect
manufacturing, and promote apportion with the factory operator of the production
sites, or value chains consisting of a variety of stakeholders [28]. Indeed, concepts like
common ‘data buses’ connecting factory environments have already been identified
as the single most important enabler of novel Fourth Industrial Revolution (4IR)
paradigms, for example, the industrial data space concept (known as International
Data Spaces Association) introduced by Otto et al. [25] In the past several decades,
large amounts of data have been generated in the industrial environments, through
the wide use of neuro-conceptual structures (NCS). Initially, the huge amount that
had been discarded for a long period is utilized for in-depth analysis of data and
those data are used for regular technological examination. Later, awareness of the
importance of extracting information from data has taken a leading role in the 4IR
[15]. However, the properties of data must be assessed.

2.1.1 Data Properties

This section discussed four (4) properties of data as follows:

Data volume—One of the properties to be considered when implementing digital
tools is the ‘volume’ of data that is to be produced. Depending on the size of every
application, there might be a variety of data volumes in industrial networked settings.
According to Raptis et al. [28], we categorize data into three categories: small volume,
medium volume, and large volume. Small volume data includes sensor measure-
ments, medium volume data includes photos or sound files, and large volume data
includes videos and in-depth 3D representations.
Data criticality—The Fourth Industrial Revolution (4IR) has a strict require-
ment concerning data. Furthermore, it has been noted that the systems related to
monitoring, safety, and control may suffer from data that is not well-maintained in
alignment with 4IR requirements. Data that are not managed according to the under-
lying 4IR requirements may adversely affect the performance of system monitoring,
control, and safety, as discussed by Raptis et al. [28]. For instance, in a chemical
plant, the chemical leakage must be informed at predefined times [21].
Data traffic—Data traffic is caused by the usage of different types of data, the
formation of diverse velocities, and the application of different traffic patterns that
also participate in the system of industrial networks. Nevertheless, the solution of
data traffic is in the process of implementation as the production of traffic regulation
has started evolving for different types of data. Moreover, this aligns with the strict
Fourth Industrial Revolution (4IR) requirements.
150 U. R. Phuriwa and M. Liphadzi

Data variety—Depending on the use case, the data’s uniqueness might also differ.
There are two classes of ‘data variety’. The first class is when many types of data
are produced, the data variety is then referred to as ‘Diverse’, whereas the second
class is when the same types of data are produced, and the data variety is referred
to as ‘Uniform’. When seeking efficient solutions for every scenario of use, the data
variety can have a substantial impact on algorithmic decisions and service supply
[28].

2.2 Data Management

Data management is defined as ‘a group of activities relating to the planning, devel-

opment, implementation, and administration of systems for the acquisition, storage,
security, retrieval, dissemination, archiving and disposal of data’ [24]. Organizations
throughout the world collect, store, and analyze enormous amounts of data constantly
to make decisions. Data management is an important asset to any enterprise because
it supports effective business management [24]. Coleman [12] argues that knowl-
edge, resources, and data management are three components that create resistance
towards big data adoption in SMEs. Traditional data management technologies and
methods are inefficient, expensive, and not equipped to handle, store, and process
large growing volumes of heterogeneous data [2]. Furthermore, Zide and Jokonya
[35] indicated that enterprises have had an unwavering need for large amounts of data
since the development of big data, nevertheless, the conventional method of storing
data is proving to be costly and discouraging for organizations looking to engage in
data management solutions.

2.3 Factors Influencing Data Management Adoption

Different factors influence data management (DM), though it has been noted that
these factors fail DM success. A study conducted by Briggs [8] revealed that factors
that fail DM success are divided into three categories which entail environmental,
project, and technical. It further indicated that factors that are related to the environ-
ment included company acquisitions and takeovers, regulatory changes, organiza-
tional politics, challenges in the business environment, and lack of senior manage-
ment support. Factors related to the project include high expenses, underestimating
complexity and workload, challenges with the extraction of quantities, low return
on investment (ROI), and dearth of understanding of cost over time, while factors
related to technical include data quality, inefficient technology, data integration, poor
understanding of DM applications, and lack of common data definition.
Furthermore, a study conducted by Vassiliadis et al. [34] grouped the factors of
DM into four categories, which are design, technical, procedural, and socio-technical.
The following is a description of each factor group: There is no set standard or
Towards the Adoption of Data Management Systems by Quantity … 151

Table 1 Data management factors in the quantity surveying profession

Factors References
Availability Zide and Jokonya [35], Baker [5], Sealmat et al. [31]
Predictability Ramukumba [27]
Flexibility Hammad et al. [12]
Accessibility Hammad et al. [12], Sealmat et al. [31], Ramukumba [27]
Scalability Hammad et al. [12]
Limitations Vassiliadis et al. [34], Briggs [8], Sealmat et al. [31]
Cost Ramukumba [27], Zide and Jokonya [35] Baker [5], Briggs [8], Hammad et al.
[12], Sealmat et al. [31]
Efficiency Briggs [8], Ramukumba [27]
Operations Ramukumba [27]
Deployment Vassiliadis et al. [34]
Training Vassiliadis et al. [34]

commonly used metadata management languages, data engineering techniques, or

design processes for DMs that design factors adhere to, as discussed in the study
conducted by Hayen et al. [17]. Further indicated that the technical considerations
are related to the discrepancy in hardware component selection and evaluation. Proce-
dural problems are the causes of shortcomings in the DM’s deployment. And lastly,
discussed that the final user needs to be involved in the data management design
process and trained on innovative technologies. Because the DM may reconfigure
the organization’s operations and introduce the functional or subjective domain of the
stakeholders, socio-technical elements converge on breaching organizational treaties.
From these two studies, the common important aspect is that the factors of DM are
related to the ‘project’, ‘technical’, and ‘environment or social’. Table 1 are factors
of data management towards the quantity surveying profession together with the
authors that highlighted the variables in their studies.

3 Methodology

The study investigated the adoption of data management systems by quantity

surveyors. This study was carried out with the intent to determine data manage-
ment systems that could be of significance to the quantity surveying profession. Due
to its effectiveness in comparing current and previous studies as discussed by Ajayi
and Osunsanmi [3], a quantitative research approach was used. In support of this,
Kothari [20] stipulated that quantitative research, which uses statistics when exam-
ining phenomena that may be described numerically, is focused on measuring quan-
tity or amount. Consequently, this study selected the quantitative approach since it
152 U. R. Phuriwa and M. Liphadzi

focused on comparing the theory (literature) and the current state of data management
systems for the quantity surveying profession.
A well-known research approach called ‘quantitative’ was utilized in this study,
while employing random sampling for the collection of the data. As such this
sampling was utilized because it aligns with the affirmation by Pandey and Pandey
[26] who discussed that random sampling gives participants an equal chance of
participating. Moreover, the respondents of this study were drawn from Gauteng
Province, South Africa. There is a high number of quantity surveyors found within
the Gauteng Province when compared with the other eight provinces of South Africa
which led to the sample being drawn from this province. A well-structured ques-
tionnaire was utilized to collect data, which had closed-ended questions and was
distributed to quantity surveyors including junior, senior, and candidate quantity
surveyors to name a few. The questionnaires were structured into three phases, with
the first phase assessing the biographic information, while the second phase assessed
the practice of data management deployed by organizations. Lastly, the third phase
of this study reviewed factors towards the adoption of data management systems by
quantity surveyors.
An extensive literature review of this study was utilized in the development of
variables of the questionnaire related to factors towards the adoption of data manage-
ment systems by quantity surveyors and practices of data management by organiza-
tions. In this study, eighty (80) questionnaires were distributed to quantity surveyors,
however only fifty-two (52) questionnaires were collected randomly from the quan-
tity surveyors. Statistical Package for Social Sciences (SPSS) v 29 was utilized in
the analysis of the collected questionnaires. In addition, the statistical analysis was
represented via frequency, and principal component analysis (PCA). Figure 1 below
are the steps for principal component analysis. The analysis revealed that from the
collected questionnaires 75% (which is equivalent to 39) represented registered quan-
tity surveyors, whereas 25% (equivalent to 13) represented non-registered quantity
surveyors. Consequently, this gives more credibility to the data collected as more
registered quantity surveyors contributed to the questionnaire. The response to the
questionnaire will be essential as registered quantity surveyors on the factors towards
data management systems for quantity surveyors.

4 Results and Discussion

This section presents the results and discussion based on the literature review and
analysis conducted. This section is divided into three sections, which entail personal
characteristics information, practices of data management deployed by organizations,
and lastly, factors towards adoption of a data management system.
Towards the Adoption of Data Management Systems by Quantity … 153

Fig. 1 Principal component analysis steps [18]

4.1 Personal Characteristics Information

To gain more knowledge on types of data management, respondents were requested to

determine the type of data management system used in their organization. As a result,
the analysis revealed that 25 respondents used ‘Microsoft’ in their organization, while
3 respondents utilized ‘Oracle’. Moreover, 11 respondents use ‘Google’ and lastly,
13 respondents apply data management ‘In-House’ in their organizations. Table 2
illustrates the results related to the type of data management systems that are used in
different organizations. The results show that most quantity surveying firms in the
South African construction industry have utilized ‘Microsoft’ as their preferred data
management system. Furthermore, this section assessed how respondents of the study
manage data within their respective organizations. In this part, respondents had three
categories of managing data within an organization including in-house, outsourced,
and combined (in-house and outsourced). The analysis revealed that out of 52 respon-
dents, 26 respondents indicated ‘In-house’, 11 respondents indicated ‘Outsourced’,
whereas 15 respondents indicated ‘combined (in-house and outsourced)’. The anal-
ysis indicates that half of the organizations manage data internally, whereas the other
half prefer outsourcing and combined methods of managing data. Table 2 shows
clearly the analysis of how organizations manage data.

4.2 Practice of Data Management Utilized by Organizations

In investigating the practice of data management utilized by quantity surveying orga-

nizations, Table 3 reveals that the most significant practice used in data management
154 U. R. Phuriwa and M. Liphadzi

Table 2 Respondents personal characteristics

Respondents Personal characteristics
Variables Frequency
Type of data management systems
1 Microsoft 25
2 Oracle 3
3 Google 11
4 In-house 13
Management of data in organizations
1 In-house 26
2 Outsourced 11
3 Combined (in-house and outsourced) 15

Table 3 Descriptive statistics analysis

Variables Mean item score Standard deviation Rank
File naming 4.25 0.998 1
Documentation 4.12 1.016 2
Data storage devices 4.15 1.161 3
Cataloguing convention 3.08 1.100 4
Logic apps 2.69 1.197 5
Consider metadata for datasets 2.63 1.314 6
BI software 2.60 1.241 7

is ‘file naming’ with a mean item score (MIS) of 4.25 and standard deviation (SD)
of 0.998. Other practice used in data management by quantity surveying includes
‘documentation’ with MIS = 4.12 and SD = 1.016, ‘data storage devices’ with MIS
= 4.15 and SD = 1.161, ‘cataloguing convention’ with MIS = 3.08 and SD 1.100,
‘logic apps’ with MIS = 2.69 and SD = 1.197 and ‘BI software’ with MIS = 2.63
and SD = 1.314. Lastly, ‘BI software’ had been ranked as the last practice used in
data management by organizations with MIS = 2.60 and SD = 1.241.

4.3 Factors Towards Adoption of Data Management

by Quantity Surveyors

As this study embraced principal component analysis, it is crucial to ensure the

suitability and viability of the data that had been collected from the respondents.
As presented in Table 4, it can be confirmed that the Kaiser–Meyer–Olkin (KMO)
value of this study was found to be 0.844, which according to the study conducted
Towards the Adoption of Data Management Systems by Quantity … 155

by Garson [14] it can be said that the data collected is ‘meritorious’ as the KMO
lies between 0.8 and 0.9. Consequently, the data is suitable to be used for analysis.
In addition, Barlett’s test of sphericity revealed that the chi-square of the collected
data was found to be 448.168, while the degree of freedom was 78 with a significant
value of less than 0.001.
Table 5 indicates the pattern matrix factor of the principal component analysis
conducted. From the literature review, 12 variables were identified and grouped into
three components utilizing the PCA method. The components were named based on
the variables found within the components.
a. Out of 12 variables, six variables were grouped into the first component as indi-
cated in Table 5. Variables found in the first components included ‘availability’
(80.4%), ‘predictability’ (78.7%), ‘flexibility’ (78.2%), ‘accessibility’ (76.8%),
‘schedule’ (66.9%), and ‘scalability’ (64.5%). This component comprises the
variables that align with the service that is provided by the system. As a result,
this component is named ‘technical elements’. This component is considered to
be noteworthy because it was ranked first in comparison with other components.
Table 5 indicates that this component has an eigenvalue of 6.924 and a variance
of 63.261%
b. Three variables were grouped into the second components as given in Table 5.
Three variables include ‘limitations’ (84.1%), ‘cost’ (75.2%), and ‘efficiency’
(63.1%). Consequently, this component was termed ‘project factors’ because
these variables relate to factors that affect organizations when implementing a
data management system. Table 4 reveals that this component has an eigenvalue
of 1.254 and a variance of 9.643.
c. In the third component, there are three variables identified, which include ‘oper-
ations’ (83.1%), ‘deployment’ (79.6%), and ‘training’ (71.3%). The variables
found within this component relate to the usage of the data management system
by quantity surveyors. Therefore, this component is labelled ‘social services’
with an eigenvalue of 1.213 and a total variance of 9.330% and it was ranked the
last as indicated in Table 5.
The analysis of this study grouped the factors of DM into three categories, namely
technical elements, project factors, and social services. These results match with the
study conducted by Briggs [8] and Vassiliadis et al. [34] who had grouped the factors
of adopting data management into categories that involved the technical, project,
environmental, or social. Furthermore, the variables found under these components
match those of the study by Briggs [8]. Consequently, it has been revealed that the

Table 4 KMO and Bartlett’s test

Kaiser–Meyer–Olkin measure of sampling adequacy 0.844
Barlett’s test of sphericity Approx. chi-square 448.168
Degree of freedom 78
Significant value < 0.001
156 U. R. Phuriwa and M. Liphadzi

Table 5 Factor loadings towards the adoption of data management

Cluster factor groupings Eigenvalues Variance percentage (%) Pattern matrix factor
1 2 3
Component 1—technical 6.924 53.261
elements
Availability 0.804
Predictability 0.787
Flexibility 0.782
Accessibility 0.768
Schedule 0.669
Scalability 0.645
Component 2—project 1.254 9.643
factors
Limitations 0.841
Cost 0.752
Efficiency 0.631
Component 3—social 1.213 9.330
services
Operations 0.831
Deployment 0.796
Training 0.713
Total variance 72.235

main factors that lead to failure in the DM success within the quantity surveying
profession are limitations, operations, and availability since they had higher pattern
matrix factors, which corresponds to the study by Vassiliadis et al. [34] and Briggs
[8]. This has led to a low adoption rate of data management systems by quantity
surveying organizations.
The findings align with the factors that were highlighted by the authors from the
literature review above. The main variable that was highlighted by many authors
was ‘cost’ as given in Table 1. As such it is crucial to note that cost is an important
aspect that was highlighted and the finding in Table 5 revealed cost as a variable
under component 2 named project factors. Other factors that are to be taken into
consideration are accessibility, availability, and limitations as highlighted by several
authors. Accessibility and availability are factors that are found under the technical
elements as it has been stipulated by authors mentioned in Table 1 and limitations
fall under project factors as it has been discussed in the literature above.
Towards the Adoption of Data Management Systems by Quantity … 157

5 Conclusion

Finding the variables influencing quantity surveyors’ adoption of data management

techniques in the South African construction sector was the aim of this study. The
literature reviewed revealed that factors that determine the adoption of data manage-
ment practices for quantity surveyors in South Africa are accessibility, efficiency,
and many other factors that affect the adoption of data management practices. The
factor accessibility must be important as the data has to be readily accessible if an
appropriate data management system is to be developed. Secondly, the data has to be
efficient, and the data management system has to be efficient as the data generated is
getting bigger in the era of the Fourth Industrial Revolution. It is very important that
the data is reliable, and the data management system is reliable, this is so that there
is no crashing of the data and the data management system. Security is key for a data
management system as there is limited security, this makes it difficult for data to be
managed if there is not adequate security for the data generated, thus making the
storage of data from the project difficult. Performance is an important factor for the
adoption of data management systems, in this era of the Fourth Industrial Revolution,
the performance of the data must be important as well as the management system
managing the data.
Most importantly, it is key that the personnel managing the data must be constantly
trained in the management of data, as there are constant changes to the management
of data. The maintainability of the data management system is not easy, and as
such it affects the adoption of a data management system. The availability of the
data is another factor that affects the adoption of a data management system, if
the data is unavailable, it makes it difficult to manage the data. The quality of the
data is important, as the quality of the data captured and stored is imperative. The
scalability of the data management system is important as data gathered are often
in large volumes, so it is important that the data management system can scale up,
down, or sideways. The findings are in agreement with the literature and thus the
objective of the study was achieved.
This research study was only based on the relevant construction project stake-
holders in Gauteng Province, South Africa. The relevant respondents for this study
were quantity surveyors within the Gauteng Province. This study only determined the
factors affecting the adoption of data management practices for quantity surveyors
in the South African construction industry.

6 Ethics Statement

Not applicable.

Acknowledgements The authors acknowledge the Sustainable Human Settlement and Construc-
tion Research Centre, University of Johannesburg. Furthermore, the authors acknowledge the
Department of Construction Management and Quantity Surveying, University of Johannesburg.
158 U. R. Phuriwa and M. Liphadzi

Author Contributions Unarine Ronaldo Phuriwa contributes to conceptualization, methodology,

analysis, draft preparation, manuscript editing, software, and validation. Murendeni Liphadzi
contributes to conceptualization, manuscript editing, methodology, analysis, visualization, super-
vision, project administration, and funding acquisition. All authors have read and agreed with the
manuscript before its submission and publication.
Funding This research study received no specific financial support from any funding agency.

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Investigation of the Effects of Supply
Chain Disruptions on Offsite
Construction Projects

Sanaz Nesarnobari, Wajiha Shahzad, Mostafa Babaeian Jelodar,

and Monty Sutrisna

1 Introduction

Offsite construction is described as the process of creating construction elements

offsite in a specifically designed manufacturing plant, similar to a factory [35]. The
numerous benefits of OSC to all industrial sectors contribute to the recent surge in
interest in the usage of offsite buildings. Despite its advantages, OSC application
remains restricted, undeveloped, immature, and sluggish [32] owing to a lack of
understanding of important problems. One of the most significant barriers to adop-
tion is supply chain fragmentation. The supply chain is an integrated network of
enterprises and supplier-distributor connections [33]. The supply chain is a product
transformation mechanism that transforms raw materials into inventories, work-in-
process inventory, and finished items [34]. Control of the supply chain is a long-term
competitive advantage and one of the businesses’ most important success criteria
[4]. The supply chain has become crucial because construction activities have been
decentralized [46]. OSC works with current businesses (such as suppliers) that are
moving to industrialization and their level of engagement in the offsite housing
supply chain. Controlling the supply chain to guarantee sustainability is critical and
complex because of the differences between OSC and traditional supply networks
[2].
Risk events are a continual source of frustration for supply chain and logistics
management. Uncertainty impedes companies’ capacity to create economic value by
causing overreactions and unnecessary interventions and increasing the likelihood of
delays and quality difficulties [7]. Furthermore, it increases supply chain complexity,
which should be avoided or eliminated [7]. The five most prevalent risk classification
approaches are process, control, demand, supply, and environment [35]. In 2019,

S. Nesarnobari (B) · W. Shahzad · M. B. Jelodar · M. Sutrisna

School of Built Environment, Massey University, Auckland, New Zealand
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 161
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_11
162 S. Nesarnobari et al.

Luo et al. completed the most recent SCR investigation for an offshore construction
project in Hong Kong. They give a more in-depth understanding of SCRs in offsite
buildings by considering linked stakeholders and dynamic risk interactions to solve
the limitations of traditional static risk analysis [28]. The capacity to respond to and
manage these risk events puts a firm ahead of its competition and reduces long-
term commercial damage. Respond, efficiency, and dependability are the essential
characteristics of supply chain profitability [15]. Supply networks must respond
quickly to external and internal risk events while being efficient and dynamic in
order to remain profitable.
Risk in the supply chain is created by uncertainty about future risk occurrences,
which can occur at any point in the supply chain. Risk events occurring at various
levels of the supply chain system may have a negative impact on supply chain perfor-
mance. Supply chain risk management is the management of such incidents, and it
has become a significant component of corporate strategy. Risks can induce unex-
pected changes in the supply chain’s material flow, manufacture, transportation, and
assembly. Recognizing many types of risks and the events and conditions that cause
these risks is the first step in risk management in the supply chain. As a result,
it is critical to detect various sorts of hazards along the supply chain. A thorough
examination of the literature is necessary for this goal. As a result, this evaluation
research aims to better understand the supply chain disruptions for offsite construc-
tion, particularly in terms of enhancing management. By evaluating Scopus database
papers on offshore building supply chain hazards, this study will also help scholars
propose future research recommendations. Scientometric research is characterized
as a “quantitative study of science, science communication, and science policy”
[16]. This work offers a scientometric review using the scientometric technique to
examine and map the literature on disruptions associated with supply chain of OSC.
This paper’s findings highlight the significant subjects in the gap literature and give
a better knowledge of current research priorities.

2 Methodology

Conducting a scientometric review can facilitate the identification of pertinent authors

and countries, thereby aiding in discovering research gaps in the field. To meet the
aims of this review research, relevant scholarly papers on OSC confronted with risk/
disruptions were obtained from an online dataset. As a result, a list of scholarly
papers was culled from the Scopus database. Setting research limitations is critical
to circumvent the problem of scanning every related article (Van Eck 2014). In this
paper, scientometric studies are performed on data from the Scopus online database,
utilizing scientometric methodology and a scientific mapping technique. Figure 1
depicts the methodological process structure for this enquiry.
Investigation of the Effects of Supply Chain Disruptions on Offsite … 163

Fig. 1 Scientometric approach

2.1 Framework

The article’s primary objective is to conduct a comprehensive scientometric analysis

of how disruptions and risks impact various phases of offsite construction projects.
It also aims to identify the response strategies employed by project participants
thoroughly. Additionally, the paper explores strategies to promote sustainable growth
in the supply and demand of offsite construction, along with the valuable management
lessons the construction industry can glean from handling disruptions and risks.
The paper effectively clarifies the scientometric review methodology used to
assess research related to disruptions and risks in the OSC sector. In this study,
the authors utilized science mapping techniques within VOSViewer [44] to create
visual representations of the offsite construction landscape. VOSViewer’s growing
popularity is noted for its role in facilitating literature reviews in construction engi-
neering and project management, including fields such as public–private partnerships
[40], building information modeling (BIM, as demonstrated by [14]), and building
control [37]. Furthermore, its applicability extends to various other research domains,
as indicated by Zhao (2017).

2.2 Screening

The Scopus database was searched by using the keyword combinations like “risk” OR
“hazard” OR “delay” OR “disruptions” words. The others are: “off-site construction”
OR “offsite construction” OR “prefabricated construction” OR “modular construc-
tion” OR “offsite construction” OR “modern methods of construction” OR “modular
construction.” Finally, 20 articles were selected. Inclusion Criteria: This research
investigates the impact of disruptions on offsite construction projects and the strate-
gies to mitigate them. Therefore, this study includes papers that specifically address
164 S. Nesarnobari et al.

these subjects. Exclusion Criteria: Any literature unrelated to the offsite construc-
tion process or does not pertain to the influence of disruptions in this context will be
excluded from this research.

3 Finding

3.1 Co-occurrence Analysis

A keyword co-occurrence analysis was conducted, involving a total of 791 keywords

initially. After applying a predefined minimum threshold, 76 keywords were iden-
tified and screened for relevance. Duplicate and irrelevant keywords were subse-
quently removed from this list. Consequently, 59 valid keywords remained, forming
the basis for generating the scientific map displayed in Fig. 2. In this visualization,
the associations between keywords and clusters of phrases are color-coded using the
VOSViewer visual analysis tool. Each distinct color corresponds to a different collec-
tion of keywords. It’s important to note that the distance between two keywords on the
map reflects the strength of their cross-reference link. More considerable distances
indicate weaker connections, while shorter distances suggest a higher likelihood of
clustering co-occurring phrases.

Fig. 2 Keywords co-occurrence map of references

Investigation of the Effects of Supply Chain Disruptions on Offsite … 165

Figure 2 provides an overview of ten distinct clusters, with “risk assessment” being
the most extensively researched keyword. This keyword frequently co-occurs with
others such as “off-site construction,” “modular construction,” “risk management,”
“cost,” and “occupational risk.” The size of each node in the figure indicates the
frequency of co-occurrence of keywords. The 59 keywords are roughly categorized
into four groups based on their node colors. Red Nodes: These keywords are primarily
associated with decision-making, barriers, and cost research in offsite construction
(OSC). They contribute significantly to understanding how OSC decisions are made,
the challenges faced, and the associated costs. Green Nodes: Keywords in this cate-
gory relate to optimization techniques, risk management, production control, and
genetic algorithms. These are commonly used to enhance the optimization of offsite
construction processes, focusing on efficiency and risk reduction. Purple Nodes:
Simulation is a prominent keyword in this group, often employed to study ways
to enhance the adoption of OSC and reduce costs related to risk management. It
focuses on simulating OSC scenarios to gain insights into its potential improve-
ments. Blue Nodes: Keywords here center around risk analysis and risk assessment,
particularly concerning OSC’s cost, risk, and delay. Researchers often use these
terms to examine the impact of risks on OSC projects. Yellow Nodes: This category
encompasses keywords related to decision support systems, supply chain manage-
ment, and stochastic models, which are commonly used to manage risks in OSC.
These keywords highlight strategies for effectively navigating risks within the OSC
context. In summary, Fig. 2 provides a visual representation of keyword clusters in
OSC research, offering insights into the major areas of study and their interconnec-
tions, with a strong emphasis on risk assessment and management, cost analysis, and
optimization.
Keyword analysis serves as a valuable tool for identifying the core content of
publications, enabling us to effectively pinpoint key research topics in risk research
within offsite construction (OSC). As illustrated in Table 1, aside from “risk assess-
ment,” other frequently mentioned keywords encompass “offsite construction,” “pre-
fabrication,” “risk management,” “cost,” and “risk factors,” with 19, 17, 11, 8, and
6 occurrences, respectively. This suggests that these topics are central to the OSC
risk research landscape. Furthermore, it’s notable that numerous studies, particu-
larly in China, delve into various aspects of OSC-related risks. These studies address
multiple issues, such as risk identification [55] and cost management [8]. This indi-
cates a significant interest in understanding and managing risks associated with OSC
projects in China, specifically focusing on risk identification and cost control.

3.2 Countries Studying Risks

This section analyzed the nation or region data from the 85 articles to discover which
countries are presently receiving more attention in the researched field. Table 2
shows that ten countries are conducting research on the subject of research. Figure 3
166 S. Nesarnobari et al.

Table 1 Summary of mostly

Number Keyword Occurrence Total length
studied keywords
1 Risk assessment 22 140
2 Offsite construction 19 106
3 Modular construction 19 74
4 Prefabricated construction 17 82
5 Project management 15 91
6 Risk management 11 78
7 Costs 8 44
8 Occupational risk 7 55
9 Manufacture 7 47
10 Offsite manufacturing 7 47
11 Offsite construction 7 41
12 Risk factors 6 41
13 Supply chain 6 29
14 Risk analysis 5 21

illustrates that the majority of specialists, with a total of 35 publications, have under-
taken significant studies in China. China has excited international interest as the first
country to announce the concerns. Scholars should look at China’s contributions to
risk reduction through offsite projects. There are 19 relevant studies in Australia and
9 in the United Kingdom. Apart from China, Australia, and the United Kingdom,
there are 8 in Hong Kong and 11 in the United States. Varied countries implemented
varied standards for epidemic prevention policies, resulting in varying effects and
techniques.
Table 2 shows that experts from China, Australia, and the United States rank first,
second, and third in terms of the number of publications, respectively. Furthermore,
China has the highest total connection strength in SCD research connected to OSC.
However, China is at the forefront of global leadership in this area.

Table 2 Country active

Country Documents Citations Total Strength
analysis
China 35 535 1463
Australia 19 312 1357
United States 11 225 324
United Kingdom 9 213 740
Hong Kong 8 261 553
South Korea 8 131 206
Malaysia 7 35 159
Canada 6 108 219
Turkey 3 24 221
Indonesia 3 15 104
Investigation of the Effects of Supply Chain Disruptions on Offsite … 167

Table 3 List of disruptions adopted from recent works

Disruptions Sources
Material shortage [11, 21]
Non-standard building material
Issues related to project permitting [9, 18, 21, 25, 52]
Legal and regulatory challenges
Resilience performance
Joint design for connecting offsite components
Site storage and security for offsite manufactured components [9, 18, 21, 25, 49]
Safety and function of temporary structures onsite
Poor understanding of process plans/system failure
Lack of knowledge and expertise and low levels of skilled labor
Inclement weather [1, 11, 49]
Lateness in delivering
Unsuitability of project delivery method
Early arrival and wrong delivery of modules onsite
Limitation of onsite space [1, 11, 49, 51]
Quality damage of components
Transportation restrictions (size & weight)
weather
Experience of employees in OSC projects [1, 51]
Lack of relevant safety education
Stakeholder fragmentation and management complexity
Poor supply chain integration and disturbances [1, 11, 51]
Supply chain information gap and inconsistency
Poor cooperation and communication among project

4 Discussion

During the various stages of offsite construction including design, manufacturing,

transportation, and installation disruptions can occur. Disruptions in any stages of
offsite construction projects affect the projects and lead to delays in the planned
schedule [17, 23, 53], delivery [36], and an increase in the total cost [30, 31].
Previous research has identified various design-related risks in offsite construc-
tion (OSC) projects, including: The absence of design codes can lead to specific
concerns during the design stage, particularly regarding the performance of connec-
tions between prefabricated structural components [43]. Risks associated with design
uncertainty in joints between prefabricated components can subsequently impact
construction [25]. OSC designs that inadequately account for local conditions, such
168 S. Nesarnobari et al.

Fig. 3 Country active analysis

as supply chain management [18, 55]. Insufficient knowledge or experience among

industry professionals involved in the design, construction, or management of OSC
projects [27].
Communication challenges within OSC project teams, including coordination
issues between architects and contractors [19, 29, 39]. In prefabricated building
projects (PBPs), typical lifecycle stages include feasibility study, design, manufac-
turing and transportation, construction, and operation and maintenance [47, 48]. Eze
et al. [12] conducted a quantitative survey, identifying contractor-related and design-
related causes as the primary categories of rework risk triggers, focusing on manage-
ment problems and stakeholders [12]. These risks if not addressed early will lead to
contractual risks which could be detrimental for working relationship and develop
into, or serious disputes [20]. Du et al. [10] developed a multi-agent-based model to
quantitatively assess how design change management strategies can enhance project
performance. Sutrisna and Goulding [41] explored risks throughout the design stage
to facilitate the adaptation of OSC [41]. One significant factor hindering organiza-
tions from achieving value in OSC is uncertainty, which can lead to potential delays
and issues due to unnecessary interventions and overreactions [54]. This complexity
is particularly prominent in the supply chain [54]. As a result, recognizing risk
factors becomes crucial. Yang et al. proposed a framework for identifying uncertain-
ties with multifaceted, interconnected, and context-specific features to address this.
This framework assesses the probability and impact of these sources of uncertainty.
Kim et al. [24] proposed a dynamic model for production scheduling in precast
concrete projects. They utilized discrete-time simulation and a new dispatching rule
that considers the uncertainty of due dates to minimize delay in response to real-time
changes [24].
Furthermore, researchers have made concerted efforts to identify and prioritize
the causes of project timeline delays within the realm of offsite construction (OSC)
projects. For instance, Wuni et al. (2019) undertook a comprehensive literature review
Investigation of the Effects of Supply Chain Disruptions on Offsite … 169

to pinpoint the primary risk factors influencing modular integrated construction

projects, which represent a comprehensive form of OSC [50]. Additionally, Wuni
and Shen [52] underscored the significant relationship between early-stage project
decisions and project success in prefabricated prefinished volumetric construction
projects. In a similar vein, Luo et al. [28] conducted a meticulous investigation
to uncover supply chain risks (SCRs) responsible for delays and cost overruns in
precast concrete (PC) projects. Their approach involved a combination of literature
analysis, interviews, focus group meetings, case studies, and social network analysis
to dissect SCR-related issues tied to various stakeholders [28]. Cho et al. [5] delved
into 19 instances of precast concrete (PC) construction projects in Korea during 2021.
They employed fuzzy-set qualitative comparative analysis to explore the connection
between early-stage PC project conditions and actual schedule delays [5]. In 2020,
Chang et al. developed a dual-objective optimization model aimed at minimizing
security risks within systems and controlling costs to reduce the extent of construc-
tion safety risks associated with prefabricated structures [3]. Additionally, in 2021,
Liu et al. introduced an innovative real-time scheduling and tracking-based dynamic
optimization technique tailored for the transportation and storage of precast concrete
component [26]. Jeong and Jeong [22] conducted an evaluation of accidents related
to modular construction that occurred in the United States between 2000 and 2018.
Their study focused on safety risk factors, including accident types and causes [13].
Moreover, Hsu et al. proposed a mathematical model for optimizing the logistics
stage, encompassing manufacturing and assembly phases, to refine the risk-averse
logistics configuration for modular construction projects operating under conditions
of operational uncertainty [38]. The forthcoming table will present a detailed list of
risks gleaned from the latest research in this field (Table 3).

5 Conclusion

The OSC is related to lifecycle cost reductions, decreased construction waste,

increased flexibility, lower carbon emissions, and building process simplicity.
However, OSC’s unique design, engineering, supply chain, stakeholder mix, and
management need to provide a broader range of risks and uncertainties that might
jeopardize the aforementioned benefits. In response, empirical research has been
conducted in several nations to investigate the numerous risks connected with OSC.
Due to the focus of more studies on distinct risk components of OSC, it is necessary
to synthesize the empirical study findings in order to establish a research framework
for the essential elements associated with OSC. A thorough review of 20 empirical
recent research on the dangers of OSC was undertaken in this study.
The analysis of recently published articles has revealed that risk factors in offsite
construction impact all supply chain stages and are not limited to a specific phase.
The findings suggest that seven key factors significantly influence project timelines.
These factors are: (1) Shortage of skilled and experienced laborers. (2) Late design
170 S. Nesarnobari et al.

changes. (3) Poor site attributes and logistics. (4) Unsuitability of design for modu-
larization. (5) Contractual risks and disputes. (6) Lack of adequate collaboration and
coordination. (7) Challenges related to tolerances and interfaces. These factors affect
project timelines and contribute to increased project costs. While some elements may
primarily impact a single stage of the construction process, others have repercus-
sions across multiple locations. Consequently, it is crucial to analyze and identify
risks associated with offsite construction thoroughly. By doing so, we can enhance
the adoption of offsite construction methods over traditional in situ construction,
recognizing the benefits of the new approach.
The results of this study may significantly value and benefit academics, policy-
makers, and advocates in the construction industry seeking empirical quantitative
proof and explanations of the recent risks and repercussions needing response solu-
tions. A comprehensive understanding of the implications of demanding response
methods is critical for effectively combating the pandemic. The awareness of conse-
quences was closely associated with reaction approaches that might enable politicians
and activists to establish response plans that minimize the negative impacts of the
offsite building sector.

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Examining Infrastructure Pipelines
Information for Their Relevance
in Construction Organizations’ Strategic
Decision-Making

Taofeeq Durojaye Moshood, James Olabode Bamidele Rotimi,

and Wajiha Shahzad

1 Introduction

The construction industry in New Zealand helps to expand the nation’s economy by
boosting gross domestic product (GDP) per person, generating jobs and fostering
company growth [53]. In 2019, the construction industry contributed 6.7% to New
Zealand’s GDP, and in the first quarter of 2021, it employed more than 170,000 people
[32]. The industry has raised its goals to satisfy the government’s desire for housing
and infrastructure that are secure, cheap, healthy, and sustainable [81]. The govern-
ment gives the construction industry special priority and wants to boost its capacity
[88]. Improving the power and capabilities of the construction sector creates opportu-
nities for investment and infrastructural advancements while increasing the sector’s
activities [67]. Construction business performance requires improving the quality of
information to decide on a project, productivity, workforce, risk management, and
ensuring value for money [81]. However, the instability of the construction sector may
depend on infrastructure pipeline uncertainties and strategic decision-making. The
information provided by infrastructure pipelines assists in the creation of a forward
view of projects, guides the construction industry, the government, and stakeholders,
including contractors, and answers questions regarding when, how, where, and at
what cost investments will be made within New Zealand so that the construction

T. D. Moshood (B) · J. O. B. Rotimi · W. Shahzad

School of Built Environment, Massey University, Auckland Campus, New Zealand
e-mail: [email protected]
J. O. B. Rotimi
e-mail: [email protected]
W. Shahzad
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 173
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_12
174 T. D. Moshood et al.

industry can deliver on those investments. A consistent and dependable infrastruc-

ture pipeline may be developed by investigating when, how, and where investments
are made, as well as the total amount.
The construction industry is subject to increased stress and risk due to the
unpredictability surrounding the information and strategic decision-making process
regarding the delivery of significant pipes [90]. Every day, choices are made about
a building project, beginning with the tendering phase, and continuing through
the closing process. In the construction industry, decision-makers are tasked with
creating a wide variety of choices, including whether or not to accept a project, the
type of technical solution to be implemented, the amount of risk reserve to be consid-
ered concerning cost and schedule, whether or not to perform in-house construction
or to subcontract it out, whether to make or buy, lease or rent, which supplier to buy
from, which person to hire, and a multitude of other choices, as well as hundreds of
different options [87]. In order for the person to have the best chance of making the
best choice, they should have access to all of the relevant information, including the
facts, the repercussions, and the predictions of the decision [75]. On the other hand,
the quality of the information that stakeholders get in the decision-making process
might increase the likelihood of achieving desirable results. This does not, however,
imply that the outcome of the choice will be exactly as anticipated [98].
However, the relevance of pipeline data in making strategic decisions needs to be
examined to guarantee that the data and information provided are accurate, compre-
hensive, and presented in a timely manner [46]. Many researchers have concluded
that executives make strategic decisions by following a methodical process that
requires careful consideration of the circumstances, alternatives, and consequences
[19]. This strategy is referred to as a “rational process”. Despite this, strategic
decision-making necessitates taking into account a variety of additional contextual
viewpoints, including those of top management (a choice that may be strategic or
managerial), decision-specific features, environmental determinism (environmental
characteristics), and organizational characteristics [28]. Executives must have access
to information that is both accurate and pertinent for them to be able to make
informed judgments on the company’s strategic direction. This information may
be obtained by collecting and examining data from various sources using infrastruc-
ture pipeline data. By utilizing this data, executives can obtain insights into market
trends, client behaviour, and operational efficiency, which may inform their decision-
making process [28]. The research indicates that information plays a significant part
in making strategic decisions and that data on infrastructure pipelines may efficiently
convey this information to decision-makers. On the other hand, aspects of the function
of information in the decision-making process receive very little attention in manage-
ment research. As a result, the purpose of this research is to assess the infrastructure
pipelines projects and identify the influence the information quality on strategic
decision-making within the context of pipeline construction project management.
Examining Infrastructure Pipelines Information for Their Relevance … 175

2 Methodology

In order to facilitate the analysis and screening of the collected studies, the preferred
reporting items for systematic reviews and meta-analyses (PRISMA) procedure is
employed [57]. The PRISMA process flow, consisting of four sequential steps, is
illustrated in Fig. 1. This study meets the criteria for a systematic review [80]. A
scientific procedure that can be replicated, known as a systematic review, is used
to locate, select, and assess all published research pertinent to a given quality level
[13]. One of the benefits of utilizing this methodology is that it makes it possible
to research a specific area using a more logical and standardized technical approach
[45]. As a result, the results can be presented to readers objectively and transparently
[36]. There are some problems with the technique. Because journals tend to publish
publications with findings that have a substantial influence, valuable studies with
outcomes that are not significant, as well as articles written in a language other than
English, will be overlooked [45]. Following the technique for conducting a systematic
literature review presented in Fig. 1, the articles found were subjected to screening,
filtration, and validation to determine whether or not they should be included in the
analysis.
Following the prescribed guidelines for conducting a systematic review [45,
80], this study employs a rigorous methodology to assess a specific quality and
quantity of research on the topic of infrastructure pipelines—a critical information
aspect for construction companies in strategic decision-making. The review provides
readers with an unbiased, transparent, and standardized technical roadmap, outlining
database selection, study retrieval, and criteria for selecting target studies. Further-
more, this systematic approach is designed to be replicable and updatable. The key
components of this systematic strategy include: (1) formulating a research question,
(2) aggregating pertinent studies; (3) selecting and appraising relevant research; (4)
performing a content analysis of the chosen studies; and (5) summarizing the findings
and presenting recommendations.

2.1 Search Strategy and the Selection of Studies

The researcher searched for relevant literature using the Scopus and government
documents. In addition, we want to address the concerns and examine infrastructure
pipeline information for their relevance in strategic decision-making within New
Zealand construction firms. As a result, this research decided to use well-known
datasets as the source databases. The database researcher chose to use Scopus because
it is widely regarded as the one that houses the most abstracts and citations anywhere
in the world. Scopus covers 15,000 journals published by 4000 publishers, including
Elsevier, Emerald, Taylor and Francis, John Wiley, Springer Nature, and EPPM [45].
They include sufficient and relevant literature in terms of number and quality to make
them helpful in conducting a comprehensive review of the evolution of infrastructure
176 T. D. Moshood et al.

Records identified
through databases
Identification searching and
government
documents.
(n=213+8)

Records screened,
Screening
removed duplicates.
(n=112 papers
considered for
analysis and 5
government
documents)

Full-text articles
Full-text articles excluded, with
assessed for reasons.
Eligibility
eligibility. (n=8)
(n=100 from
databases and 5
government
documents)

Inclusion
Studies included in
(n=97)

Fig. 1 Methodology framework

pipelines for their relevance in strategic decision-making within construction firms.

Both “Strategic decision-making”, “Information quality”, and “Quality of informa-
tion” were included in the titles of all scholarly publications published in reputable
journals and relevant keywords.
Infrastructure pipelines undergo a thorough examination to assess their relevance
in strategic decision-making within construction companies, covering various key
stages. The assessment process is meticulously structured around segments focusing
on processes, findings, and discussion, allowing readers to track the data production
process and comprehend the implications of the findings. The articles underwent a
rigorous screening, filtering, and checking process, employing an iterative selection
technique in line with the systematic literature review strategy presented, determining
their inclusion in the study. To identify and conclude the aspects of information
Examining Infrastructure Pipelines Information for Their Relevance … 177

quality impacting decision-making processes, a meticulous elimination of dupli-

cates, verification of eligibility based on abstracts, and a comprehensive review of
the full content of outstanding papers were conducted in alignment with the study’s
objectives. Adhering to the systematic literature review guidelines, all 97 papers were
individually examined and verified, leading to the decision to employ the ATLAS.ti 9
software for efficient organization, categorization, and evaluation of the study mate-
rial [58]. Recognized as a potent tool for qualitative analysis, especially with exten-
sive textual and graphical data, ATLAS.ti 9 facilitated the systematic review process.
Duplicates were systematically removed, eligibility was validated through abstracts,
and the entirety of exceptional articles was assessed against research concerns to
determine the suitability of infrastructure pipeline information for strategic decision-
making within the investigated construction firms. Employing a systematic literature
review approach, all 97 articles underwent meticulous evaluation and were confirmed
as authentic.

3 Literature Review

3.1 Overview of Infrastructure Pipeline Projects in New

Zealand

Over the years, the New Zealand government has significantly emphasized infras-
tructure development, residential construction, and non-residential building projects.
The pipeline projects in the country are categorized into three main types: public
projects, private projects, and public–private projects [83]. Each project owner deter-
mines the payment method, contract nature, and level of risk expected for contractors
or suppliers involved. The construction pipeline project information describes and
analyzes all large-scale pipeline projects and spending across New Zealand’s regions
[53]. The analysis includes details on the planned project spending type, the timing
and value of significant projects, and a regional element of project spending [64].
The pipeline project data is specific information and statistics related to the various
projects within a pipeline. It includes a range of data points relevant to the plan-
ning, project descriptions, implementation, timelines, project value, location, and
monitoring of the projects. Pipeline projects create a forward view of all building
and construction works [53]. Consistency in the project pipeline process is vital
to establishing agreed-upon timelines, allocating team members to specific tasks,
maintaining clear project statuses, and ensuring accurate project information [52].
The goal of constructing pipeline project data encompasses a wide range of tasks,
including strategic planning, investment scheduling, coordination of project execu-
tion, and collaboration between businesses and government entities [53]. Estab-
lishing a clear project pipeline is of utmost importance as it enhances awareness
among government and industry stakeholders, providing valuable insights into poten-
tial projects and the required workforce and resources to complete specific tasks
178 T. D. Moshood et al.

[12]. Research conducted by Larsen et al. [42] further emphasizes that effective
pipeline project planning enables a comprehensive understanding of the project and
its resource requirements while minimizing the likelihood of unexpected obstacles
that may hinder or delay project completion.
Moreover, pipeline projects facilitate the government and the construction sector
in formulating future plans for timely and cost-effective project completion. They
contribute to streamlining efficiency and offering precise insights into project fore-
casting and construction patterns [18]. Additionally, identifying and locating these
projects can improve construction quality, productivity, and employment opportu-
nities for both skilled and unskilled workers and provide valuable insights into the
procurement process [53].
Adopting a forward-looking approach to planning and project execution can
result in an average profit margin increase of 23% for projects [41] while concur-
rently reducing risks and enhancing quality. As highlighted by Leon et al. [44],
a well-organized pipeline project enables precise monitoring of project perfor-
mance, ensuring that all project goals are achieved. Furthermore, forecasting pipeline
projects is pivotal in early monitoring and trend detection, enabling proactive
decision-making to prevent anticipated project delivery delays [18]. Failure to prior-
itize the development of a highly skilled workforce that can effectively meet the
demands of pipeline construction projects and quality of information, coupled with a
lack of strategic decision-making in this domain, can result in an industry boom that
lacks the essential knowledge and resources required for its sustainability [6]. Without
investing in workforce training and development, the industry may face a shortage of
qualified personnel, hindering project execution and compromising overall quality.
Furthermore, without strategic decision-making processes, the industry may struggle
to anticipate and adapt to changing market dynamics, leading to inefficiencies, delays,
and cost overruns [89]. It is crucial to recognize the significance of nurturing a
skilled workforce and making informed decisions to ensure the long-term viability
and success of the pipeline construction industry.

3.2 Sources of Infrastructure Pipelines Project Information

in New Zealand

In New Zealand, various sources provide valuable information on ongoing and

pipeline projects. As illustrated in Table 1, these sources play a crucial role in
capturing and disseminating project data.
These sources collectively contribute to the availability of comprehensive infor-
mation on ongoing and pipeline projects in New Zealand. They are essential refer-
ences for industry professionals, policymakers, investors, and the general public,
informing them about current and upcoming projects, their scope, timelines, and
the stakeholders involved [53]. It is worth noting that the accuracy and currency of
Examining Infrastructure Pipelines Information for Their Relevance … 179

Table 1 Sources of infrastructure pipelines project information

Organizations Sources
Government agencies – Ministry of Business, Innovation, and Employment (MBIE)
– New Zealand Transport Agency (NZTA)
– Department of Conservation (DOC)
– Ministry of Education (MOE)
Local government – City councils
– Regional councils
– District councils
Industry associations – Construction Industry Council (CIC)
– Infrastructure New Zealand
– Master Builders Association
Private organizations – Pacifecon NZ Ltd.
– Infometrics
– Statistics New Zealand
Media outlets – Newspapers
– Online news platforms
– Industry-focused magazines

project information may vary across different sources, and it is advisable to cross-
reference multiple sources for a complete and up-to-date understanding of the project
landscape. Therefore, New Zealand benefits from various sources providing project
data, allowing stakeholders to access vital information on ongoing and pipeline
projects. The availability of such information fosters transparency, supports informed
decision-making, and promotes collaboration among various parties involved in the
construction and infrastructure sectors.
Each source of information on construction pipeline projects in New Zealand
offers distinct advantages and disadvantages based on the type of information
provided. Coordinating and tracking all pipeline construction projects in the country
is time-consuming, prompting the government to prioritize establishing reliable and
accessible sources for project information [53]. However, it is essential to note that
specific future construction projects may be politically classified or subject to regu-
latory time frame restrictions before public disclosure and publication. To enhance
the availability of project information, the Ministry of Business, Innovation, and
Employment (MBIE) commissioned Pacifecon (NZ) Ltd and BRANZ to produce
the annual national construction pipeline report in 2021 [53]. Pacifecon (NZ) Ltd
specializes in providing pipeline construction project data across non-residential,
residential, and infrastructure constructions [69].
Additionally, in 2019, the New Zealand government established the New Zealand
Infrastructure Commission (NZIC), intending to ensure quality infrastructure invest-
ment to improve the construction sector’s sustainable long-term economic perfor-
mance and social well-being [92]. The NZIC provides information about infrastruc-
ture pipeline construction projects, emphasizing certainty and project phasing details
[63]. These initiatives by the government and the involvement of specialized organi-
zations contribute to a more comprehensive and reliable information ecosystem for
180 T. D. Moshood et al.

construction pipeline projects in New Zealand. Stakeholders can access data from the
national construction pipeline report, Pacifecon (NZ) Ltd., and the NZIC to obtain
valuable insights into ongoing and upcoming projects across various sectors [69].
However, it is crucial to consider that the availability and accuracy of information
may evolve, and cross-referencing multiple sources is advisable for a comprehensive
understanding of the project landscape.

3.3 Strategy Management in Construction Industry

Defining strategy proves challenging due to its intricate nature encompassing various
processes and activities within an organization [65]. Bakar et al. [7] offer a multi-
faceted perspective, presenting strategy as a plan, play, position, pattern, and perspec-
tives. While each of these viewpoints contributes to understanding strategy, none is
individually adequate to grasp its entirety. Scholars have sought to provide nuanced
interpretations of the concept, with Pamulu [70] defining it as the long-term direc-
tion and scope of an organization, achieving advantages by configuring resources
and competencies to meet stakeholder expectations in a dynamic environment. [91]
emphasize strategy as delineating objectives and providing a roadmap to achieve
them. Mintzberg and Rose [56] conceptualize strategy as creating a distinctive and
valuable position through a unique set of activities. Ng’andu [65] asserts that strategy
involves aligning internal organizational characteristics with the external environ-
ment, emphasizing the development of core competencies and strengths to navigate
threats and capitalize on opportunities [25].
While these definitions offer clarity, the practical essence of any business strategy
lies in an overarching plan of action defining the firm’s competitive position [65].
Organizational strategy is often characterized as a deliberate set of actions aimed
at attaining a competitive advantage, providing coherence and direction to the
organization [65].

3.4 Levels of Strategy

There are three levels at which strategy is practised in organisations;

• Corporate levels
• Business strategies or competitive strategies
• Functional strategy or operational strategies.
Corporate strategy involves the structuring and management of business activi-
ties, encompassing the definition of the firm’s overall mission and objectives. It plays
a pivotal role in validating suggestions from organization and functional levels and
allocating resources based on strategic priorities [33]. In the construction industry,
corporate strategies like subcontracting and joint ventures (JVs) are instrumental
Examining Infrastructure Pipelines Information for Their Relevance … 181

for growth and business development [2]. Joint ventures, particularly with estab-
lished larger businesses, provide opportunities for construction companies to expand
domestically and secure contracts through the bidding process that might be chal-
lenging to win independently [1]. Diversification in the construction industry involves
exploring related markets like property development, housing, building materials
supply, plant and equipment hiring, and mechanical and electrical engineering. This
strategic approach aims to enhance market presence and facilitate business expansion
[1].
The second tier of strategic planning involves business strategy, which focuses on
sustaining a competitive advantage within each strategic business unit [68]. Coulter
et al. [23] explain that business strategies involve how an organization competes
within a specific industry, focusing on critical success factors and outperforming
competitors [68]. In construction, strategies include adopting generic approaches like
cost leadership, differentiation, and focus. [1] assert that a differentiation strategy is
appropriate when a business can distinguish its products along valued attributes at a
cost lower than the anticipated extra revenue. The goal is to make customers perceive
the product’s value as significantly exceeding its cost compared to other alternatives
[14]. This strategy aims to reduce the price sensitivity of the business’s products,
wherein customers prioritize factors other than price in their purchasing decisions
[1].
The third level involves functional or operational strategy, as delineated by [27].
Functional strategies encompass short-term goal-directed decisions and actions in
various organizational functional areas, including marketing, operations, produc-
tion, finance, and human resources. To bolster business and corporate strategy, the
company must uphold a competitive strategy across each functional area [85]. In the
construction industry, an effective functional strategy involves a robust marketing
campaign for products and services. Despite the available options for functional
strategies in construction, choosing the most suitable approach remains challenging
due to the unclear literature on the subject [24]. Ehlers and Lazenby [27] echo the
complexity of strategy-making styles among owner-managers and entrepreneurs,
emphasizing the tendency to prioritize aspects closest to home, such as competen-
cies, capabilities, and resources [65]. This insight highlights the challenges inherent in
deciding on the optimal strategy within the construction industry, given the dynamic
landscape and diverse strategic options available.
• Competencies: Referring to activities that an organization excels in, often deemed
as “core” competencies, these are the actions employees undertake to generate
profit or establish a competitive advantage [65].
• Capabilities: Collections of competencies systematically linked and synergized
to yield strategic outcomes, competitive advantages, or superior profitability
constitute capabilities [65]. In the construction industry, organizational capabili-
ties often involve the aggregation of competencies cantered around specific skills
or tasks, stemming from the entrepreneur’s vision of the “right” core competence.
This knowledge is then transferred to other staff members, contributing to the
182 T. D. Moshood et al.

development of capabilities, the multiplication of which enhances profitability

and growth [24].
• Resources: Tangible and increasingly intangible aspects of the organization’s
infrastructure that support competencies and capabilities constitute resources.
For burgeoning small businesses, effective resource management is crucial, as
limited resources can impede the availability of necessary cash and assets for
sustaining initial development [65]. Hence, guided by the resource-based view
theory, the construction industry’s strategy selection depends on the competencies,
capabilities, and resources, both tangible and intangible, available to the owner
and the organization to some extent.

3.5 Infrastructure Pipelines Information as a Factor

in Strategic Decision-Making

As the world becomes increasingly interconnected, businesses face a growing amount

of data that they must analyze and interpret to make strategic decisions [47]. One
area where this is particularly important is infrastructure pipelines. This infrastruc-
ture pipeline information is critical for construction firms, and their efficient oper-
ation can significantly impact a company’s bottom line [99]. Information’s role in
making strategic decisions is rarely acknowledged, discussed, or analyzed as such
in management research publications. This is likely because management informa-
tion is viewed as an easily accessible production factor and is frequently “taken for
granted” in studies on organization performance [10].
In strategic decision-making, information input is often discussed in terms of
considering factors like the business environment, internal and external issues, and
changing conditions [9]. However, the characteristics of information in strategic
management, including its quality, sources, and actual use during decisions are
frequently overlooked [72]. Various scholars in information management [21, 31,
59, 60, 74] have explored the role of information in managerial choices.
According to [17], an organization operates as an open system that absorbs infor-
mation from the external environment, transforming it into knowledge, processes, and
structures to generate commodities or services. Information is strategically utilized
for decision-making, knowledge creation, innovation, and understanding environ-
mental changes [30]. Pertinent information for strategic choices encompasses internal
organization dynamics, market structures, competitors, consumer attitudes, tech-
nology, legislation, public affairs, as well as best practices and trends in these areas
[3, 20, 54, 59, 60]. Additionally, assessing market opportunities, threats, and risks is
crucial. Formalized routines, as per Robert and Wally [78], improve information flow
across the organization, expediting strategic decision-making. Yet, there’s a need to
balance information gathering costs and time against expected benefits to prevent
diminishing returns and ensure efficient decision-making [84, 99].
Examining Infrastructure Pipelines Information for Their Relevance … 183

3.6 Data/Information Needs and Strategic Decision-Making

in the Construction Industry

Companies typically rely on the experience and intuition of their management when
making decisions. This strategy hasn’t worked well, especially when no digital form
data is available [96]. By failing to implement a new approach to analyze their
underutilized fragmented data and produce meaningful information systematically,
organizations risk losing their ability to compete in the market [16]. According to Lu
et al. [51], managers should aim to pursue informed and sensible judgements rather
than entirely accurate ones. This indicates that decision-makers should be aware
of their actions’ facts, impacts, and implications, even if the final results are less
favourable than anticipated. Additionally, Du et al. [26] assert that three constraints
are placed on judgements by the limited rationality theory, as illustrated in Fig. 2.
First, there is a lack of information regarding potential options and their effects,
followed by a capacity issue with the information presented, and ultimately, there is
a decision-making time issue.
Considering the three restrictions, the bounded rationality theory logically
describes how people make decisions in the actual world [48]. The two types of
rationality boundaries are external and internal, respectively, according to Herbert
Simon’s 1955 bounded rationality theory [49]. The external constraint, or so-called
uncertainty, arises from the imperfection of our knowledge of the outside world.
This indicates that people don’t use their free time, if they have it, to learn about
all the factors that could impact their choices and results. Instead, they presumably
receive the data that is thought to be the most pertinent for choosing a certain amount
of time [48]. The restrictions to compute and handle a lot of data are, on the other
hand, internal limitations. Because of the temporal and internal cognitive constraints

Fig. 2 Constrained
rationality theory

Limitation
of Time

Limitation
of
Capacity

Limited
Information
184 T. D. Moshood et al.

that characterize human reason, even if we know all relevant facts and inputs for a
particular topic, we cannot process them all [50].
Moreover, the approach is influenced by both internal and external constraints.
Marwala [55] characterizes rational decision-making as “a process of making deci-
sions based on relevant information in a logical, timely, and optimized manner”. The
process initiates with an examination of the decision-making context, proceeds to
identify the necessary pertinent information, and culminates in a logical and coherent
presentation of this information to the decision-maker [55]. However, as Simon [86]
argues that the three boundaries make a perfectly rational choice practically impos-
sible, these limitations can only be partially overcome by utilizing cutting-edge infor-
mation processing techniques [55]. When the boundaries of reason are enlarged in
this situation, the theory of limited rationality is changed to the theory of flexibly
bounded rationality.

3.7 Strategic Decision-Making Under Quality of Information

According to [15], the information and data created during the lifetime of construction
projects become increasingly extensive in terms of volume and variety as the projects
themselves get more complicated and more extensive. According to Kliuchnikova
and Pobegaylov [40], as a result of this, it isn’t easy to handle all of this informa-
tion in an efficient and trustworthy manner. According to Chassiakos and Sakel-
laropoulos [15], one practical and effective strategy for overcoming this obstacle
would be to use databases and other online information management technologies.
According to Nisar et al. [66], the decisions made by project leaders during all phases
of the project, but particularly during the pre-construction phase, are seen as a crucial
component in determining whether or not the project will be successful. According
to Al et al. [4], managers should ensure that all of the relevant information is right and
can offer the appropriate inputs to the decision-making process during these phases.
This will help managers avoid potential risks and difficulties. It is common practice
for businesses to defer to highly compensated managers who have amassed a wealth
of expertise throughout their careers when there comes time to make choices about
their operations [16].
This is particularly true when data is unavailable or requires a significant invest-
ment to acquire in digital format. This method of decision management, which places
reliance on the intuitive reasoning of leaders, has been demonstrated to be insufficient
[40]. It is necessary to move towards making judgements based on facts to improve
the quality of decisions and the pace at which they are made [16]. Consequently, the
total performance will improve in the intermediate and long-term periods. According
to Safa and Hill [79], having readily available and easy-to-understand data can make
it more conceivable for construction leaders to uncover patterns, relations, and facts
that could improve the steady development of the project. According to Murphy and
Seriki [61], management can know more about the current state of their company
and take appropriate action based on the information they have gathered, linked,
Examining Infrastructure Pipelines Information for Their Relevance … 185

Fig. 3 Data, information, knowledge, and wisdom

and analyzed from raw data. According to Basar [8], big data analytics produce
valuable information and knowledge, which can help humans make better decisions.
According to Pan et al. [71], businesses can transform the outcome of processing
data into actionable information, knowledge, and ultimately wisdom when they use
particular and automated procedures. Raw data can take the form of a numerical
formula or simple facts, as illustrated in Fig. 3. Information may be gleaned through
the systematic analysis of this unstructured material. On the other hand, knowledge
is produced via the justification of information.
In order to make intelligent judgements that are grounded in reality, one must
have information that is accurate and up to date. According to Alnuaimi et al. [5],
an increasing number of businesses are moving away from an intuitive method of
gathering strategic data in favour of a more comprehensive and systematic one.
According to Cheng and Lok [16], digital facts-based systems make it possible to
bring disparate and piecemeal services together under a single Big Data platform. In
this environment, managers get integrated reports that include both an overview of
the work that has been performed and the current state of the task. Because of this,
they are better equipped to make judgements based on reasonable considerations
[37]. In addition, Jansen et al. [34] assert that businesses’ ability to make decisions
more expediently may be an essential aspect of their ability to benefit from market
competition. According to Mutale et al. [62], making decisions more quickly by
delivering the appropriate data in the proper time and in the suitable format to the
relevant decision-maker is possible.
186 T. D. Moshood et al.

3.8 Challenges in Quality of Information for Strategic

Decision-Making

The infrastructure pipeline project is beset with data gaps, missing data, and inad-
equate information. The key information management problem for organizations
is evaluating and enhancing data quality for strategic decision-making, and practi-
tioners are very concerned about the quality of the data they deal with [73]. This
study distinguishes between non-random systematic error (also known as bias) and
random non-systematic error in scientific measures [35]. Random mistakes might
result from unanticipated and uncontrollable occurrences, noise in the measurement
or data-gathering environment, or other factors. Systematic errors, often known as
bias, can result from persistent structural issues that tilt a measurement in a particular
direction [93]. Every measurement has random mistakes, which may be rectified by
repeatedly using the same measurement strategy. Systematic mistakes (also known
as biases) cannot be rectified using repeated measurement procedures since they do
not change between measurements but remain consistently skewed [29].
Given the unpredictable nature of random errors arising from operational
constraints, shifting circumstances, technological glitches, and individual capabil-
ities in data collection, it becomes essential to delineate between non-systematic
and systematic errors (bias) to uphold the quality of information management [39].
Systematic bias can stem from underlying structural issues like historical, social,
and political disparities or organizational and environmental [38, 95]. Biases have
the potential to distort representations of social groupings, geographic regions, or
concerns, impacting decision-making in both operational and strategic contexts
within construction enterprises [73]. The interplay between systematic and non-
systematic data inaccuracies across various organizational levels is illustrated in
Fig. 4, indicating the profound impact on the system.
This study made a distinction between systematic and non-systematic data biases.
Biases that cascade across the kind of data required to make decisions at various
organizational levels can subtly influence how the data are understood throughout
the system. This study addresses the need for a thorough knowledge of how infor-
mation quality emerges in intricate strategic decision-making in construction orga-
nizations [95]. To the best of our knowledge, there hasn’t been a thorough evaluation
of data bias in strategic decision-making in construction organizations. In the past,
researchers were primarily concerned with how much a model estimator deviated
from the actual value of the estimated parameter in the real world when studying the
quality of information [76]. The scientific discussion around information bias has
grown dramatically with artificial intelligence and machine learning development.
In addition to computer science, sociology and the humanities are now studying the
origins and effects of information bias more often due to deliberately skewed training
data [43]. In this study, the term “quality of information bias” characterizes datasets
that, whether intentionally or unintentionally, deviate from the actual real-world
phenomena they intend to represent. Biased datasets exhibit a “divergence between
Examining Infrastructure Pipelines Information for Their Relevance … 187

Strategic Level Senior Data/Information Decisions on Funding

Management Quality

Strategic/Operational Middle Data/Information Decisions on Resources

Level Management Quality (Fund, staff, materials,
etc.)

Individual Data/Information Decisions on

Operational Level Employees and Quality Implementation
Teams

Non-Systematic Systematic Data

Data Errors Errors (i.e. bias)

Fig. 4 Information-decision-interdependences within the multi-actor system

the true distribution and digitized input space” [38]. While prior research has iden-
tified factors influencing information quality, it hasn’t explicitly linked these factors
to potential biases that consistently impact information quality. Previously docu-
mented issues include format incompatibility, data shortage/overload, low informa-
tion priority, source identification challenges, storage media-activity misalignment,
unreliability, and unwillingness [77, 97].
According to Bharosa et al. [11], organizations face difficulties sharing infor-
mation since they are eager to gather knowledge but fail to share it with actors who
need it. According to Schwendimann [82], access restrictions brought on by political
and bureaucratic involvement, security and safety concerns, and capacity limitations
impede data collecting. To address challenges related to information uncertainty,
ambiguity, and time constraints, [94] delved into the concept of information delays
and breakdowns, emphasizing the utility of fragmentation as a crisis-coordinating
method. Comes et al. [22] underscored the fragmented nature of dynamic organiza-
tional networks, wherein data exchange occurs primarily among organizations within
specific sub-networks, neglecting potential benefits from sharing information with
entities outside these networks.
188 T. D. Moshood et al.

4 Discussion

The study highlighted the indispensable role of infrastructure pipeline information

in shaping strategic decision-making within the construction industry, particularly
within the unique context of New Zealand’s economy. New Zealand’s construc-
tion industry stands as a linchpin in propelling the nation’s economic engine. It
yields a substantial contribution to the country’s GDP and offers a plethora of
employment opportunities. These endeavours align harmoniously with the govern-
ment’s overarching objectives, which encompass the promotion of secure, affordable,
sustainable, and healthful housing and infrastructure for its citizens. Evidencing its
unwavering commitment, the New Zealand government prioritizes the construction
sector, granting it a distinctive and priority status. This strategic focus aims to bolster
the industry’s capacity and facilitate infrastructural progress, consequently fostering
lucrative investment prospects and driving robust economic growth. Nevertheless,
amidst its significant stature, the construction sector grapples with inherent instability,
primarily attributed to uncertainties surrounding infrastructure pipeline information
and the intricacies of strategic decision-making. Within the realm of construction,
decision-makers are confronted with a multitude of intricate choices, and the calibre
of information they access undeniably wields substantial sway over the outcomes of
these pivotal determinations. At the heart of this intricate dynamic lies infrastructure
pipeline data, a veritable compass that provides a forward-looking perspective on
projects. This indispensable resource acts as a guiding light for stakeholders across
the construction spectrum, including government bodies and dedicated contractors.
This data is the key to unravelling critical inquiries pertaining to project timing, loca-
tion, budgetary considerations, and the scope of investments within New Zealand’s
diverse landscape.
Strategic decision-making within this industry emerges as a multifaceted and
intricate process. It fuses rational and contextual elements, with the rational facet
entailing meticulous scrutiny of circumstances, alternatives, and their repercus-
sions. Concurrently, the contextual dimension considers top management’s insights,
decision-specific intricacies, environmental determinants, and the quirks of organi-
zational characteristics. The quality of information serves as the lynchpin of saga-
cious strategic decision-making. Infrastructure pipeline data is a trove of insights into
market trends, consumer behaviour, and operational efficiencies within this construct.
Such data empowers decision-makers to embark on well-informed journeys, even
when pursuing absolute accuracy remains a formidable challenge in today’s rapidly
evolving digital landscape. The construction sector employs a triad of strategic tiers
encompassing corporate, business, and functional strategies. Corporate strategies
delineate the overarching mission and objectives of the organization, while busi-
ness strategies are tailored to secure competitive supremacy within specific markets.
Concurrently, functional strategies are oriented towards steering short-term deci-
sions across diverse functional domains, encompassing marketing, operations, and
finance. These strategic choices pivot on the bedrock of competencies, capabilities,
Examining Infrastructure Pipelines Information for Their Relevance … 189

and the available resource arsenal within the organization. These integral components
collectively shape the trajectory of strategic vision within the construction industry.
In today’s digital epoch, data-driven decision-making ascends in prominence as a
transformative imperative. Construction enterprises must harness data to illuminate
their decision-making path, even amidst the inherent complexities that accompany the
pursuit of absolute precision. Data access unveils invaluable patterns and empirical
insights that propel project development and overall performance. Regrettably, infras-
tructure pipeline projects grapple with data voids, absent information, and lacunae
within their datasets. Distinguishing between systematic and non-systematic errors
(commonly termed bias) within these datasets emerges as a pivotal facet of informa-
tion management. Systematic biases, rooted in structural and contextual anomalies,
exert profound and far-reaching ramifications on decision-making, thereby neces-
sitating vigilant redress. The pivotal role of information quality reverberates across
the organizational echelons, governing decisions ranging from everyday operational
choices to the formulation of overarching strategic blueprints. Acknowledging and
rectifying data biases emerges as a non-negotiable imperative, ensuring that deci-
sions are grounded in wisdom and accord with the hallowed goals of the organiza-
tion. Therefore, infrastructure pipeline information stands as the bedrock upon which
strategic decision-making in the construction industry is anchored. The accessibility
and quality of data wield profound influence, shaping the trajectory of the industry’s
growth and its resonating impact on New Zealand’s robust economy. As we navi-
gate this dynamic landscape, the profound recognition of the criticality of accurate,
timely, and comprehensive information reverberates as the cornerstone of long-term
success and sustainability in New Zealand’s construction landscape.

5 Conclusion

In conclusion, infrastructure pipelines play a crucial role in the strategic decision-

making process of construction firms. However, pipeline data’s relevance in decision-
making must be examined to ensure accuracy, completeness, and timeliness. This
study has presented insights for improving infrastructure pipeline data and their
significance in strategic decision-making, incorporating insights from a literature
review, content analysis of articles, and interviews with construction firm execu-
tives in New Zealand. The construction industry in New Zealand is a significant
contributor to the nation’s economy, boosting GDP per person, generating jobs, and
supporting company growth. It is essential to improve the capacity and capabilities of
the construction sector to meet the government’s goals for secure, affordable, healthy,
and sustainable housing and infrastructure. The quality of information plays a vital
role in strategic decision-making, and infrastructure pipelines provide valuable data
that informs decision-makers about market trends, client behaviour, and operational
efficiency. The research indicates that information from infrastructure pipelines can
effectively support the decision-making process, but its function in decision-making
190 T. D. Moshood et al.

requires more attention in management research. Companies often rely on the experi-
ence and intuition of their management for decision-making, but this approach may
be insufficient, particularly when dealing with fragmented or underutilized data.
Organizations must adopt strategies to systematically analyze their data and derive
meaningful information to enhance their competitive advantage. The infrastructure
pipeline project faces challenges such as data gaps, missing data, and inadequate
information. Ensuring data quality for strategic decision-making is a critical concern,
and practitioners are highly aware of the importance of data quality. It is necessary
to differentiate between random and systematic errors (bias) in data measurement,
as biases can influence decision-making and lead to misrepresenting social group-
ings, geographic regions, or concerns. Recognizing and rectifying biases in data is
crucial to avoid operational and strategic issues in construction enterprises. System-
atic and non-systematic data inaccuracies can impact the decision-making process
and the organization’s overall performance. Information plays a significant role in
strategic decision-making, and infrastructure pipeline data can effectively convey
relevant information to decision-makers. However, the position of information in the
decision-making process requires further attention in management research. This
study focuses on understanding the types of information construction executives
require and how they utilize it to make strategic decisions for their organizations. By
improving the quality of information, addressing data quality issues and biases, and
leveraging infrastructure pipelines, construction firms can enhance their operational
efficiency, reduce costs, and make more informed decisions about ongoing and future
projects.

6 Institutional Review Board Statement

Not applicable.

Author Contributions Conceptualization: Taofeeq Durojaye Moshood and James Olabode

Bamidele Rotimi; Writing—original draft preparation: Taofeeq Durojaye Moshood and James
Olabode Bamidele Rotimi; Writing—review and editing: Wajiha Shahzad, James Olabode Bamidele
Rotimi, and Wajiha Shahzad; Methodology: Taofeeq Durojaye Moshood and James Olabode
Bamidele Rotimi. All the authors have read and agreed to the published version of the manuscript.
Funding The authors express gratitude for the generous financial support from the CanCon-
structNZ research programme, facilitated by the Ministry of Business, Innovation, and Employment
(MBIE) Endeavour Fund. This support is administered within the School of Built Environment at
Massey University.

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New Zealand Construction Nga Roopu
and Preferred Nga Tangata: Towards
More Purpose-Fit Selection

Andries van Heerden, Mikael Boulic, Barry William McDonald,

and Gregory Chawynski

1 Introduction

1.1 Teams (Nga Roopu) Within the Construction Industry

Most organisations, especially larger ones, execute their projects through teamwork
[11, 16]. This ability to organise employees with different skill sets into teams proved
to increase productivity within manufacturing and service sectors [14, 29].
In the construction industry, a significant part of employees’ undertakings occurs
in teams [4, 32]. Various teams from different organisations are put together as the
‘construction project team’. The misaligned fit between individual team members
and multiple teams within the overall construction project team can harm productivity
and product quality [1]. Teams typically have a few members who share leadership
roles, perform interdependent jobs, and accept individual and group accountability
and rewards [25]. McShane and Von Glinow [18] state, ‘all teams are groups, because
they consist of people in a unifying relationship, but not all groups are teams’. In

A. van Heerden (B) · M. Boulic · G. Chawynski

School of Built Environment, College of Science, Massey University, North Shore,
Auckland 0745, New Zealand
e-mail: [email protected]
M. Boulic
e-mail: [email protected]
G. Chawynski
e-mail: [email protected]
B. W. McDonald
School of Mathematical and Computational Sciences, College of Science, Massey University,
North Shore, Auckland 0745, New Zealand
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 197
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_13
198 A. van Heerden et al.

construction, the nature of the project will typically determine the size of the teams.
Therefore, it will not always be small [13].
Large construction organisations also use virtual groups to ensure international
competitiveness and increase the ability to access much-needed skills and resources
[16]. The challenge with these virtual project teams (VPTs) is creating early and
sustained trust between members throughout the project [22]. According to Jelodar
et al. [15], trust is a long-term goal and requires effort and time. According to
the ‘conflict as an antecedent of relationship quality model’ proposed by Jelodar
et al. [15], attributes such as teamwork, aligned commitment, performance satisfac-
tion, and trust all influence the relationship quality within teams. As collaboration
improves, the level of trust between team members increases [3]. Other research
findings reported that the characteristics of team members were the most significant
contributing factor to building trust in VPTs [19, 22]. Communication will deteri-
orate without trust and accountability within these teams [16]. Therefore, effective
teams should be able to achieve project goals that would not simply be accomplished
individually. According to Steyn [26], an effective team can be defined as ‘one that
achieves both high levels of task accomplishment and good human resource mainte-
nance or relationships’. That is, they maintain a positive working relationship with
one another.
Synergy between teams and their members is required for organisations to be
competitive and achieve long-term high performance in the construction industry
[13]. From the above it is clear that the construction industry needs high-performance
teams to cope with the industry’s demands [16].

1.2 Personalities (Nga Tangata)

Construction professionals that previously completed projects will know the signif-
icant impact that effective teams can have on the success of a project [6]. It is also
pivotal that the right person is added to such a team to reduce the unnecessary disrup-
tion of the project and current team members [23]. In the past, researchers such as
Guion and Gottier [12] reported that personality instruments should not be used
when selecting employees. Barrick and Mount [2] contested this notion much later,
who presented that personality measures can be used within a work-related context.
Other researchers supported this concept and reported that criterion-related validity
increases in a work-related context, improving the value of personality constructs
from an organisational perspective [20].
A meta-study that extended over 100 years determined that different methods
and combinations have diverse validities for predicting future job performance
[24]. For example, a structured interview and a general mental ability (GMA) test
increased their prediction. However, their research also concluded that methods
such as personal-organisation fit, personal-job fit, and amount of education have
insignificant validity. Techniques such as graphology have fundamentally no validity.
Their research underlined the importance of using at least two kinds of predictors
New Zealand Construction Nga Roopu and Preferred Nga Tangata … 199

in recruiting processes. Another meta-study by van Aarde et al. [27] concluded

that personality has a certain predictive validity. For example, in South Africa,
conscientiousness was the best predictor for task performance. Predictors, such as
extraversion, emotional stability, and openness were the best predictors for overall
performance.
In a previous study by van Heerden et al. [13], construction managers in South
Africa were recruited to participate in an online SAPI personality test. Their results
indicated that under the SAPI sub-dimensions, the variables (1) achievement orien-
tation, (2) broad-mindedness, and (3) intellect proved to be the most preferred in the
construction industry. Achievement orientation forms part of the SAPI’s main dimen-
sion, ‘conscientiousness’. SAPI defines achievement orientation as ‘being motivated,
perseverant, ambitious and hard-working towards achieving things in life’. Broad-
mindedness and intellect were grouped under the SAPI main dimension ‘openness’.
Broad-mindedness is defined as ‘being imaginative and seeking new experiences and
ideas’, and intellect as ‘being knowledgeable, a quick learner, adaptable, articulate,
innovative and perceptive’. Based on the results of these studies, there is a strong
indication that the construction industry requires personality traits that present high-
task performance individuals (conscientiousness), overall solid performers (extraver-
sion, emotional stability, and openness), and individuals that can positively manage
relations with others (positive social-relational disposition).
Within the South African multi-cultural context, the SAPI instrument was devel-
oped considering both culturally specific (emic) and universalistic (ethic) approaches
[27]. A previous study with a sample size of 654 Victoria University students,
including 226 Māori students, was conducted using SAPI. Their results confirmed
that the SAPI model is not confined to South African cultures and could be used
more extensively. Their study concluded that the indigenous SAPI model could be
used across cultures for a more inclusive understanding of personality roles [9].
For New Zealand construction organisations to be competitive, they must select
the right person to fit in well with the current high-performance team [32]. During
the selection of new employees and promotion within the organisation, psychometric
tests can effectively be used [7, 20, 27]. According to van der Merwe [28], screening
interviews are four times less effective than psychometric tests. Personality could be
defined as ‘(a) the sum total of all the physical, mental, emotional and social charac-
teristics of an individual; and (b) the organised pattern of behavioural characteristics
of the individual’ [7].
Psychological tests can be used efficiently during recruitment selection, place-
ment, and even counselling. These tests typically outperform all other kinds of
predictors, especially personality in the workplace. Even when test-validity coef-
ficients are not always notably high, it would be irrational to refuse them completely
[8, 21, 30].
In light of the above, it is evident that high-performance teams and aligned
team members required personalities that could positively contribute to the success
of projects within the New Zealand construction industry [17]. This exploratory
study compared various NZ construction professions with different selected SAPI
personality sub-descriptors to establish which is beneficial or disruptive for team
200 A. van Heerden et al.

members. The study further aims to determine which professions are task or
relationship-orientated.

2 Method

This research forms part of a broader research project where data was collected
from Site Safe members and their industry partners. Before the industry-wide ques-
tionnaire was distributed, various discussions and feedback were received from the
Site Safe research team and their vertical industry leaders (VIL). Minor changes
were incorporated, after which the Site Safe Marketing and Communication team
distributed the questionnaire through various platforms such as social media, newslet-
ters, etc. This cross-sectional study collected data from 30 June to 31 July 2020.
The data collection tool was a five-point Likert scale-type questionnaire, and we
used the South African Inventory Personality (SAPI) sub-descriptions (variables) for
exploratory purposes [10, 13]. According to Bowling [5], Likert scales are appro-
priate techniques to rate people’s attitudes, perceptions, or opinions. A total of 430
questionnaires were received, and for this study, only 300 completed questionnaires
were used to explore personalities versus three different professions in the New
Zealand construction industry. The professions were divided into (1) Blue-collar, (2)
White-collar, and (3) Owner/Director/Manager. How we divided these professions
are further explained in Sect. 3.3. Principal Component Analysis (PCA) was used to
look for highly correlated variables that seem to cluster around a particular construct
[31]. PCA is a standard mathematical technique to construct the minimum number
of uncorrelated variables (principal components) that will summarise a large propor-
tion of the variation in the data, in this case the variation in Likert scale responses to
the SAPI personality variables. The data analysis was undertaken using Minitab 19
(©2022 Minitab LLC.).

3 Results and Discussion

3.1 Demographic Information

From the data received, 78.6% were male and 21.1% female. The males (87%) had
completed more than ten projects, compared with the females (71%). The respon-
dents (88%) reported their highest level of qualification between Level 4 (Certifi-
cate of Achievement)–Level 7 (bachelor’s degree). Our data further showed that our
respondents were mostly involved in one sector—residential (9.6%), commercial/
retail (9.3%), infrastructure (7.1%), industrial (4.4%), office (2.8%), and defence
(0.31%). When we contemplated more than one sector involvement, 45.5% of the
New Zealand Construction Nga Roopu and Preferred Nga Tangata … 201

respondents were involved in two to three sectors, 18.6% in four to five sectors, and
2.2% in six to seven sectors.

3.2 Exploring the South African Personality Inventory

(SAPI) Items

We used Principal Component Analysis for these selected SAPI personality variables.
The Eigen analysis was completed, and the Eigenvalues were used to indicate the
importance and the Eigenvectors (represented the direction) as presented in Table 1.
PC1 represents the most variation in the data and PC2 the second most, and PC3
the third most. The first PC had variance equivalent to 4.1 variables, which means
there is a relatively large difference in personality between those at the positive and
negative ends of the scale (PC). The highlighted personality variables are all posi-
tively correlated with PC1, which could be described as various aspects of emotional
intelligence. Interestingly the data do not bear out the stereotype that those who are
high in ‘Intellect’ and ‘Achievement oriented’ are emotionally cold: people with these
traits tend to score high in this emotional intelligence PC as well. The second PC
had variance equivalent to 2.3 personality variables. This PC is most highly related

Table 1 Eigenvectors of the correlation matrix bases on the manual selected SAPI personality
variables
SAPI Sub-descriptions (variables) PC1 PC2 PC3
1. Broad-mindedness 0.215 − 0.059 0.170
2. Investigative 0.245 − 0.027 0.405
3. Intellect 0.206 0.055 0.266
4. Achievement-orientated 0.204 − 0.032 0.531
5. Being organised & punctual 0.244 − 0.021 0.308
6. Respect culture 0.274 0.052 − 0.244
7. Empathy 0.330 0.002 − 0.403
8. Motivating others 0.312 − 0.081 0.060
9. Integrity 0.271 − 0.225 − 0.037
10. Maintaining relationships 0.295 − 0.077 − 0.046
11. Social intelligence 0.331 0.041 − 0.069
12. Warm-heartedness 0.339 0.072 − 0.293
13. Deceitfulness 0.022 0.502 0.020
14. Arrogance − 0.029 0.523 0.091
15. Conflict seeking − 0.015 0.511 0.097
16. Sociability 0.257 0.189 − 0.134
17. Playfulness 0.125 0.311 − 0.070
202 A. van Heerden et al.

to arrogance, and people who score high in this trait also tend to score highly in
deceitfulness, conflict-seeking and to some extent in playfulness. By contrast they
have a negative correlation with integrity. The third PC has variance only equiva-
lent to 1.5 personality variables and so is a weaker effect. To interpret it, we could
consider two people with the same overall level of emotional intelligence and suppose
these individuals may be contrasted by one being somewhat more methodical and
task-oriented (investigative, intellect, achievement-oriented, organised, and punc-
tual) and the other individual being stronger in empathy, warm-heartedness, and
social and cultural awareness. Further principal components were looked for but did
not explain sufficient variation and did not have any obvious interpretation.
Figure 1 shows that most SAPI variables are positively correlated, but (13) deceit-
fulness, (14) arrogance, and (15) conflict-seeking are entirely different. Playfulness,
which presented variable 17, was an outlier. Playfulness (variable 17) and socia-
bility (variable 16) fall under the SAPI main dimension extraversion. Playfulness
was defined as ‘being lively, enjoying having fun and making others laugh and
having the tendency to see the positive side of life’. Sociability was defined as ‘being
easy-going and talkative and enjoying having people around oneself’.
Figure 1 illustrates that playfulness mainly lies in the middle, and sociability leans
more to the right. Variable 17 (playfulness) could have been put together with either
group, but in the construction sector context, it was decided to group variable 17 with
13, 14, & 15. These four variables we labelled as the disruptive variables as these
will typically cause tension in teams and hinder the achievement of high-performance

Fig. 1 Principal components of the selected SAPI correlated variables

New Zealand Construction Nga Roopu and Preferred Nga Tangata … 203

teams. SAPI variables 1, 2, 3, 4, 5, 6, 7, 8, 9, 10, 11, 12, & 16 were all grouped under
the positive characteristics scale.
In Table 1, the PC3 data further illustrated high positive coefficients > 0.2 for
SAPI variables 2, 3, 4, and 5. A high negative coefficient for SAPI variables 6, 7, and
12, and to a lesser extent, SAPI variable 16. Based on the perceived contrast scale,
we could draw from this information that some respondents scored high in tasks and
others high in relationships.

3.3 Current Profession Grouping

The list received from the respondents the researchers could categorise into three
main groupings, i.e. (1) Blue-collar (BC), (2) White-collar (WC), and (3) Owner/
Director/Manager (OM). The respondents who reported a specific trade (where they
got their boots dirty) were considered blue-collar and represented 21.6% (N = 65). If
they reported supervisory roles or managers of a specific task, they were placed into
the white-collar group representing 61.6% (N = 185). Owners and directors in the
third category, including managers without mentioning a specific task, represented
16.6% (N = 50). Table 2 presents the recorded current professions’ means.
Figure 2 clearly illustrates that the white-collar (WC) group are strongly
relationship-orientated. The owner/director/manager (OM) group was the opposite of
the white-collar group, indicating high-task orientation. The blue-collar (BC) group
were more in the middle, leaning more towards the task orientation group.

Table 2 Current recorded profession means

Profession N Mean StDev 95% CI
Blue-collar 65 5.523 2.405 (4.902, 6.144)
White-collar 185 4.789 2.576 (4.421, 5.157)
Owner/Director/Manager 50 5.940 2.606 (4.421, 5.157)
Pooled StDev = 2.54509
204 A. van Heerden et al.

Fig. 2 Task versus social orientation within the three professions

4 Conclusion

Our exploratory study investigated the importance of selecting the right member for
project teams, especially high-performance ones. This exploratory study compared
various NZ construction professions with different selected SAPI personality sub-
descriptors to establish which are beneficial or disruptive for team members. The
study further aimed to determine which professions were task or relationship-
orientated. From the results we concluded that the NZ construction industry could
benefit to do pre-screening psychological testing combined with other tools, such
as general mental ability (GMA) tests, to improve the probability of selecting a
more purpose-fit team member. This additional resource capability could reduce the
possible impact of disruption to current team members, the project, and ultimately the
organisation. The SAPI-selected manual variables showed that some characteristics
are more desirable in a construction industry context than others. We proposed two
main groups to be considered when thinking of best-fit team dynamics, viz. positive
and disruptive personality scales.
As part of our conclusion, we also noted that different professions have different
orientations, which can further cause conflict in teams. White-collar workers were
found to be much more concerned with relationships, whereas blue-collar and owner/
director/manager groups focused more on tasks. Practically, the NZ construction
industry needs to understand the value it will add to project teams, organisations,
and the industry by employing the right candidate for their career, not just a job.
New Zealand Construction Nga Roopu and Preferred Nga Tangata … 205

Organisations should also be reluctant to employ team members just to fill a posi-
tion. The research confirmed that selecting the right individual for a team should be
carefully considered, focusing on a positive long-term relationship that could build
adaptable capacity for future construction projects. Strategies to promote teamwork
among collaborators in a project could include mandatory courses for construction
professionals on team communication, leadership attributes, or teamwork.
Future research might focus on conducting the online SAPI personality test within
the three identified professions and concentrate on how personalities impact on task
and relationship orientation.

5 Ethics Statement

This exploratory study forms part of a broader research project and was approved
by the Massey University Human Ethics Committee: Human Ethics Northern
Committee Ethics Notification—NOR 19/47.

Acknowledgements We thank Site Safe New Zealand for providing us with the necessary support
and platforms to reach their members for this exploratory research study. With gratitude, the authors
acknowledge Marama Tepania’s support for the Māori support in this exploratory research paper.
Lastly, we would like to recognise the South African Personality Inventory (SAPI) authors, Prof.
Deon Meiring (deceased), Prof. Frans van de Vijver, Dr Velichko Fetvadijiev, Prof. Alewyn Nel,
and Prof. Carin Hill.

Author Contributions Hennie van Heerden contributes to conceptualisation, methodology, inves-

tigation, data collection, draft preparation, manuscript editing, visualisation, supervision, and
project administration. Mikael Boulic contributes to conceptualisation, methodology, investigation,
draft preparation, and visualisation. Barry McDonald contributes to conceptualisation, method-
ology, validation, analysis, and visualisation. Gregory Chawynski contributes to conceptualisation,
investigation, data collection, and manuscript editing.

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Quantity Surveyors’ Perspective
on Knowledge Areas for Sustainable
Construction

Vimlesh Prabhu Desai and Lysette D’souza

1 Introduction

Construction industry is dynamic in nature. Some of the most recent developments in

the industry include the increased use of automation as a result of labour shortage [14],
Building Information Modelling (BIM) as a result of globalization [19], sustainable
building practises [42], and the implementation of big data techniques [10]. Sustain-
ability is an ideology that seeks to modify consumption and production patterns that
are severely taxing the planet’s ecological reserves at present [44]. The construction
industry is without a doubt a significant contributor to climate change, as it accounts
for nearly half of the world’s greenhouse gas emissions and consumes forty percent
of the materials entering the global economy [7]. The term ‘sustainable construc-
tion’ encompasses all phases of a building’s life cycle, from initial conception to final
dismantling, and includes not only the building itself but also its planning, design,
construction, operation, maintenance, renovation and demolition. Tackling sustain-
ability requires a holistic approach that addresses the three principles of sustainable
development—social, environmental and economic. Sustainability as a concept is
been widely discussed around the world as a viable alternative to the traditional
‘purchase, consume and dispose’ economic model and a potential answer to the prob-
lems of inefficient resource usage and pollution [4]. Sustainable design and construc-
tion attempt to minimize energy and material use while creating a comfortable, safe
and productive built environment. Construction professionals are expected to take
on multiple tasks in order to keep up with the ever-changing demands of the business
brought on by technological progress, intense competition and the sector’s inherent

V. Prabhu Desai (B)

National Institute of Construction Management and Research, Hyderabad, India
e-mail: [email protected]
L. D’souza
V. M. Salgaocar Institute of International Hospitality Education, Raia, Salcete, Goa, India

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 209
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_14
210 V. Prabhu Desai and L. D’souza

fluidity. Olanrewaju and Anahve [31] identified architects, structural engineers, civil
engineers, service engineers and quantity surveyors as construction project leaders.
Government of India plan to build 12 million affordable houses in urban areas by year
2024 [35]. To keep up with the demand and meet the target, sustainable construction
has never been so important. To ensure sustainability in the built environment, experts
from various disciplines and stakeholders in the construction sector, including QSs,
must collaborate to develop holistic and informed strategies.
Quantity surveying is often thought of as a job that only deals with building costs,
but it can actually help a project succeed in terms of time, money and quality as a
whole. QSs are tasked with overseeing budgets and advising clients and architects on
how to save costs without sacrificing quality throughout the whole building process.
Asset financial management, feasibility studies, contract administration and cost
planning are all areas in which quantity surveyors are involved. QSs are expected to
be well-rounded professionals with a wide breadth of knowledge, skills and ability
to use their expertise in a variety of settings. Quantity surveying’s ability to satisfy
the objectives of sustainable construction may be gauged by looking at how the
industry has adapted in terms of services offered, level of employee involvement and
approach to problem solving. According to Chamikara et al. [11], a Quantity Surveyor
is a specialist who works in the building business to promote a more sustainable
approach. In the new age of sustainable construction, the role of quantity surveyors
is changing, this means new skills and abilities for the field need to be studied.
The paradigm shift towards sustainability means that traditional quantity surveying
practises will no longer be adequate for businesses to thrive [55]. This new trend
gives QSs more opportunities to apply the latest innovations. According to Adekinle
et al. [3], there is a discrepancy between construction professionals’ understanding
of sustainability and how their perceptions of it translate into practise, necessitating
the identification of the competencies required of a quantity surveyor engaged in
sustainable construction. Competencies are a set of intertwined knowledge, skills,
abilities, values and qualities that a person possesses in order to perform efficiently
and effectively in a certain role or environment [54]. Oke et al. [30] found that
professional QSs are profoundly rooted in the core skills and competencies of their
traditional roles, as opposed to the skills and competencies required for novel and
emergent roles. The majority of graduating QSs in Sri Lanka lack the necessary skills,
according to research by Yogeshwaran et al. [55]. In order for quantity surveyors to
function effectively in the growing domain of sustainability, it is crucial that they
comprehend the requirements of sustainable construction and identify the necessary
skills. Given the complexities of the sector and growing demand for sustainability,
the job of the QS is likely to evolve significantly in the near future, necessitating
a wide range of new talents. It is thus important to evaluate the knowledge areas
QSs should familiarize for advocating sustainable construction. The objective of this
study is to investigate the pertinent knowledge domains that are of importance to QSs
in order to augment their understanding and proficiency in the context of sustainable
construction.
Quantity Surveyors’ Perspective on Knowledge Areas for Sustainable … 211

2 Literature Review

2.1 Sustainability

Construction and destruction are connected; due to the environmental effect of

building waste and demolitions, [28] recommend that the construction sector
optimize its resource use. Wasted building materials and components accelerate
ecosystem damage, raise environmental costs and deplete resources. According to
The Building Economist [47], the building industry’s high energy use poses a serious
threat to human survival. To combat the rising tide of greenhouse gas emission, dimin-
ishing freshwater systems and other natural resource depletion caused by human
overexploitation, the concept of sustainability was developed [32]. Sustainability
has the potential to improve user health and comfort, reduce energy consumption,
maximize resource use and reduce environmental wastes and social disturbances
[17]. Sustainability concepts are increasingly used to address the technical process
that defines a building or construction project’s performance. This new function
creates significant challenges for construction or building projects throughout their
lifespan [46]. Building sustainably calls for an expansive and long-term perspective
[18]. The perceived high costs, especially in design and construction, have stymied
recent advancements in sustainability. Green experts with sufficient knowledge of
sustainable building may eliminate these misunderstandings once and for all. Rapid
change has occurred in the construction sector, with the industry shifting from the
conventional design and construction approach to new delivery systems more suited
to environmentally responsible building. It’s not sufficient to just care about the envi-
ronment anymore, professionals must prioritize sustainable practises. Practitioners
in the construction sector must be quick to respond to the shifting landscape. Because
of the expanding sustainability industry, many specialists in related fields, such as
architecture, engineering, surveying, planning and design, now have a chance to offer
sustainability advisory services. Professional builders all around the world are now
catching on to the sustainability movement and seeing the benefits of sustainable
development. According to Abidin [1], all construction industry players, including
quantity surveyors, contribute to sustainable building in Malaysia.

2.2 Quantity Surveyors’ Role in Construction Industry

QSs combine construction, engineering and economics while to be competent they

use their knowledge, skills and talents to complete a task effectively and efficiently.
A quantity surveyor is brought in at the beginning of a building project to create a
schedule of all the items that will be utilised. According to Shafiei and Said [41],
Quantity Surveyor’s primary areas of expertise are construction cost estimation,
quantification, contract writing (including tendering papers and cost planning docu-
ments), contract management and the creation of final accounts. In addition to their
212 V. Prabhu Desai and L. D’souza

standard responsibilities, quantity surveyors are frequently called upon to serve as

cost experts for building projects. QSs who understand technology and innovation,
are vital advisors throughout a project’s lifecycle [5, 11]. QSs assist customers to get
the most from their money spent in the building business by balancing the roles of
economist and cost accountant. Their involvement across pre and post construction
stages of projects add value in the financial and contractual management of projects.
To keep up with the ever-changing demands of the modern construction business,
experts in the field are expected to take on a variety of jobs. QSs role has seen a sea
change since it first emerged as a profession in 1800s [52]. QSs initially provided
only financial management services for construction projects and cost consultancy
services to clients, but as technology and environmental concerns developed in the
construction industry, their role changed. QSs’ work has expanded beyond costing
alternative design solutions to pro-actively advising on how to bring value to the
building sector. Stakeholder needs affected by sustainable designs and construction
will greatly affect a project’s ultimate cost due to their complexity. Thus, the quantity
surveyor is the most crucial construction expert who must perform such difficult tasks
to optimize a project’s cost. A quantity surveyor is a crucial member of any company’s
team, and as such, he or she must constantly adapt to new challenges and new ways
of doing business. According to Reed and Wilkinson [37] and Ashworth et al. [6],
QSs play an important role in reducing greenhouse gases and making buildings
energy efficient. Similarly to achieve sustainability, QSs can rely on BIM, as the best
decisions for environmentally friendly layouts can be made during the planning and
design phases with the use of BIM [8]. QSs may expand their responsibilities and
learn new skills to meet the industry’s evolving needs thanks to this development.
QSs, if they want to keep their jobs in the future, will have to adapt by incorporating
sustainability ideas into their work. It has been acknowledged by Mishiyi et al. [25]
that professional QSs’ use of antiquated company structures and operational methods
will not meet the complex demands of today’s customers.

2.3 Changing Demand on Quantity Surveying Profession

Technology advancement, environmental concerns, social awareness, sustainability

adaptation and strict legislative requirements have revolutionized quantity surveying
by opening up new job paths for QSs. As a result of the construction industry’s fast
transformation, QSs are now expected to perform a far wider range of duties than in
the past. Risk management, quality management and project management are just a
few examples of how QSs’ responsibilities have expanded into the realm of manage-
ment; cost management is another important facet of the profession, and it encom-
passes value management, life cycle cost analysis, cost–benefit analysis, investment
appraisal, cost engineering services, feasibilities studies and cost modelling [13].
Several writers have pointed out that in today’s rapidly evolving global environ-
ment, QSs are involved in a wide range of fields, including business administration,
economics, law, management, accountancy, sustainable construction management,
Quantity Surveyors’ Perspective on Knowledge Areas for Sustainable … 213

supply chain management, quality assurance co-ordination, facilities management

and technology (including BIM and CostX) [55]. The diversified expectation will
require the QSs to possess several competencies. Due to the multifaceted nature of a
QS’s work and the breadth of their expertise, defining their specific set of competen-
cies is challenging [41]. Professional bodies such as Royal Institution of Chartered
Surveyors (RICS), Australian Institute of QSs (AIQS), Pacific Association of QSs
(PAQS) and Indian Institute of Quantity Surveyors (IIQS) have defined guidelines
and requirements to ensure quantity surveyors remain competent and practise highest
standards of professionalism in the profession of quantity surveying. Despite being
listed by the professional bodies, the level of competencies to be achieved by QSs
has thus far not been defined [55]. QSs play a crucial role in promoting sustain-
able practices by minimizing waste, planning with as little waste as possible, using
pre-assembly whenever possible, minimizing over-specification, using the natural
environment, preserving biodiversity and reducing energy use during building, espe-
cially by avoiding energy-intensive materials like cement and aluminium [26]. In
order to improve the construction industry’s approach to sustainability, it is necessary
to define knowledge areas that are pivotal.

3 Research Design

A mixed research approach, qualitative and quantitative, was adopted for this study.
A triangulated research methodology consisting of literature review, pilot study and
questionnaire survey was used to gather the data. IBM SPPS software was used to
analyse the data.
The first objective of the study was to identify the knowledge areas for sustainable
construction. A systematic literature review followed by semi-structured interviews
was used to fulfil this objective. Published literature such as research papers, news/
trade magazine articles, and dissertation reports, published documents of professional
bodies, such as RICS, AIQS, PAQS and IIQS provided an initial list of knowledge
areas. The review also helped to gain an understanding of sustainable construction and
changing role of QSs. Semi-structured interviews with nine QSs, identified through
purposive sampling, having more than 25 years’ experience were then conducted to
refine the list; any new items not covered by secondary data got included in the list at
this stage. The experts were asked open ended questions as ‘What knowledge areas
pertinent to sustainable construction practices are applicable to quantity surveying
profession?’ and ‘Are the following knowledge areas applicable to QSs in terms of
sustainable construction?’ Thereafter a draft questionnaire consisting of these knowl-
edge areas was pilot tested for refinement, and congeniality of collecting responses
for the questions asked. The result of literature review, semi-structured interviews
and pilot study was used to prepare a final questionnaire for subsequent questionnaire
survey. Table 1 shows a list of knowledge areas pertaining to sustainable construction.
The second objective was to evaluate the knowledge areas and find which are
perceived more important and which are perceived less important. For this, the
214 V. Prabhu Desai and L. D’souza

Table 1 Knowledge areas pertaining to sustainable construction

Code Knowledge areas
KA01 Environmental science and climate change
KA02 Systems thinking
KA03 Computer literacy on latest s/w packages such as BIM, CostX
KA04 Sustainability analysis
KA05 Green costing
KA06 Cost management
KA07 Sustainable construction technology
KA08 Value engineering
KA09 Stakeholder engagement
KA10 Change management
KA11 Energy modelling and analysis
KA12 Environmental legislations and regulations
KA13 Problem solving
KA14 Forward thinking
KA15 Leadership and strategic management
KA16 Life cycle cost analysis
KA17 Carbon credit calculation
KA18 Estimation & financial control
KA19 Communication & negotiation
KA20 Innovation and critical thinking
KA21 Green certification
KA22 Contract administration
KA23 Waste management
KA24 Measurement/quantification
KA25 Lean construction management
KA26 Risk management
KA27 Procurement and tendering

data was collected through a questionnaire survey administered among QSs having
minimum five years’ experience. The respondents were asked to rate the knowledge
areas in purview of sustainable construction on a five point Likert scale. 5–very
important, 4–important, 3–average, 2–less important, 1–not important.
Quantity Surveyors’ Perspective on Knowledge Areas for Sustainable … 215

4 Data Analysis

A total of 268 questionnaires were floated among quantity surveying professionals

with more than 5 years total experience. Among the 103 filled responses received,
96 were found to be valid for analysis. The response rate was 35.82%. The details
of the respondents is shown in Table 2.

4.1 Reliability Test

To determine internal consistency of the factors used in the questionnaire, the data
was subjected to reliability analysis test. The widely used reliability test is Cronbach’s
Alpha. If the test delivers a Cronbach’s Alpha coefficient of above 0.7, the data is
considered to be reliable [16]. For the present study Cronbach’s alpha coefficient
was 0.896.

4.2 Relative Importance Index (RII)

RII was used to convert the numerical scores of individual knowledge areas into
relative ranking. According to [22] and [12] when evaluating the ranks of each

Table 2 Details of the respondents

Respondents information Groups Number Percent (%)
Gender Male 74 77.08
Female 22 22.92
Highest level of education Graduate 44 45.83
Post graduate 48 50.00
Doctorate (Ph.D.) 4 4.17
Total industry experience (years) > 20 15 15.63
> 15 & ≤ 20 25 26.04
> 10 & ≤ 15 33 34.37
> 5 & ≤ 10 23 23.96
Experience in sustainable construction projects > 10 38 39.58
(nos.) > 7 & ≤ 10 25 26.04
>4&≤7 16 16.67
>1&≤4 11 11.46
1 6 6.25
216 V. Prabhu Desai and L. D’souza

factor, mean and standard deviations are insufficient since they fail to account for
the relationships among different factors.
RII has been widely used to determine relative significance; [11] used RII to rank
competencies of QSs in Sri Lanka. Equation 1 was used to calculate RII,

W
RII(RelativeImportanceIndex) = (1)
(N x A)

W —Ratings given by respondents to each knowledge areas on a scale of ‘1 to 5’.

A—The highest rank on the scale which in this case is ‘5’, and N—number of total
respondents.
Table 3 gives the relative importance of knowledge areas.

5 Discussion

The knowledge areas identified from literature review, validated by semi-structured

interviews and evaluated by questionnaire survey were ranked using RII method.
The top fifteen knowledge areas are discussed below.
‘Environmental science and Climate change’ with an RII of 0.877 was judged
as the top knowledge area QSs must familiarize within the context of sustainable
construction. The UN Intergovernmental Panel on Climate Change warned in its most
recent special report that we have just few years to prevent a climate change disaster
by keeping global warming below 1.5 °C [20]. Sustainable construction is important
because it helps combat climate change and has a favourable correlation with energy
efficiency [36]. To meet the sustainability issues and develop new paradigms that can
bring about global sustainability, individuals, consumers, professions, communities
and society at large need to develop new competencies [48].
‘Systems thinking’ featured as second most important knowledge area. Sustain-
ability challenges are immensely complex and complicated; it requires systems
thinking to understand the conditions that generate and propagate these challenges.
Businesses benefit greatly from the use of system thinking in navigating the complex-
ities of sustainability challenges [27]. Systems thinking is a process for understanding
the interrelationships among the key components of a system. Sustainable develop-
ment as a system in intertwined among social, economic, environmental and political
factors. Taking a systems approach to addressing the sustainability challenges has
been gaining traction with academics and industry alike [51].
‘Computer literacy on latest s/w packages such as BIM, CostX’ ranked third. The
RICS Assessment of Professional Competence (APC) Guide (2017, August) lists
Building Information Modelling (BIM) as a required technical competency [38]. By
adopting BIM, crucial decisions concerning environmentally friendly layouts can
be made early on during the planning and design phases [8]. BIM adoption in the
construction industry has increased but is still hindered by poor awareness, high
implementation costs, inadequate technical know-how, low technology adoption,
Quantity Surveyors’ Perspective on Knowledge Areas for Sustainable … 217

Table 3 Relative importance

Code RII Rank
ranking of the knowledge
areas pertinent to QSs in KA01 0.877 1
terms of sustainable KA02 0.865 2
construction
KA03 0.863 3
KA04 0.842 4
KA05 0.838 5
KA06 0.829 6
KA07 0.817 7
KA08 0.815 8
KA09 0.806 9
KA10 0.779 10
KA11 0.777 11
KA12 0.775 12
KA13 0.773 13
KA14 0.767 14
KA15 0.767 14
KA16 0.756 15
KA17 0.754 16
KA18 0.748 17
KA19 0.713 18
KA20 0.713 18
KA21 0.710 19
KA22 0.710 19
KA23 0.700 20
KA24 0.696 21
KA25 0.677 22
KA26 0.665 23
KA27 0.623 24

legal disputes and uncertainties in policies, and data confidentiality concerns [23,
39]. Using CostX or any BIM-based cost estimating tool can automate, streamline
and refine the cost estimation process.
‘Sustainability analysis’ plays a key role in industry; firms realize that what is good
for society and environment can also be good for business. Energy, efficiency, envi-
ronment and society are four pillars of sustainability analysis [21]. QSs need to gain
knowledge, skills and aptitude in these areas to develop competency in sustainability
analysis.
‘Green costing’ pertains to the extra cost incurred by the client for green building.
Since green building ratings are becoming increasingly common, it is important for
the Quantity Surveyor to be up-to-date on the latest technologies and innovations in
218 V. Prabhu Desai and L. D’souza

sustainable construction [33]. Quantity surveyors’ expertise will lie in adjusting high-
level cost models at the feasibility stage to match the budget while still informing
the design consultants on the parameters of efficiency, design factors, concepts and
controlled quantity factors and rates [40].
‘Cost management’ is an important knowledge area for QSs, whereby they utilize
cost-effective means to make construction projects more feasible while increasing the
value of the end product [11]. Cost management highly impacts reduction of construc-
tion waste and materials thereby contributing to sustainability. Stakeholder needs
shaped by sustainable design and construction will greatly affect a project’s cost.
Thus, the quantity surveyor is the construction industry’s most important specialist
who must perform the difficult task of optimizing a project’s cost [53].
‘Sustainable construction technology’ deals with construction processes, building
materials, design principles, drawings and specifications and designing and installing
services [13]. Low running expenses, cheaper utility prices, improved productivity
due to cleaner air and quality of life aspects, and higher social standing are only
some of the advantages of green construction technologies [26]. Using renewable
and recyclable resources and materials is the cornerstone of sustainable construc-
tion. Sustainable construction technology places a premium on reducing waste and
other negative impacts on the environment, keeping energy and material usage at
a minimum, and maximizing the project’s safety and efficiency throughout the life
cycle.
‘Value Engineering (VE)’ is a powerful tool for cost saving and quality improve-
ment. In addition to minimizing time, enhancing quality, reliability, maintainability
and performance, the primary objective of value engineering (VE) is to increase
value. VE can be applied during any stage of construction project. VE uses multi-
disciplinary teams to analyse project design and construction approach. VE aids to
identify critical parameters that play a substantial role in cost of the project [43].
‘Stakeholder engagement’ is the ability to identify and proactively interact with
relevant stakeholders. Being rooted in your local community and familiar with
your stakeholders is important, as is connecting with others in social networks
and fostering relationships in the real world [50]. Start locally and work upwards.
As stakeholder engagement increases, so does the complexity of social interaction
patterns between actors, necessitating mutual trust as a governance mechanism [49].
Any stakeholder engagement strategy that aims to accomplish sustainability-related
goals should emphasize the need of identifying and understanding the various sustain-
ability agendas of stakeholders and monitoring their success using key performance
indicators [9].
‘Change Management’ needs to be a part of organizational culture to get the most
from sustainability. Change management is the extent to which a company’s mindset
supports its ability to allocate resources to handle strategic change in a business
environment that is always changing. Firms’ economic, political, social and cultural
ecosystems have a significant impact on the complexity of change management
in sustainable construction [2]. The behaviours of business actors, managers and
employees shape QSs capacity to allocate resources to manage change in a dynamic
business environment [34].
Quantity Surveyors’ Perspective on Knowledge Areas for Sustainable … 219

‘Energy modelling and analysis’ refers to the process of analysing a building’s

energy consumption and energy-generating systems using computer simulation soft-
ware. In order to achieve the goal of a green construction revolution, building codes
for both homes and businesses have become increasingly stringent in terms of energy
efficiency requirements. Energy optimization in buildings is a highly sought-after
expertise; experts may find ways to reduce energy use and foster a green revolution.
‘Environmental legislations and regulations’ are pushing construction profes-
sionals to prepare for sustainable practices. Effective enforcement of environmental
laws will undoubtedly encourage the practise of sustainable construction [29].
Government laws and legislations are one of the most important drivers of sustain-
able construction [24], but lack of knowledge about applicable rules and policies is
one of the greatest obstacles or challenges to attaining absolute sustainability in the
construction industry.
‘Problem solving’ demands the use of meta-cognitive skills such as planning,
monitoring and evaluating [15]. In a world where sustainability is becoming increas-
ingly crucial, those professionals who are able to find answers and offer creative
solutions to new and complicated issues will be in high demand. Companies often
fail to make the transition to sustainable practises because they fail to think outside
the box and lack the courage to attempt something new. Firm’s having a culture
that encourages employees to speak their minds are able to make strides towards
sustainability.
‘Forward thinking’ professionals anticipate shifts in the market and seize chances
for sustained growth. Having a firm grasp of sustainability’s best practises is impor-
tant, but so is keeping an eye on the horizon in case any unexpected developments
happen. It takes foresight and planning to create a business strategy that includes
your commitment to sustainability. Organizations can develop the flexibility to adapt
to changing environmental and construction industry conditions.
‘Leadership and strategic management’ entails ability to transfer responsibility,
encourage others to step up, effectively communicate organizational change, and
keep one’s team grounded in reality. Dealing with rapid, complex and often discon-
tinuous change requires effective leadership. In sustainable construction develop-
ment, a leader’s leadership style and the manner in which he or she manages the
project, as well as the subordinates, can convert the project towards sustainability
and improve productivity [45].

6 Conclusion

The aim of this study was to examine the impact of sustainable construction on the
knowledge domains relevant to quantity surveying professionals. The study began
with a literature review, semi-structured interviews and pilot study which helped
define the knowledge areas pertinent to QSs in the area of sustainability. Thereafter a
220 V. Prabhu Desai and L. D’souza

questionnaire survey was employed to gather inputs from the industry on the impor-
tance of these areas. Analysis of the data acquired allowed the study to reach its
intended conclusion.
Among the findings advanced by this study, ‘Environmental science and Climate
change’, ‘Systems thinking’, ‘Computer literacy on latest s/w packages such as BIM,
CostX’, ‘Sustainability analysis’, ‘Green Costing’, ‘Cost Management’, ‘Sustainable
construction technology’, ‘Value Engineering’, ‘Stakeholder engagement’, ‘Change
management’, ‘Energy modelling and analysis’, ‘Environmental legislations and
regulations’, ‘Problem solving’, ‘Forward thinking’ and ‘Leadership and strategic
management’ appear to be top fifteen knowledge areas relevant to QSs in the evolving
business environment of sustainable construction. In the light of recent developments
in the construction sector, this research contributes theoretically by expanding the
knowledge areas in which competencies of QSs need to be given consideration.
Organizations will benefit from a better understanding of sustainability compe-
tencies as they work to create new recruiting strategies, selection procedures and
training programmes. It can help HR professionals reevaluate their methods and
make adjustments as necessary. Associations of quantity surveying professionals can
provide training programmes, improve certification systems, and facilitate member-
to-member sharing of information and expertise in these areas. Furthermore, the
research will help academic institutions enhance their quantity surveying courses.
The QSs profession is evolving, and with it comes a greater need for QSs to acquire
and hone a wider range of skills and competences. It secures QSs’ continued existence
and opportunities for career advancement in the face of intense competition.
The scope of this research has its limits. To begin, all of the participants in this study
are from quantity surveying profession. Secondly, adopting additional methods such
as case study approach, Delphi technique can enrich the findings. Although this study
has certain flaws, the results are more trustworthy than those from a library search
alone since they were gathered using a fieldwork technique that had respondents
share their actual experiences. Further research could study other professionals in
different sectors in the purview of sustainability. A valid comparison between the
two results will throw additional light in the knowledge area.

7 Ethics Statement

Not applicable.

Author Contributions Vimlesh contributed to conceptualization, methodology, validation, draft

preparation, manuscript editing, visualization, supervision and project administration. Lysette
contributed to conceptualization, methodology, data collection, manuscript editing and visu-
alization. The authors have read and agreed with the manuscript before its submission and
publication.
Funding This research received no specific financial support from any funding agency.
Quantity Surveyors’ Perspective on Knowledge Areas for Sustainable … 221

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Scientometric Review of Research Trends
on Construction Project Variations

Muhammad Aliyu Yamusa, Yahaya Makarfi Ibrahim,

Muhammad Abdullahi, Hassan Adaviriku Ahmadu,
and Mu’awiya Abubakar

1 Introduction

The constant variations problems that arise in construction projects have been the
subject of numerous study efforts [5, 6, 23, 24, 30, 41]. These initiatives offer solu-
tions that help with variation management from the design stage all the way through
construction. These initiatives, however, merely lessen the effect of variations.
Since variations in construction projects are unavoidable, it is especially important
to address them and keep them to the barest minimum [25]. These variations, if not
properly managed, can lead to overruns in cost and time, reduced productivity, and
even rework [11, 12, 16, 21, 22, 31] in addition to causing payment-related issues
[38].
Despite the numerous research existing on variations in construction projects,
attempts to compile large literature on the subject is in its preliminaries, which
according to Zhang et al. [42] presents a major risk of overlooking or neglecting
essential areas and questions. These include but are not limited to, the latest topics and
trends, explored and unexplored areas, opportunities, and under-researched themes
for research and practice improvement. Previous efforts (for example Mohammad
and Hamzah [20] and Wan et al. [40]) are only addressing a fraction of variations

M. A. Yamusa (B) · M. Abdullahi

Department of Quantity Surveying and Public Procurement Research Centre, Ahmadu Bello
University, Zaria, Nigeria
e-mail: [email protected]; [email protected]
Y. M. Ibrahim · H. A. Ahmadu
Department of Quantity Surveying, Ahmadu Bello University, Zaria, Nigeria
M. Abubakar
Department of Building and Public Procurement Research Centre, Ahmadu Bello University,
Zaria, Nigeria

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 225
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_15
226 M. A. Yamusa et al.

management. This study, therefore, aims to conduct a holistic review of variations

management research efforts.

2 Research Methodology

This study used a systematic approach to analyse the large body of construction
variations studies. Similar methodology was used in the construction domain by
Osei-Kyei et al. [27], Wuni et al. [34], and Song et al. [32]. The analysis includes
investigations done between 1982 and 2023. The systematic review procedure is
depicted in Fig. 1. The sections that follow cover the stages of the methodology.

2.1 Software Tools Selection

The right scientific software must be used in order to perform a proper sciento-
metric analysis. With the help of various scientific software and recent technical
advancements, a vast volume of literature can be mapped [39]. Several tools have
been created, each with a distinct scope, advantages, and disadvantages. VOSviever,
CitNetExplorer, BibExcel, VintagePoint, CiteSpace, and Gephi are a few of these
tools. For this investigation, an open access piece of scientific software called the
VOSviewer (version 1.6.9) was used. This tool was chosen because it can scientifi-
cally connect books and visualise bibliometric networks using a variety of criteria.

Fig. 1 A flowchart of the research methodology. Sources Osei-Kyei et al. [27], Wuni et al. [34],
Song et al. [32], Osei-Kyei and Chan [26]
Scientometric Review of Research Trends on Construction Project … 227

The widespread use of VOSviewer in recent studies is a further argument in favour

of adoption [27, 34].

2.2 Database Selection

When conducting a literature search, indexed databases are more trustworthy. Web
of Science and Scopus are two of the most prominent ones [26]. This is due to the
extensive coverage they give to conferences and scholarly journals. Due to its larger
coverage and ability to include recent studies, Scopus was deemed a better choice
for the study [26]. Additionally, VOSviewer (version 1.6.9) is more compatible with
the Scopus file format, according to Wuni et al. [34].

2.3 Bibliometric Data Extraction and Journals Selection

The last step of the methodology is the database’s bibliometric data extraction,
followed by analysis. Keywords like causes, risk, uncertainty, model, and prediction
were taken from Scopus and expanded to include variations management research.
The full code used for the literature search is:
(TITLE-ABS-KEY ( ( variation OR "variation order" OR "change order" OR
contingency ) ) AND TITLE-ABS-KEY ( ( factors OR management OR causes OR
risks OR uncertainty OR types OR sources OR model OR prediction OR valuing )
) AND TITLE-ABS-KEY ( ( construction OR "construction projects" OR building
OR "construction industry" ) ) ) AND ( LIMIT-TO ( SUBJAREA , "ENGI" ) ) AND (
LIMIT-TO ( DOCTYPE , "ar" ) OR LIMIT-TO ( DOCTYPE , "cp" ) ) AND ( LIMIT-TO
( LANGUAGE , "English" ) ) AND ( LIMIT-TO ( SUBJAREA , "BUSI" ) )
897 publications were listed in the variations management search results. The
results of the search included articles from several prestigious journals, including
Architectural Engineering and Design Management, Construction Management and
Economics, Eastern-European Journal of Enterprise Technologies, Engineering,
Construction and Architectural Management, and International Journal of Construc-
tion Management.
The bibliometric data was obtained as a "Comma-Separated Values (CSV)" file
and entered into VOSviewer for the purpose of scientifically linking the corpus of
literature on variations management. The analysis used mappings in the form of
networks and tables to properly visualise and evaluate the most pertinent variations
management research. Citations, authorship, country productivity, and outstanding
themes in the variations management study were noted. The findings presentation
and discussion are covered in the following parts.
228 M. A. Yamusa et al.

3 Results and Discussion

3.1 Annual Publication Trends of Variations Management

The publication trend of studies on variations management is from 1982 to 2023. It

is clear that since the early 2000s, variations management research has grown signif-
icantly. This is due to the quick global adoption of variations management in the
2000s. This sparked the interest of numerous academic and professional researchers
who wanted to explore and develop the idea. Nevertheless, the abundance of studies
on variations management is a sign of future research that may be carried out in
this area. This might be the result of increased awareness and efforts on the part
of various nations, particularly developing nations that haven’t fully adopted varia-
tions management. Researchers have therefore started to look into and analyse how
variations management is being used in underdeveloped nations.

3.2 Prominent Research Outlets of Variations Management

It is impossible to overstate the value of scholarly publications or other research

outlets in communicating research findings. Academics all around the world are eager
to have a significant impact on normative literature through the publication of their
research findings in prestigious journals or research outlets [17, 18]. This illustrates
the importance of rigorous investigation of variations management-related research
published in reputable academic journals or high-ranking research outlets. This
enlightens academics and researchers on the platforms the outlets they should take
into account while publishing their findings related to the research’s theme. Leading
variations management studies journals and research outlets’ scientific mapping was
examined. The connection points and mappings between the well-known journals
and outlets are shown in Fig. 2.
The detailed numerical statistics of the renowned research journals/outlets are
shown in Table 1. An outlet is required to have at least five publications and at least
20 citations in order to be taken into account for mapping. 20 journals/outlets are the
top sources of variations management research during the past 40 years, as indicated
in Fig. 2 and Table 1. The most well-known sources of research findings in variations
management are the outlets with large nodes. Additionally, as shown in Fig. 2, there
are significant publications in the Journal of Construction Engineering and Manage-
ment, Journal of Cleaner Production, Construction Management and Economics,
Journal of Management in Engineering, and Journal of Operations Management.
Citations show that there is a strong link.
Scientometric Review of Research Trends on Construction Project … 229

Fig. 2 Prominent journals/outlets in variations management research studies

3.3 Co-occurrence Network of Keywords

In order to extract the primary themes of research articles and index publications in
research databases, keywords are essential [8]. Therefore, the choice of keywords
for research articles should be made with the utmost care based on an analysis of the
keywords for the research topic. In the light of this, the important keywords from
the variations management research were extracted, and a careful analysis was done.
This is depicted in Fig. 3, and Table 2 contains the precise numerical statistics.
There were numerous keywords detected in the variations management research
articles. A keyword has to appear at least 10 times to be taken into account for
mapping, producing a list of 23 keywords. The terms with big nodes in Fig. 4 are
those that are often used in variations management research. Electronic commerce,
supply chain management, public procurement, e-government, purchasing, and
the Internet are a few of them. The network analysis’s various colours depict
the groups of connected and often occurring keywords in variations management
research. For instance, the terms "project management," "construction management,"
"risk management," "contingency," "change order," and “construction industry”
commonly co-occur. Researchers should use keywords with large nodes, as illus-
trated in Fig. 3, to increase the visibility of their research in databases, increasing the
number of times their papers are cited as a result.
230 M. A. Yamusa et al.

Table 1 Numerical analysis of prominent research outlets of variations management

Journal No. of Total Av. Total link
articles citations citations strength
Journal of Construction Engineering and 199 8419 42 167
Management
Journal of Cleaner Production 124 3784 31 5
Construction Management and Economics 84 2369 28 78
Journal of Management in Engineering 41 1363 33 50
Journal of Operations Management 7 1348 193 1
Engineering, Construction and Architectural 55 759 14 65
Management
International Journal of Production Economics 11 605 55 5
Journal of Civil Engineering and Management 30 576 19 40
International Journal of Construction 37 530 14 67
Management
IEEE Transactions on Engineering 11 314 29 15
Management
Architectural Engineering and Design 15 300 20 8
Management
International Journal of Production Research 13 234 18 1
Journal of Professional Issues In Engineering 11 227 21 24
Education and Practice
Journal of Risk Research 7 165 24 0
Eastern-European Journal of Enterprise 12 77 6 0
Technologies
International Journal of Recent Technology and 19 35 2 1
Engineering
Proceedings of Institution of Civil Engineers: 6 33 6 1
Management, Procurement and Law
Production Planning and Control 6 33 6 2
Lecture Notes in Business Information 5 29 6 0
Processing
International Journal for Housing Science and 6 27 5 0
Its Applications

3.4 Co-authorship Network Analysis

The idea-fertilisation that results from collaboration between academics from

different universities has a significant impact on knowledge sharing and research
expertise [34]. This facilitates obtaining significant grants and funding for cutting-
edge research. Therefore, it is crucial to carefully examine how top academics in
the field of variations management research collaborate. This is crucial for finding
renowned, accomplished academics who are available for collaboration. Figure 4 lists
Scientometric Review of Research Trends on Construction Project … 231

Fig. 3 Network analysis of keywords

the top researchers in the field of variations management along with the connections
between them. Table 3 contains a breakdown of their precise numerical statistics. A
researcher needs at least five published articles and at least 20 citations to further
improve the results. This is critical as the total number of researchers/authors captured
in the database are over 1000. This threshold was employed by similar studies in the
past [27, 34]. Only 27 authors met the adopted threshold.
The bigger nodes in Fig. 4 that represent the well-known researchers include
Hanna A.S., Adeli H., Chan A.P.C., Arditi D., Liu M., and Li H. This shows that these
academics worked along with a number of other researchers to publish variations
management research. Leading academics in the field of variations management
studies collaborate in clusters that are represented by various colours in the network
analysis. For instance, Liu M., Hanna A.S., Chan A.P.C, and Adeli H. have more
than 300 citations, according to the numerical figures.

3.5 Article Citation Analysis (High-Impact Articles)

The basis for calculating an article’s impact is the number of citations it receives [32].
An evaluation of the impact of variations management articles is therefore necessary.
This will make it easier to recognise the value of earlier studies. The outcome will
empower next researchers, particularly postgraduate students interested in online
acquisition of important references to take into consideration for their research. The
top three research studies found to be most impactful in variations management are
Causes of Delay In Large Construction Projects by Assaf and Al-Hejji [7], Causes of
232 M. A. Yamusa et al.

Table 2 Numerical analysis

Keyword Occurrences Total link strength
of keywords of variations
management articles Project management 44 47
Construction 37 39
Productivity 28 36
Change orders 29 35
Construction management 35 34
Risk management 31 34
Construction industry 38 28
Scheduling 19 26
Planning 15 19
Contingency 21 18
Claims 14 17
Estimating 10 14
Simulation 12 14
Optimization 13 12
Cost overrun 10 11
Uncertainty 12 11
Construction costs 11 10
Monte Carlo simulation 15 8
Construction projects 17 7
Forecasting 10 6
Quantitative methods 10 6
China 13 5
Sustainability 10 3

Delay and Cost Overruns in Construction of Groundwater Projects in a Developing

Countries by Frimpong et al. [10]; and Conflicts, Claims and Disputes In Construction
by Kumaraswamy [15] (Table 4).

4 Major Variations Management Research Areas

4.1 Causes of Variations

Construction projects frequently experience variations [3, 4]. Variations in a building

project cannot be entirely avoided, even though they can be handled [11, 16, 21, 22,
25, 26]. If these variations are not adequately controlled, they can result in cost
and time overruns, decreased productivity, and even rework. Effective variations
management in construction projects has therefore been a significant source of worry.
Scientometric Review of Research Trends on Construction Project … 233

Fig. 4 Density map of co-authorship network

It is impossible to overstate the importance of having a thorough understanding of

the causes of variations. Numerous initiatives have been conducted over the years to
investigate the reasons of variations. Poor preliminary research, insufficient informa-
tion, inexperienced/incompetent designers, and/or poor coordination between design
teams are a few of these. Others include insufficient knowledge of the project at
the preliminary stages, insufficient examination of the contract conditions relating
to variations [11], poor initial research, insufficient data, inexperienced or incapable
designers, and/or poor coordination between design teams [13, 14], insufficient stake-
holder communication [19], insufficient variation management systems in place [11,
12], unclear roles and responsibilities of parties involved in the variations [31]. To
manage differences in construction projects, these reasons have been used as the
foundation.

4.2 Management of Variations

Over the years, a number of attempts have been undertaken to regulate variations by
research. The project’s overall viability is supported by the variations management
process, which aims to forecast, identify, analyse, minimise, control, document, and
learn from previous variations. In order to manage variations, various researchers
have created models that handle one or more of the aforementioned functions. Arain
and Pheng [6] created a theoretical framework for controlling variations in the assess-
ment and taking proactive measures to counteract their unfavourable consequences.
More recently, Shabani and Nik-Bakht [30] used a social network analysis (SNA)
234 M. A. Yamusa et al.

Table 3 Numerical statistics

Author Documents Citations Total link strength
of most collaborative
researchers Liu M. 13 330 786
Hsiang S.M. 10 211 751
Wang Z. 6 67 705
Arditi D. 8 391 674
Li H. 6 363 667
Zhang Y. 6 74 313
Wang X. 7 167 296
Wang S. 5 73 296
Liu Z. 5 97 292
Zhang Z. 5 35 238
Zhang L. 5 20 235
Wang J. 5 66 221
Chen Y. 5 92 218
Hu X. 5 85 186
Zhang S. 6 207 161
Wang Y. 5 170 138
Liu C. 5 105 118
Li X. 7 70 114
Chan A.P.C. 6 441 111
Hanna A.S. 12 460 105
El-Adaway I.H. 5 144 73
Ashuri B. 8 334 70
Wilkinson S. 5 42 65
Gunduz M. 5 56 64
Skitmore M. 6 52 38
Zhang J. 5 107 21
Adeli H. 5 611 4

to pinpoint the main players in charge of handling invoice processing and variation
requests. They also evaluated how the kind of contract affected the behaviour and
characteristics of the project’s key players. Using a system dynamics technique, Al-
Kofahi et al. [3] estimated the impact of fluctuations on labourers’ productivity. The
analysis made it possible to identify the key factors that affect labour productivity
variations in a certain project type. Using multidimensional performance criteria,
Naji et al. [24] suggested an operational and systematic variations framework to
improve the overall project success. In a different study, Naji et al. [23] also iden-
tified a broad range of multidimensional performance factors that affect variations
management in order to create an adaptive neuro-fuzzy inference system (ANFIS)
Scientometric Review of Research Trends on Construction Project … 235

Table 4 High impact articles on variations management research studies

Reference Article Citations Total link strength
Assaf and Al-Hejji [7] Causes of Delay in Large 7 20
Construction Projects
Frimpong et al. [10] Causes of Delay and Cost 7 6
Overruns in Construction of
Groundwater Projects in a
Developing Countries
Kumaraswamy [15] Conflicts, Claims and 5 20
Disputes in Construction
Hanna et al. (1999) Impact of Change Orders on 5 7
Labour Efficiency for
Mechanical Construction
Akintoye and Macleod (1997) Risk Analysis and 5 5
Management in Construction
Touran (2003) Calculation of Contingency 5 4
in Construction
Kazaz et al. (2012) Causes of Delays in 4 11
Construction Projects in
Turkey
Mpofu et al. (2017) Profiling Causative Factors 4 10
Leading to Construction
Project Delays in the United
Arab Emirates
Thomas and Napolitan (1995) Quantitative effects of 4 6
Construction Changes on
Labour Productivity
Eisenhardt (1989) Building Theories from Case 4 4
Study Research
Akinci and Fischer (1998) Factors Affecting 4 1
Contractors’ Risk of Cost
Overburden
Ibbs et al. (2012) Construction Change: 4 0
Likelihood, Severity, and
Impact on Productivity
Mak and Picken (2000) Mak, S., Picken, D., Using 4 0
Risk Analysis to Determine
Construction Project
Contingencies

for modelling the factors quantitatively and assessing the success of variations
management implementation in the construction sector.
236 M. A. Yamusa et al.

4.3 Emerging Technologies in Variations Management

The acceptance and application of artificial intelligence (AI) is growing quickly, and
it has been found that this is crucial for the development and success of variations
management. Variations management has been found to depend on data, as decisions
on how best to manage variations depend on prior knowledge and experience. As
a result, the ability of AI to make use of data in enhancing decision-making and
improving the efficiency of business processes can improve variations management
generally by reducing human involvement, time and errors, as well as improving
transparency, efficiency and automation [1, 2, 35–37]. Also, the advent of smart
contract systems based on blockchain technology has been established to reduce
costs and improve cash flow [29], increase transparency [33], create an audit trail
[9], and produce better-quality schedule and cost data [28]. These can be leveraged
to improve the variations management process and extend it to payment of those
variations seamlessly.

5 Knowledge Gaps and Future Research Consideration

The research on variants management has received praiseworthy efforts. However,

because variations remain persistent in construction projects, there is still consider-
able work to be done. Some of the elements that future research should take into
account have been highlighted by this study. First and foremost, there is a poten-
tial for using AI to improve the variations management process generally. The study
recommends a careful analysis of the variations management process to establish suit-
able AI tools like machine learning, deep learning and natural language processing
to develop self-learning tools that can improve the management of variations in
construction projects. Previous similar efforts in managing construction projects can
be used as a basis.
In view of the development and benefits of Big Data and digitalization, future
research should take into account fusing variations management with cutting-edge
technologies like BIM, AI, IoT, Blockchain, and Smart Contracts. According to the
literature, the fifth industrial revolution is currently underway. Therefore, variations
can use digital management methods at this point.
Scientometric Review of Research Trends on Construction Project … 237

6 Conclusion

The relevance and immersive benefits of variations management has made variations
management a vital research discourse. This paper, therefore, analysed the variations
management research trend using a scientometric review. The paper adopted biblio-
metric data of 897 publications from 1982 and 2023. Key outcomes from this review
include:
• The documents analysis by year shows that variations management research saw a
stable growth from the year 2000. The leading five (5) research outlets in variations
management publications with the most citations include the Journal of Construc-
tion Engineering and Management, Journal of Cleaner Production, Construction
Management and Economics, Journal of Management in Engineering, and Journal
of Operations Management.
• The most relevant keywords used by authors in terms of total link strength
and frequency of co-occurrence from the analysis are "project management,"
"construction management," "risk management," "contingency," "change order,"
and "construction industry".
• Hanna A.S., Adeli H., Chan A.P.C., Arditi D., Liu M., and Li H. were found to be
the prominent authors after the co-authorship analysis in variations management
research.
• Lastly, the top three research studies found to be most impactful in variations
management are Causes of Delay In Large Construction Projects by Assaf and
Al-Hejji [7]; Causes of Delay and Cost Overruns In Construction of Groundwater
Projects in a Developing Countries by Frimpong et al. [10]; and Conflicts, Claims
and Disputes in Construction by Kumaraswamy [15].
This document provides graduate students, researchers, the government, industry,
stakeholders, journals, and funding organisations with comprehensive contextual
information on variations management research. The findings inform variations
management researchers on the current factors taken into account in variations
management studies. Additionally, it provides upcoming scholars with information
on the top authors in the field. This will facilitate the formation of partnerships with
experts. Finally, the findings identify the most important variations management
research topics that should receive funding and government support.
Future academics should also think about how developing digital components
can enhance variations management, particularly in areas like data management and
automation. This is important since the building sector is transitioning into a stage
of the fifth industrial revolution.
Like any review study, this one includes some limitations that might make it
harder to generalise the results. First off, the study was not limited to just academic
articles. Conference articles were also examined in the study. Second, for this study,
the authors solely examined critical papers. This is because we were unable to read
all 897 of the articles that were extracted for this investigation. However, proper
diligence was used, and the important materials were carefully read. Therefore, it
238 M. A. Yamusa et al.

was not a mistake if any important items were left out of the qualitative discussion.
Last but not least, the study’s use of too many terms left out several themes.

Acknowledgement Part of this study was conducted under the Public Procurement Research
Centre, Ahmadu Bello University.

Author Contributions Muhammad Aliyu Yamusa contributes to conceptualization, methodology,

software, validation, analysis, investigation, data collection, and draft preparation. Yahaya Makarfi
Ibrahim, Muhammad Abdullahi, Hassan Adaviriku Ahmadu and Mu’awiya Abubakar contribute
to conceptualization, draft preparation, manuscript editing, and supervision. All authors have read
and agreed with the manuscript before its submission and publication.

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COVID-19 and the Changes It Made
to Construction Demand in New Zealand

Seyedeh Faezeh Mirhosseini, Suzanne Wilkinson,

and Mostafa Babaeian Jelodar

1 Introduction

Investigating the impacts of COVID-19 on the construction industry in the world

provides us with ideas on the causes, outcomes, and how the world dealt with the
pandemic. The COVID-19 pandemic has caused significant disruptions to global
supply chains due to restrictions on business operations and international movement,
revealing the vulnerabilities of freight networks [18, 33]. Supply chain issues have
particularly impacted the building and construction sector, which decrease construc-
tion demands. The pandemic has caused a demand shock, a supply shock, and a finan-
cial shock to the global economy [36]. Most economists believe that the pandemic
encompasses features of both supply and demand shocks. A supply shock entails any
factor that diminishes the economy’s ability to manufacture goods and services.
In contrast, a demand shock decreases consumers’ capacity or inclination to buy
goods and services at particular prices [5]. The construction industry has been nega-
tively affected by reduced operational surpluses and revenues, credit and liquidity
issues, poor business sentiment, and uncertainty, which have led to decreased demand
for construction projects [9, 18, Kim et al. 2022]. Ling et al. [20], in a study, identi-
fied one of the critical effects of the pandemic on the construction industry in Singa-
pore was a decline in construction demand, which was driven by various factors,
including travel restrictions and quarantine measures. Additionally, the pandemic
led to a general slowdown in economic activity, which reduced the demand for
new construction projects. As a result of the decline in construction demand, many
construction firms experienced financial difficulties during the pandemic. King et al.
[17], in a paper, explain that the construction demand declined as it has disrupted the
supply chain and suggest adopting digital technologies to overcome the situation and

S. F. Mirhosseini (B) · S. Wilkinson · M. B. Jelodar

Massey University, Palmerston North, New Zealand
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 241
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_16
242 S. F. Mirhosseini et al.

continue to operate. Del Rio-Chanona et al. [9] note that the pandemic has signif-
icantly reduced demand for construction projects due to the economic slowdown,
restrictions on mobility and social distancing measures, and uncertainty about the
future.
On the other hand, the pandemic has also significantly impacted households glob-
ally, with remote work eliminating the need for commuting to work and increasing
the demand for home offices. The lockdown restrictions as part of the New Zealand
governments response plan to COVID-19 [24, 25] and remote work culture reduced
the demand for office buildings, while the demand for residential building construc-
tion has remained stable due to the need for home renovation (Boesel et al. 2021;
Kim et al. 2022).
As such, it is essential to accurately diagnose and quantify the pandemic’s impacts
on the construction industry’s demand movements for the success of construction
projects and businesses. Understanding post-COVID-19 fluctuations in demand for
various architectural services can enhance project plans, investment strategies, and
decision-making for project planners, architects, construction engineers, and real
estate investors (Kaklauskas et al. 2021).
Accurately diagnosing and quantifying the pandemic’s impacts on the construc-
tion industry’s demand movements is essential for the success of construction projects
and businesses. Therefore, understanding post-COVID-19 fluctuations in demand for
various architectural services is crucial for project planners, architects, construction
engineers, and real estate investors.
According to Ivanov [13], a pandemic such as COVID-19 can reveal unforeseen
risks in the supply chain due to prolonged disruptions. These disruptions coincide
with the epidemic’s spread among the population and affect supply, demand, and
logistics. According to Allen-Coghlan and McQuinn [2], the pandemic has caused
an economic slowdown that has reduced income levels, job losses, and decreased
demand for housing. The construction industry has been particularly affected due
to the significant decline in market demand for goods and services resulting from
total or partial lockdowns in many countries. This has led to a reduction in the
number of construction projects being undertaken and a decrease in revenue for
construction companies. Ivanov [13] notes that COVID-19 has caused detrimental
swings in supply and demand, making it one of the most significant challenges faced
by the industry.
The current level of uncertainty, poor business sentiment, reduced operational
surpluses and revenues, diversion of funds for COVID-19 management, and credit
and liquidity issues are expected to have a significant impact on the construction
industry, and the demand for construction projects has already decreased [30].
When COVID-19 was declared a pandemic and many restrictions for social
distancing and international border control were implemented, a supply shock began
to occur [29]. Border restrictions created intense competition for logistic services,
and many businesses failed to obtain them on time. This unplanned breach of contract
led to a severe scarcity of goods or raw materials at various demand nodes [12].
COVID-19 and the Changes It Made to Construction Demand in New … 243

However, Dasaklis et al. [7] argued to manage and afford the expense of main-
taining such a large inventory, businesses should develop plans and policies for
managing alternative suppliers and the size of stock to address demand surges.
Due to the lockdown, building materials couldn’t arrive at the construction site
from outside, preventing progress on the project. These materials are sourced from
various domestic or overseas factories which were not accessible for construction
activities. Moreover, the unavailability of vehicles has prevented the delivery of
necessary materials, adding to the causes of work delays. The firms that produce all
these supplies also lost a lot of money due to the significant losses in the construction
industry and the livelihoods of individuals transporting products [21].
Local effects can be investigated by knowing the general impacts of the COVID-19
pandemic on a global scale. In 2020, New Zealand experienced a Lockdown period
due to the COVID-19 pandemic, which led to changes in workplace and lifestyle,
resulting in changes in residential demands and building specifications for businesses
and workers, such as shrinking office spaces. A survey conducted by the Ministry
of Business, Innovation, and Employment (MBIE) in 2021 quantified these changes
and found that businesses were seeing specifications for offices and commercial
space becoming smaller, while home offices and more flexible residential design
options were becoming more commonly specified. In addition, there was an increase
in homes designed for multi-generational users/extended families, and multi-level
buildings were becoming more common [22].
These changes in building specifications were mainly driven by the increasing
trend of working from home, which became more popular during the pandemic. As
a result of spending more time at home, many homeowners in New Zealand decided
to spend their leisure time planning and executing renovation projects. This led to
a record high in home improvement work nationwide, with the value of consents
for total alterations and additions to existing homes being $1.8 billion over the nine
months ending September 2020 [4, 31]. The high demand for residential housing in
New Zealand is driven by a shortage of affordable housing, increasing house prices
and rents [26].
Due to lockdown restrictions and travel bans, people could not spend money on
overseas holidays or other leisure activities. As a result, many redirected their funds
towards home renovation, repairs, or new property purchases. This increased demand
led to a surge in building consent and a higher need for construction professionals.
However, the increased demand also caused a shortage of resources, including mate-
rials and labour. Some materials were imported, but disruptions in global supply
chains and factory closures in Auckland led to even more significant shortages. The
limited supply of resources caused prices to rise, and the industry faced delays in
delivery times. In summary, the lockdowns and travel restrictions led to a shift in
consumer spending towards home-related expenses, which caused a surge in demand
for building and construction services. However, the shortage of resources caused by
global disruptions and local factory closures resulted in increased prices and delivery
delays [24, 25].
Despite the challenges posed by the COVID-19 pandemic, the building construc-
tion sector in New Zealand continued to grow, with a record number of new dwelling
244 S. F. Mirhosseini et al.

consents granted in September 2022 year. The strong demand for residential housing
resulted in the granting of 50,736 consents for new homes in the 12 months ending in
June 2022, up 14.4 percent from the year ended June 2021 [35]. The North Island’s
growing population has had a notable impact on home construction in Auckland.
In recent years, the Auckland region has experienced a consistent rise in newly
built houses due to robust demand for residential properties, and it is home to more
than 75% of New Zealand’s businesses. The COVID-19 pandemic caused a slight
reduction in building work in Auckland in 2020 [34].
The supply chain disruptions and the challenges in meeting market demand have
also impacted the construction sector, with suppliers struggling to meet the sector’s
needs [32]. The continued high demand for residential building activity has put the
industry in good stead to recover from the impacts of the COVID-19 pandemic [23].
However, the complexity of global supply chain issues means that the full effects
may still be felt for some time [23].
The COVID-19 pandemic has also impacted the demand outlook for construc-
tion in New Zealand. Deloitte [10] predicts that the demand outlook for horizontal
construction will increase over the next five years, while the demand outlook for
vertical construction has been impacted more severely by COVID-19. They expect a
dramatic drop-in activity before a recovery. Stimulus initiatives will support vertical
construction but are unlikely to make up for the shortfall in demand associated with
the cancellation of private sector developments.

2 Method

This study aimed to investigate the impact of COVID-19 on the demand change in the
construction industry in New Zealand. A qualitative methodology was used to achieve
this goal, which involved conducting expert interviews followed by content analysis
of responses. The qualitative approach was appropriate for this study, allowing the
researcher to obtain in-depth viewpoints and experiences from expert respondents
concerning the phenomenon under investigation [3]. Qualitative content analysis and
thematic analysis were used to analyse textual data to reveal themes [11]. Content
analysis involves systematically studying a body of text, visuals, and symbolic
material [14, 19].
Eighteen experts involved in the construction industry during COVID-19 were
interviewed using a snowball sampling technique. The interviewees were selected
among construction companies’ general managers, quantity surveyors, planners,
site engineers, site managers, operation managers, and other informed construction
workers (Table 1). A careful selection and classified sample are required to ensure
that all potential viewpoints and opinions can be conveyed [8]. To ensure the quality
of responses, the interviewees were chosen from the high managerial levels with at
least five years of experience in the construction industry. A semi-structured inter-
view was conducted for 40 min to 1 h. The interview questions aimed to explore how
COVID-19 and the Changes It Made to Construction Demand in New … 245

Table 1 Profile of interviewees

Construction role Number of respondents Interviewee code
General manager 5 R7, R14, R15, R16, R17
Project manager 3 R1, R2, R3,
Quantity surveyor 3 R4, R6, R13
Site engineer 2 R8, R12
Operation manager 2 R9, R11
Planner 2 R5, R10
Business manager 1 R18

the supply chain has been challenged and changed during the pandemic and influ-
enced by it, as well as to reveal the processes and responses given to the challenges
by those involved in the construction work in New Zealand.
Interviews continued until theoretical saturation was achieved [16]. Saturation
can be viewed as the researchers having collected all the needed data and not adding
anything else to the databank [1]. What matters is whether the results represent the
subject of the investigation, not the research population.
The data gathered from the respondents were transcribed and uploaded into the
NVivo software, which was used for data management and analysis. NVivo was
developed to make it simpler to analyse the large amounts of text used in qualitative
research since it allows for deeper analysis and has more advanced tools for data
visualisation [28]. After categorising and coding the textual data, the main subjects
were revealed based on the transcribed interviews. In addition to document reviews
and observations, additional supporting data is also considered. The analysed data
from the interviews and the existing literature and New Zealand reports shaped this
paper.

3 Results

Unlike other parts of the world, New Zealand experienced a surge in construction
demand for all building products [27]. R16 described the demand surge: “The industry
is very, very busy.” Some construction companies, builders, and architects in New
Zealand have reported high demand, particularly with renovations, which have spiked
due to people spending more time at home during the lockdown and not spending
their money on overseas holidays [6]. According to R5 and R7, “demand was high.
Prices were going up” and “there’s a higher, much higher demand at the moment,
we do a lot of work in the housing market. So, it’s the demanders moment.“
The increased demand in the housing sector drives more demand for the materials.
According to R13, “Timber was a bit of a problem even before COVID, but that
made it worse because of the demand.” Moreover, underestimating the construction
246 S. F. Mirhosseini et al.

demands led to more shortages. R5 explained: “The supplier underestimated the

demand, and we don’t have alternatives.”
The increase in demand has a direct effect on price escalation. R14 confirmed it:
“All this, of course, goes into the next problem escalation. Supply drives demand.
Demand drives costs.” It is like a continuous chain escalating the problem. The rise
in demand and lack of supply leads to price escalation. The New Zealand market
can’t respond to huge demand. According to R12, R14, and R15, the New Zealand
construction market is small, and “it is not like going to a supermarket and buying
from the shelf.”
When COVID-19 hit and borders closed, the material flow to the country stopped.
R17 explained the lack of material: “We struggled to keep up with demand, and
product outages were a regular occurrence, particularly for mesh.”
The idea of manufacturing, shipping, and using material on a short-term basis
reduces the number of products in inventories and the storage cost; however, with
the COVID-19 occurrence, the companies found out that they can’t continue work
with low stocks. At that moment, when companies shut down, there was not a massive
amount of material in the warehouses to distribute. R1 explained, “The supply chain
has gone to this idea to make things on time and almost per order to save storage
space and reduce the price.” On the other hand, the shipping issues and shutting down
the factories globally restricted companies from securing materials for their project.
According to R3, “They cancelled all orders across New Zealand, and then you
have to reorder every month.” The uncertainty around the time of border reopening
made the suppliers, distributors, manufacturing owners, and contractors buy their
needed material and store it somewhere. According to R12, “People started buying
up massively, even though they didn’t need it, which would further restrain material.”
They bought the material and couldn’t find and afford warehouses. The response
was to stock the material on the construction site. According to R2, “We didn’t
have enough storage for that material, so we started stocking the site.” However, the
material was on the commuting pathways or working spaces, and they were at risk of
damage because of being exposed. Some other respondents leased the warehouses
as they couldn’t move and stock a lot of material on-site. According to R6, “We are
restricted in the industry as storage is not something you generally have. Building
sites need open spaces for everyone to work, so you can’t just fill up.” The lack
of storage makes the construction industry think about building more warehouses.
According to R17: “Demand for warehouse space and large distribution centres
continues to be strong partly as a result of COVID impacts on global supply chains,”
and R18 confirmed: “The big impact on our market is a huge demand for industrial
property. The supply chain disruption necessitates having more stock on hand which
means more demand for warehouse space.”
Shifting demands from residential to industrial makes more workers available in
the industrial sector. R18: “Last year there was a major labour shortage but now
there’s partly because other sectors of the construction industry are quiet.”
COVID-19 and the Changes It Made to Construction Demand in New … 247

4 Discussion

The COVID-19 pandemic has significantly impacted industries globally, and the
construction industry is no exception. In New Zealand, the construction industry has
experienced a surge in demand for building products, unlike the global situation,
mainly due to increased demand for housing renovations and new dwellings. As a
result, there has been a shortage of building materials and increased prices, creating
challenges for the construction industry in New Zealand.
The COVID-19 pandemic has also led to changes in work arrangements, with
many companies implementing work-from-home policies. This has led to reduced
demand for office space.
With many people spending more time at home due to COVID-19 restrictions,
there has been an increased demand for residential buildings. Additionally, with
more people working from home, there is a higher demand for home offices and
other amenities. Before the pandemic, many companies had adopted a strategy of
manufacturing, shipping, and using materials on a short-term basis. This strategy
helped to reduce the number of products held in inventories and lowered storage
costs. However, with the COVID-19 pandemic, companies could not continue to
work with low stocks. The global shutdown of factories and shipping issues have
restricted companies from securing materials for their projects. This has led to the
cancellation of orders across New Zealand, leading to more uncertainty in the supply
chain.
The uncertainty around the time of border reopening has led suppliers, distribu-
tors, manufacturing owners, and contractors to buy and store the needed materials
somewhere. However, this has led to a shortage of storage space, making it chal-
lenging to stock the materials. Some interview respondents have leased warehouses
as they could not move and store many materials on-site. However, the lack of storage
space has made the construction industry consider building more warehouses to keep
the materials.
The shortage of building materials has led to some large companies buying up
materials in bulk, even if they do not need them, which strains needy small companies.
This has led to some companies leasing warehouses immediately and procuring
essential project materials. The logic behind this idea is not only procuring material
but also if they could get offshore material into New Zealand, they could assemble
some parts in a warehouse. The traditional procurement models definitely and the
priority and selection of suppliers and subcontractors and how sustainable these
practices are was under scrutiny [15].
The shortage of building materials has worsened because the country’s borders
were closed, leading to a halt in the flow of materials. Some interview respondents
reported that product outages were regular. The shortage of building materials has led
to a shift in demand from residential to industrial construction. This shift in demand
has made more workers available in the industrial sector. This has helped alleviate
the labour shortage in the construction industry in New Zealand.
248 S. F. Mirhosseini et al.

This study provides an opportunity for decision-makers to have a better under-

standing of the impacts of the pandemic on the material supply chain in New Zealand,
including the sudden increase of the material demand, the possibility of shifting
demand as it happened during the pandemic by moving from the residential to indus-
trial construction, to empower them to predict the changes and altering needs and
prepare strategies to mitigate them. The study highlights the need to improve supply
chain management by reviewing the supply chain models and exploring alternatives
to bring more flexibility and resilience into the industry.
The study highlights the need to consider the importance of diversifying the
suppliers by including more regional and local suppliers, investment in local manu-
facturing capabilities, investment in warehousing and storage for at least essen-
tial construction materials, innovation in building construction with a focus on
designs and materials that are less dependent on overseas supplies, and move
towards the modern methods of the adapting flexible construction such as modular or
prefabricated as they allow work to continue even when the material is unavailable.
The experience of the pandemic can push the construction industry towards
emerging new business models that are more resilient to disruptions and uncertainties.

5 Conclusion

In conclusion, the COVID-19 pandemic has had a significant impact on the construc-
tion industry in New Zealand, posing challenges to the construction industry. Unlike
the global trends, New Zealand experienced a surge in construction demand from
residential to industrial construction due to an increased interest in the housing sector.
The increased demand led to a shortage of building materials and a corresponding
price increase. These challenges were exacerbated by the global shutdown of factories
and supply chain disruptions caused by COVID-19, restricting the building materials
availability in New Zealand. The situation exposed the shortcomings of the industry’s
method of keeping low stock for immediate use, designed to save cost and storage
space.
With the border closure and the ongoing uncertainty, despite the lack of adequate
storage, companies attempted to secure future-needed materials by purchasing in
bulk and storing them. This action increased demand for warehouse space and made
the companies keep the materials on-site. This strategy strained smaller companies
that struggled to secure essential materials as bulk buying of their larger counterparts.
The study contributes to knowledge by providing insights into the impacts of a
global pandemic on a specific industry in New Zealand as a geographically isolated
country and how the country responds to that disruption. It expands understanding of
the complexities and vulnerabilities of the construction material supply chain during
COVID-19. It highlights the importance of adaptability, flexibility, and forward-
thinking in business strategies such as localising supply chains, diversifying sourcing,
and empowering local manufacturers to mitigate risks. The insights from this study
COVID-19 and the Changes It Made to Construction Demand in New … 249

could be used in future studies about supply chain management and construction
industry resilience in the face of global disruptions.

6 Ethics Statement

This paper is part of a Ph.D. thesis and has been assessed as Low Risk in the
Annual Report of the Massey University Human Ethics Committee with the Ethics
Notification Number: 4000023852.

Acknowledgements The authors acknowledge the funding of the New Zealand Ministry of Busi-
ness, Innovation and Employment, Endeavour Programme Research Grant under contract number
MAUX2005.

Author Contributions Authorship must be limited to those who have made a substantial contri-
bution to this manuscript. Each author’s contributions are requested to be specified in this section.
For example, John Smith contributes to conceptualisation, methodology, software, validation, anal-
ysis, investigation, data collection, draft preparation, manuscript editing, visualisation, supervi-
sion, project administration, and funding acquisition. David Jackson contributes to conceptualisa-
tion, methodology, software, validation, analysis, investigation, data collection, draft preparation,
manuscript editing, visualisation, supervision, project administration, and funding acquisition. All
authors have read and agreed with the manuscript before its submission and publication.

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Health & Safety and Wellbeing Issues
Confronting New Zealand Building
Council Staff Involved in Compliance
Issues
Zhimei Chen, Gregory Chawynski, Claire Flemmer,
and Andries van Heerden

1 Introduction

Occupational health and safety encompass the illnesses and risks arising from the
work environment [10]. According to the World Health Organization (WHO), these
include physical health, mental health and social wellbeing [45]. Globally, the
construction industry is recognized as one of the most hazardous job sectors, particu-
larly for those working on construction sites and exposed to extreme weather, heights
and heavy machinery [4, 18, 21]. Consequently, most studies on health & safety and
wellbeing in the construction sector focus on the physical health risks of onsite labour.
Comparatively little is known about the health & safety and wellbeing of the building
professionals employed in the public sector who are responsible for checking compli-
ance with government regulations during the design, construction, and maintenance
stages of building projects. In New Zealand, the government collects annual injury
data for the construction industry but does not survey occupational health and safety,
chronic diseases and mental health for public sector employees [40]. This research
aims to address this gap by investigating the types of health & safety and wellbeing
issues faced by New Zealand building professionals in a council office, looking at the

Z. Chen
Kāinga Ora, Wellington, New Zealand
G. Chawynski · C. Flemmer · A. van Heerden (B)
College of Sciences, School of Built Environment, Massey University, Palmerston North, New
Zealand
e-mail: [email protected]
G. Chawynski
e-mail: [email protected]
C. Flemmer
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 253
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_17
254 Z. Chen et al.

support mechanisms that are provided and assessing what can be done to improve
the situation for this group.
A joint International Labour Organization/World Health Organization (ILO/
WHO) Committee on occupational health recognized that health & safety and well-
being need to be considered for all workers in all workplaces [15]. In the public sector
Nasios [29] notes that productivity increases when occupational health issues are
addressed. Most public sector jobs are office-based with long periods of sitting and the
common health issues are work-related stress and musculoskeletal disorders. These
can result in sleeping difficulties, depression, anxiety, muscular tension, headaches
and heart problems [5, 19, 20, 23]. Several studies show that reducing sedentary
behaviour and increasing both leisure time and physical activity can improve worker’s
physical and mental health and improve productivity [9, 20, 28, 32, 34, 42]. Personal
factors such as age, gender and work status may affect the extent of adverse health
issues [35]. The relationship between work and stress is complex [13]. George et al.
[11] found that occupational stress has no relation with the worker’s age. Increased
workload and increased working hours are both associated with increased occupa-
tional stress, increased physical and mental health issues, decreasing productivity and
worsening job satisfaction [17, 27, 30, 33, 46]. Research into reducing occupational
stress show that organizational policies reducing sedentary behaviour, ethical leader-
ship and good communication between managers and subordinates are effective and
increase job satisfaction [12, 24, 26, 38, 39, 43]. Despite this, many employers view
health and safety issues as additional, unwelcome costs and there is a downward
trend in public spending on occupational health and safety inspections [29].
In New Zealand, the Health and Safety at Work (HSAW) Act 2015 notes that any
“Person Conducting a Business or Undertaking” (PCBU) has a primary duty of care
for their workers and must reduce work-related physical and mental health risks [14].
HSAW stipulates that organization must provide the appropriate training and infor-
mation to ensure worker safety. Many employers provide additional employee assis-
tance programmes (EAPs), which give free counselling to support the employee’s
wellbeing [8]. The three largest building councils in New Zealand are the Auck-
land Council, the Christchurch City Council and the Wellington City Council. Of
these three, only Wellington City Council includes limited information about the
employee’s health & safety and wellbeing in their annual report [1, 7, 44].
In summary, little is known about the health & safety and wellbeing of public
sector professionals responsible for managing and inspecting building compliance
issues and this research aims to address that gap. It uses a survey of Christchurch City
Council (CCC) building professionals to determine the common health & safety and
wellbeing problems. It then investigates the support mechanisms that are currently
provided by the CCC and looks into additional ways to improve health & safety and
wellbeing for building professionals.
Health & Safety and Wellbeing Issues Confronting New Zealand … 255

Table 1 Research method and justification

Research Choice Justification
design
Philosophy Interpretivist Qualitative data will be interpreted to gauge demographics, extent
of health & safety and wellbeing and support offered by CCC
Approach Inductive Use the data to generate a model of the health & safety and
wellbeing of building professionals and compare this with current
models
Strategy Action Participants in a case study environment are actively engaged in
order to achieve the research objectives
Methods Mono Qualitative data on the opinions of a sample population
Tools Interview Cross-sectional survey of at least 50 building professionals in CCC
building consent unit

2 Method

The CCC Building Consenting Unit was selected as the case study organization
for the research and “in person” interviews were chosen as the research tool. The
justification for the method, based on Saunders et al. [36], is summarized in Table 1.
There were three parts to the questions used in the survey: Part One collected
demographic information, Part Two collected information about the individual expe-
riences of health & safety and wellbeing and Part Three collected open-ended opin-
ions on the support being offered by the organization and recommendations for
additional support. Surveys were conducted at the premises in September 2022
and resulted in 63 valid responses, representing approximately 25% of the council
employees. A more detailed description of the methodology is given in Chen [6].

3 Results

More detailed results from the research are available in Chen [6]. These include the
effect of age, gender and role on the number of hours spent on work and on leisure
activities each week.

3.1 Demographic Information

Table 2 summarizes the demographics of the sixty-three building professionals

working at the CCC Building Consent Unit who participated in this research. 76%
were aged from 31 to 60 years, and there were slightly more males (54%) than
females (46%). 9.5% of the participants had management roles, while 57% and 33%
were in technical and supporting roles, respectively. The small percentage of those
256 Z. Chen et al.

Table 2 Demographics of
Characteristic Number Percentage (%)
the 63 survey respondents
Age (years) 18–30 8 12.7
31–40 13 20.6
41–50 16 25.4
51–60 19 30.2
Over 60 7 11.1
Gender Male 34 54.0
Female 29 46.0
Role Technical 36 57.1
Management 6 9.52
Supporting 21 33.3

in management is a limitation of the study that will bias the findings towards the
opinions of the technical and supporting staff.

3.2 Health & Safety and Wellbeing Issues

Figure 1 shows the physical and mental health issues experienced by the participants.
Of the 63 participants, 75% have mental health issues, either as their only issue (37%)
or in addition to physical health issues (38%). The latter added to the 10% who have
only physical issues show that 48% of the participants have physical health issues.
16% have no health issues.
The effect of age, gender and role on the participant’s health is shown in Figs. 2,
3, and 4, respectively.

Fig. 1 Participant health

issues
Health & Safety and Wellbeing Issues Confronting New Zealand … 257

Fig. 2 Building professional health issues by age

Fig. 3 Building professional health issues by gender

Fig. 4 Building professional health issues by role

All eight participants in the youngest age group (18–30) experienced mental health
issues and 63% also experienced physical health issues (Fig. 2). The 51–60-year age
group had the highest percentage of mental health issues, with just under half of the
participants experiencing this problem. The literature reports mixed findings on the
258 Z. Chen et al.

effect of age on mental and physical wellbeing, with considerable variation amongst
different countries and cultures [37].
Figure 3 shows that 45% of females report having mental issues and this is consid-
erably higher than the 29% of males with mental issues. Both genders have the
same proportion (38%) of combined physical and mental issues but slightly more
males (12%) report physical health issues than women (7%). This might indicate
that females are more comfortable than males about reporting mental health issues.
This is supported in the literature which reports that females are more aware of their
mental health issues and that males find it more difficult to communicate mental
health issues [22, 25].
Figure 4 shows the effect of the building professional role on the reported health
issues. It is apparent that those in management roles experience much lower mental
health issues (17%), than those in technical roles (36%) and those in supporting roles
(43%). Since managers earn higher salaries than technical workers and technical
workers earn more than those in supporting roles, the results show that the lowest
income group have the highest percentage of mental issues, and this agrees with
findings reported by Thomson et al. [41].
The participants were asked what symptoms they experienced at the end of a full
day of work how frequently they exhibited symptoms. The responses are shown in
Figs. 5 and 6.
Almost half of the participants (46%) suffered from muscular tension and about
a third experienced headaches, anxiety, sleeping difficulties and work or private
life distractions (Fig. 5). Only 21% of the participants reported none of the listed
symptoms. A quarter of the participants experienced health symptoms often and
35% experienced the symptoms sometimes (Fig. 6). The findings agree with other
studies showing that musculoskeletal problems are common in office workers and

Fig. 5 Participant symptoms

Health & Safety and Wellbeing Issues Confronting New Zealand … 259

Fig. 6 Frequency of
symptoms

that addressing them through ergonomic furniture and exercise reduces the problem
[31].

3.3 Health & Safety and Wellbeing Support

62% of the participants agreed that the organization provided adequate health &
safety and wellbeing support. The effect of age, gender and role on this support are
shown in Figs. 7, 8 and 9.
The 41–50 age group participants were the most satisfied with the health & safety
and wellness support provided to them (Fig. 7). Males were more satisfied than
females (Fig. 8) and those in management roles were completely satisfied compared
with those in technical and supporting roles (Fig. 9).

Fig. 7 Adequacy of provided support by age group

260 Z. Chen et al.

Fig. 8 Adequacy of provided support by gender

Fig. 9 Adequacy of provided support by role

An open-ended question on recommendations for improved support was answered

by 51 participants (93% of the women and 71% of the men) and led to the results
shown in Fig. 10.

Fig. 10 Recommendations for improving health & safety and wellbeing support
Health & Safety and Wellbeing Issues Confronting New Zealand … 261

32 of the participants (63%) felt that the organization’s policy on health & safety
and wellbeing support could be improved. Over half were in favour of increased
pay and other common recommendations were reduced workloads, better office
equipment, more flexible working hours and more annual leave. The literature shows
that good health & safety and wellbeing support policies, including flexible working
hours, improve employee performance, productivity and customer service delivery
in organizations [2, 3].

4 Discussion

The aim of the research was to investigate the health & safety and wellbeing issues
faced by building professionals involved in the administration of compliance matters.
The results were based on a survey of 63 employees in the Christchurch City Council
Building Consenting Unit. 75% of the participants have mental health issues such
as anxiety, sleeping difficulty and depression. A higher proportion of females (45%)
reported mental health issues than males (29%), confirming previous studies that
found males were less likely to communicate mental health issues. Those in manage-
ment roles had a considerably lower proportion of mental health issues (17%), than
those in technical roles (36%) and those in supporting roles (43%). This agrees
with the findings in the literature that the lowest income group have the highest
percentage of mental issues. 48% of the participants have physical health issues
such as muscular tension and headaches. These are common problems for office
workers and result in lower productivity, and financial loss to the employer. Work-
place interventions such as providing ergonomic workstations, promoting neck and
back exercises, providing access to physiotherapy and counselling services have been
shown to increase productivity [6, 31].
Most of the participants agreed that the organization provided adequate health &
safety and wellbeing support. Participants in management roles were completely
satisfied, while those in technical roles and supporting roles were less satisfied,
possibly indicating unequal access to support. Improving the organization’s policy
on wellness was the main recommendation. This was followed by recommendations
for increased salary, decreased workload, better office equipment and more flexible
working hours. All of these have been found to improve employee productivity [2,
3, 16]. Interestingly, almost all the female participants (93%) provided suggestions
for improving health & safety and wellbeing support, compared with just 71% of the
males, which may be another indication that males are less willing to ask for support.
A limitation of the study is the small number of participants and the single case
study organization. In addition, only 10% of the participants had management roles,
so the findings are likely to be skewed towards the opinions from those in the technical
and supporting roles.
262 Z. Chen et al.

5 Conclusion

This research contributes information on the health & safety and wellbeing of
building professionals working in management, technical and supporting roles at
the Christchurch City Council Building Consent Unit. It shows that although most
of the participants felt that the existing wellbeing support was adequate, three quar-
ters experienced work-related stress and almost half had physical health issues from
sitting for long periods. The findings may be useful to both employers and employees.
Employers should consider improving the wellbeing support by providing coun-
selling, physiotherapy, flexible working hours, ergonomic workstations and addi-
tional resources to lessen workloads. They should have a clear health & safety and
wellbeing policy and ensure that all employees know how to access support. Building
professionals should improve their awareness of wellbeing issues and use strategies
such as talking through problems, seeking help, taking breaks and exercising. Male
employees, in particular, need to understand the importance of using the organiza-
tion’s wellbeing support systems. The financial cost of providing additional wellbeing
support is likely to be offset by the increased productivity from employees who have
better mental and physical health. Finally, the government should consider revising
the current Health and Safety at Work Act to address mental and physical issues, with
standards on healthier office working environments and on mental health policy.

Acknowledgements The authors acknowledge the assistance of Christchurch City Council who
supported this study.

Author Contributions Cara Chen contributes, draft preparation, methodology, visualization, vali-
dation, analysis, investigation, data collection and project administration. Gregory Chawynski
contributes to draft preparation, manuscript editing, visualization, supervision, project adminis-
tration. Claire Flemmer contributes to draft preparation, manuscript editing and additional content.
Andries van Heerden contributes to draft preparation, manuscript editing and additional content.
Funding This research received no specific financial support from any funding agency.

Institutional Review Board Statement This research was approved by Massey University’s
Human Ethics Committee, with low-risk ethics notification number: 4000026568 entitled ‘What
health & safety and wellbeing issues currently confront professionals working in the building
industry’ on 26 August 2022. The approval is valid for three years.

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Assessing Health and Safety Practices
in the Nigerian Construction Industry
in the Era of the Fourth Industrial
Revolution: Issues and Challenges

Oluwarotimi Gbenga Abina, Babatunde Fatai Ogunbayo,

and Clinton Aigbavboa

1 Introduction

The construction industry plays a vital role in an economy’s economic growth and
gross domestic product (GDP) in terms of its contribution [56, 57]. The construction
industry is viewed to be prone to accidents. The study of Zhou et al. [61] showed that
Health and Safety practices in the construction industry reiterate the negative H&S
achievement on construction sites as a global phenomenon. It has been noted that
negative H&S practices among employees significantly contribute to the failure of
H&S performances related to construction research [13, 24, 45]. Sánchez et al. [56]
stated that the number of accidents in the construction industry is unacceptable, which
results in poor H&S practices on employees, organisations, society, and nations.
Safety management primarily focuses on non-site safety-related procedures, roles,
and responsibilities [30]. The Council for Scientific and Industrial Research (CSIR)
[59] noted that the rapid development and convergence of emerging technologies
is what is driving the Fourth Industrial Revolution (4IR), also known as Industry
4.0. The World economic forum (WEF) [60] argues that businesses will increase
productivity, streamline projects and procedure management, improve quality, and
improve H&S by implementing innovations like 3D printing and scanning, advanced
building materials, augmented reality, autonomous equipment, and drones.

O. G. Abina (B) · B. F. Ogunbayo · C. Aigbavboa

cibd Centre of Excellence, Faculty of Engineering and the Built Environment, University of
Johannesburg, Johannesburg, South Africa
e-mail: [email protected]
B. F. Ogunbayo
e-mail: [email protected]
C. Aigbavboa
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 267
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_18
268 O. G. Abina et al.

In South Africa, the most recent legislative Acts pertaining to H&S practices in
the construction industry include the Regulations and Amendments Act, No. 181
of the 1993 Labour Relations Act (2003), and the amended Health and Safety Act
(2010) introduced by the Department of Labour. The primary objective of these
Acts is to establish an advisory council on occupational H&S and protect individ-
uals from H&S hazards arising from workplace activities (Department of Labour,
amended Health and Safety Act 2010). However, it has been consistently observed
that H&S practices performance in the construction industry remains inadequate
[38]. The industry struggles with the insufficient implementation of H&S measures
and a consistent failure to apply appropriate H&S controls [32]. Like many other
countries, South Africa is also impacted by the global issue of poor H&S standards
[37].
Consequently, it is crucial to prioritize H&S practices in the Nigeria construction
industry more than ever. Harnessing technologies from the fourth industrial revolu-
tion (4IR) can aid in managing H&S in construction [12]. These technologies can be
employed early in projects to facilitate safety management, identify potential risks
and hazards, and provide real-time monitoring of people and vehicle movement on
construction sites [12, 42]. They can also help detect hazardous zones resulting from
ongoing activities and issue alerts when individuals enter these zones.
Despite the evident significance of the construction industry, the adoption of tech-
nological advancements in building environments in developing countries has been
minimal [41]. Gaspar et al. [22] indicated that this reluctance may be attributed to
job security concerns. The risk of job losses in the construction industry is also
acknowledged [11]. Moreover, illiteracy and limited wireless Internet connectivity
have been identified as factors that reduce the likelihood of embracing these tech-
nologies. However, it is recognised that individuals with the requisite expertise and
skills will be better equipped to adapt to the changing landscape [11]. According to
Meltzer [34], the country experiences an alarming rate of over 100 yearly fatalities.
This can be attributed to the absence of an integrated digital tool that effectively
identifies safety hazards. Currently, construction sites rely on conventional 2D/3D
drawings, manual data entry, and standardised H&S plans replicated across projects
[34]. In a study by Johansen and Walter [26] conducted in the United Kingdom,
lean methods were described as a systematic approach involving the application of
various tools and techniques at different stages of construction projects within the
industry.
However, in the context of assessing H&S practices in the Nigerian construction
industry in the Era of the fourth industrial revolution, it is crucial to acknowledge
the challenges posed by the illiteracy of many workers, particularly in developing
countries. This illiteracy hinders effective communication regarding H&S matters
and prioritises wages over other aspects of employment conditions. Hence, the focus
on H&S issues becomes secondary for illiterate workers [27]. This situation has
further contributed to the construction industry’s negative reputation in terms of its
poor H&S record, as the employment of unskilled labour has been a common practice.
Cooper and Cotton [15] argue that the lack of skills and education among construction
operatives is a significant factor contributing to accidents on construction sites.
Assessing Health and Safety Practices in the Nigerian Construction … 269

Moreover, inadequate training on H&S matters exacerbates the problem [20].

In the light of these challenges, Darko and Lowe [16] and Frimpong et al. [19]
advocate for implementing training programmes targeting construction artisans in
Ghana. Such initiatives would equip them with the necessary skills for enhancing
efficiency and safety performance at construction sites.
These issues and challenges, as highlighted in Table 1, have deprived H&S profes-
sionals within the developing countries in the construction industry of meeting the
demand for H&S practices in project flow, budgeting execution, and delivery of the
project [7, 44, 46]. This study considers issues and challenges faced in the construc-
tion industry in the Era of 4IR as they affect the construction operation and process
in developing countries using the Nigerian construction industry as a case study.

Table 1 Issues and challenges facing H&S practices in the era of the 4IR
S.no. Issues and challenges facing health and safety practices in the Era of the 4IR Authors
1 A working at high elevation [23, 58]
2 Manual handling of objects [23, 28]
3 Lack of implementation of safety regulations [23, 28, 58]
4 Lack of implementation of regulations and amendments to safety laws [11, 17, 52]
5 Inadequate H&S controls [6, 39]
6 lack of skilled workers in the use of technologies [2, 10, 11]
7 Risk of job losses due to digitalisation [22, 35]
8 Lack of literacy workers [11, 31, 36]
9 Lack of wireless internet connectivity [21, 40]
10 High cost of digital tools [35, 57]
11 Fear of job losses [43, 57]
12 Unavailability of digital tools specialists [43, 57]
13 Lack of adequate information on digitalisation [8]
14 Lack of adequate knowledge on digitalisation [8, 34]
15 Inadequate infrastructure [8, 53]
16 Lack of education on digitalisation [1, 18]
17 Poor safety culture [9, 47]
18 Size of projects [4, 18, 25]
19 Insufficient electricity [55]
20 High costs of construction materials [25, 43, 53]
21 High-interest rates [7, 44]
22 Lack of access to wireless broadband [3, 25, 29]
23 Lack of productivity [48, 51]
24 Skilled labour shortages [46, 49]
270 O. G. Abina et al.

2 Methodology

This research was conducted within the confines of Lagos state, Nigeria, focusing
on construction professionals engaged in projects within the construction industry.
The selection of respondents was based on their active involvement and expertise in
the Health and Safety (H&S) processes within construction projects. Lagos state was
specifically chosen due to its abundance of ongoing construction endeavours, encom-
passing both government and private projects, each having established H&S units in
their construction processes. Employing the systematic random sampling method,
we distributed 100 questionnaires to the respondents, successfully retrieving 87 of
them. The choice of this sampling method was driven by its simplicity, directness,
and the elimination of clustering concerns compared to the cluster method [54].
Additionally, it ensures an even coverage of all elements [44]. The questionnaire,
structured on a 5-point Likert scale, achieved an 87% response rate, with responses
ranging from Strongly Disagreeing = 1, Disagreeing = 2, Neutral = 3, Agreeing =
4, to Strongly Agree = 5. Prior to analysis, the collected data underwent thorough
screening and cleaning. The respondents were queried about their gender, years of
experience, profession, and the specific mode of operations they were engaged in
within the construction industry. Furthermore, the questionnaire delved into twenty-
four issues and challenges related to H&S practices in the construction industry
during the Fourth Industrial Revolution, as identified in the literature.
The research also performed a descriptive analysis, encompassing percentage,
frequency, mean item score (MIS), and standard deviation. Utilising the mean item
score (MIS) for descriptive analysis, the Likert scale responses in the research ques-
tionnaire were examined. Following computation, the issues and challenges related
to Health and Safety (H&S) practices were arranged in descending order based
on their mean item score (MIS). The computation of MIS involved weighing the
responses from survey participants for each question and aligning them with collec-
tively agreed-upon scores by respondents, serving as indicators of comparative signif-
icance. This approach facilitated the evaluation of issues and challenges impacting
H&S practices in the context of the Fourth Industrial Revolution (4IR) in the construc-
tion industry. The study employed descriptive statistical tools, particularly MIS, to
analyse participant ratings for various questions in the survey questionnaire. As
highlighted by Pallant [50], means play a crucial role in descriptive research by indi-
cating the average scores of participants on a given measure. The standard deviation,
another descriptive statistic, elucidates the spread of numbers around the mean [50].
The descriptive analysis encompassed percentage, frequency, and standard deviation.

3 Results

Table 2 presents the details of the respondents involved in the survey. The details
include their years of experience, profession, and type of construction projects.
Assessing Health and Safety Practices in the Nigerian Construction … 271

Table 2 Analysis of demographic variables

Variable Characteristics Frequency Percentage (%)
Years of experience 1–2 7 7.5
3–5 20 22.5
6–10 18 20.9
11–15 19 21.9
16–20 14 17.6
21–25 6 6.4
Above 25 years 3 3.2
Total 87 100
Profession Quantity surveyor 14 16.6
Mechanical engineer 2 2.7
Architects 13 15.5
Civil engineers 20 22.5
Builders 21 24.1
Construction managers 8 9.6
Electrical engineers 5 4.8
Town Planners 4 4.3
Total 87 100
Type of construction projects Contracting firms 46 52.9
Consulting firms 12 13.9
Government ministries 21 25.1
Professional institutions 8 8.6
Total 87 100

The respondents’ years of experience in H&S practices within the construction

industry. The result illustrates that 7.5% (7) of the respondents have 1–2 years of expe-
rience in construction operations. 22.5% (20) of the respondents have 3–5 years of
experience, while 20.9% (18) have 6–10 years of working experience in the construc-
tion industry. Similarly, 21.9% (19) have between 11–15 years of working experi-
ence. This is followed by 17.6% (15) with 16–20 years of working experience in the
construction industry. The results also revealed that only 6.4% (6) have 21–25 years
of working experience, while only 3.2% (3) have over 25 years of working experience
in the construction industry. As shown in Table 2, 16.6% (14) of the respondents are
Quantity Surveyors, 2.7% (2) of the respondents are Mechanical Engineers, 15.5%
(13) are Architects, 22.5% (20) are Civil Engineers, 24.1% (21) are Builders, 9.6%
(8) are Construction Managers, 4.8% (5) are Electrical Engineers, and 4.3% (4) are
Town Planners. The type of construction projects where respondents carried out their
H&S practices within the construction industry. The outcomes revealed that 52.9%
(46) of the respondents are contracting firms, 13.9% (12) are consulting firms, 25.1%
(21) are government ministries, and 8.6% (8) are professional institutions.
272 O. G. Abina et al.

Table 3 illustrates the respondent ranking of issues and challenges facing the
construction industry in adopting H&S practices in the Nigerian construction industry
in the Era of the 4IR. The outcomes show the top and low-ranked issues and chal-
lenges facing the construction industry in adopting H&S practices in the Nigerian
construction industry in the Era of the 4IR using the mean score (x) and standard
deviation (σ X) within the construction industry and they include; working at high
elevation ranked first with the x = 4.11; σX = 0.799, ranked second was the size of
the project x = 4.09; σX = 0.894, while the risk of job losses due to digitalisation was
ranked third with the x = 4.06; σX = 0.896. The lack of implementation of safety
regulations was ranked fourth with x = 3.99; σX = 0.907, while constant amend-
ments to safety laws with the x = 3.98; σX = 0.907, and lack of skills in the use
of technologies with x = 3.98; σX = 0.898 were ranked fifth. Ranked seventh was
manual handling of objects with x = 3.9; σX = 0.845, inadequate infrastructure with
x = 3.98; σX = 0.829, and unavailability of digital tools specialists with x = 3.98;
σX = 0.827. Inadequate H&S controls with x = 3.93; σX = 0.769 and high costs
of construction materials with x = 3.93; σX = 0.877 were ranked tenth. The three
factors ranked twelfth are lack of literacy workers with x = 3.89; σX = 0.898, poor
safety culture with x = 3.89; σX = 0.898 and lack of education on digitalisation with
x = 3.89; σX = 0.789. While high-interest rates was ranked fifteen with x = 3.88; σX
= 0.868, lack of access to wireless broadband was ranked sixteenth with x = 3.75;
σX = 1.806, lack of wireless internet connectivity was ranked seventeenth with x
= 3.66; σX = 1.053. In addition, ranked eighteenth and nineteenth are insufficient
electricity with x = 3.64; σX = 1.120, lack of productivity with x = 3.64; σX =
1.139. while the high cost of digital tools with x = 3.57; σX = 1.062 and lack of
adequate knowledge of digitalisation with x = 3.57; σX = 1.026 ranked twentieth;
twenty second ranked was lack of adequate information on digitalisation with x =
3.57; σX = 1.155, skilled labour shortages ranked twenty third with x = 3.48; σX =
1.059, and fear of job losses ranked lastly with x = 3.43; σX = 1.062.

4 Discussion of Findings

The study assessed the issues and challenges in H&S practices in the construction
industry in the Era of 4IR using the Nigerian construction industry. The result of the
study indicated manual handling of objects, inadequate H&S controls, risk of job
losses due to digitalisation, lack of literacy workers, working at high elevation, lack
of skills in the use of technologies, constant amendments to safety laws, and lack
of implementation of safety regulations are issues and challenges facing the H&S
practices in the Era of the 4IR. The findings align with the submission of Greguric
[23], who identified the following H&S challenges working at high elevation and
manual handling of objects, an occurrence of slips. In addition, Pringle and Frost
[52], Dorji and Hadikusumo [17], and Birkel et al. [11] noted that the implementation
of H&S digitalisation practice requires enabling regulations and laws.
Assessing Health and Safety Practices in the Nigerian Construction … 273

Table 3 Ranking of issues and challenges facing the construction industry in adopting health and
safety practices in the Nigerian construction industry in the Era of the 4IR by respondents
Issues and challenges facing the construction industry x σX R
in adopting health and safety practices
Working at high elevation 4.11 0.799 1
Risk of job losses due to digitalisation 4.06 0.896 2
Size of the project 4.09 0.894 3
Lack of implementation of safety regulations 3.99 0.907 4
Constant amendments to safety laws 3.98 0.898 5
Lack of skills in the use of technologies 3.98 0.842 5
Manual handling of objects 3.97 0.845 7
Inadequate infrastructure 3.97 0.829 7
Unavailability of digital tools specialists 3.97 0.927 7
Inadequate health and safety controls 3.93 0.769 10
High costs of construction materials 3.93 0.877 10
Lack of literacy workers 3.89 0.898 12
Poor safety culture 3.89 0.898 12
Lack of education on digitalisation 3.89 0.789 12
High-interest rates 3.88 0.868 15
Lack of access to wireless broadband 3.75 1.086 16
Lack of wireless internet connectivity 3.66 1.053 17
Insufficient electricity 3.64 1.120 18
Lack of productivity 3.59 1.139 19
High cost of digital tools 3.57 1.062 20
Lack of adequate knowledge of digitalisation 3.57 1.026 20
Lack of adequate information on digitalisation 3.56 1.155 22
Skilled labour shortages 3.48 1.059 23
Fear of job losses 3.43 1.062 24
Mean of the values = x; standard deviation (SD) = σ X; Rank = R

The findings also showed that the high cost of digital tools, fear of job losses, lack
of wireless Internet connectivity, and lack of adequate information on digitalisation
are issues and challenges facing the H&S practices in the Era of the 4IR. The findings
align with opinions that the risk of loss of jobs due to the digitalisation of H&S
practices [11, 22, 35]. In the same vein, Birkel et al. [11], Gamil et al. [21], and
Newman et al. [40] attributed the challenges of H&S digitalisation to a lack of
wireless internet connectivity. Employees’ lack of literacy also affects the H&S
digitalisation practices [11, 31, 36].
The findings also showed that issues and challenges facing the H&S practices in
the Era of the 4IR are lack of access to wireless broadband, lack of productivity,
skilled labour shortages, insufficient electricity, and lack of adequate knowledge of
274 O. G. Abina et al.

digitalisation. This aligns with the assertion that mismatches between available skills
and required skills affect H&S digitalisation [4, 5, 14, 33]. Hence, H&S practices
digitalisation require upgrading employees’ technical skills to use digitalisation tools
in managing H&S in the Nigerian construction industry.
The findings indicated that the unavailability of digital tools specialists, the size
of the project, and the lack of education on digitalisation are issues and challenges
facing the H&S practices in the Era of the 4IR. Meno [35] attributed the challenges
of digitalisation to a lack of adequate skills, unavailability of training capabilities,
prefer traditional methods, and unavailability of funds from a client. Furthermore,
the findings indicated that poor safety culture, high-interest rates, inadequate infras-
tructure, and high costs of construction materials are issues and challenges facing
the H&S practices in the Era of the 4IR. According to Meno [35], the high cost
of digital tools, fear of job losses, lack of cost to adopt, lack of adequate skills,
and unavailability of training capabilities affect digitalisation. Similarly, Aghimien
et al. [3] added that the unravelling risk of construction digitalisation is due to fear
of change, unavailability of financial resources, unskilled technical support, lack of
innovation, and client insistence.
The study findings imply that providing useful information on the issues and
challenges facing the H&S practices in the Era of the 4IR in the Nigerian construction
industry. The paradigm shifts in the construction H&S practices of the Era of the
fourth industrial revolution brought about changes in the traditional practices of
H&S. These changes require construction organisations to acquire knowledge to
overcome the high cost of digital tools, fear of job losses, lack of wireless internet
connectivity, lack of adequate information on digitalisation, lack of access to wireless
broadband, lack of productivity, skilled labour shortages, insufficient electricity and
lack of adequate knowledge of digitalisation and enabling H&S digitalisation laws
and regulations lack of implementation of safety regulations.

5 Conclusion and Recommendation

The study assessed the issues and challenges facing implementing H&S practices in
the Nigerian construction industry in the Era of the 4IR. The study identified twenty-
four factors that can affect H&S practices in the Nigerian construction industry in
the Era of the 4IR. Hence, the descriptive analysis ranked ten of the H&S challenges,
including working at high elevation, the size of the project, the risk of job losses
due to digitalisation, lack of implementation of safety regulations, constant amend-
ments to safety laws, lack of skills in the use of technologies, manual handling
of objects inadequate infrastructure and unavailability of digital tools specialists,
poor H&S controls, and high costs of construction materials. The study conducted
among construction professionals in Lagos State, Nigeria, revealed that the majority
of respondents were males with varying years of experience in H&S practices. The
most common professions among the respondents were civil engineers and builders,
and they were primarily involved in contracting firms and government ministries.
Assessing Health and Safety Practices in the Nigerian Construction … 275

The analysis of respondents’ rankings indicated that working at high elevations, the
size of projects, and the risk of job losses due to digitalisation were the top three
issues and challenges facing the construction industry in adopting H&S practices in
the Era of 4IR.
In conclusion, 4IR is a digital tool in modern construction practices in developed
and developing countries. However, the outlined challenges are major factors deter-
ring the employment of 4IR tools in H&S practices in the Nigerian construction
industry in the ERA of 4IR. Health and safety practices in the Nigerian construc-
tion industry in the era of 4IR can be achieved through comprehensive training
programmes, addressing infrastructure and communication challenges, and creating
awareness about the benefits and opportunities offered by emerging technologies.
By prioritising H&S and embracing technological advancements, the construction
industry can enhance safety performance, mitigate risks, and promote sustainable
development in developing countries like Nigeria.

Acknowledgements The authors would like to acknowledge the Sustainable Human Settlement
and Construction Research Centre, Faculty of Engineering and the Built Environment, University
of Johannesburg (CIDB Centre of Excellence).

Funding This research was funded by the cidb, Centre of Excellence, Faculty of Engineering and
the Built Environment, University of Johannesburg, South Africa.

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Assessing Benefits of Monitoring
and Evaluation Practices: The
Construction Industry Perspective

Babatunde F. Ogunbayo, Clinton O. Aigbavboa, Molusiwa S. Ramabodu,

and Samuel A. Adekunle

1 Introduction

According to Tengan and Aigbavboa [34] and Kusek and Rist [19], M&E is a
systematic process designed to progressively gather information to keep stakeholders
engaged in projects informed about the evolving dynamics of quality, cost, and effi-
ciency. It helps facilitate organizational learning and aids in managerial decision-
making [34]. Locatelli et al. [20] and Seiso et al. [33] define M&S as a clear objec-
tive for projects to guide its delivery process. The M&S objectives are also set out in
projects for proper production control throughout the project’s life. As Kihuha [18]
and Ogunbayo et al. [26, 27] noted, M&E is the process of scrutinizing the project’s
progress to ensure that stakeholders meet construction objectives. Ogunbayo et al.
[25] and Adekunle et al. [2] asserted that the M&E procedure simplifies project
processes toward executing the construction production process effectively. In their
study, Tengan and Aigbavboa [34] advanced that the M&E practices serve as manage-
rial functions to organize project resources effectively with construction projects. The

B. F. Ogunbayo (B) · C. O. Aigbavboa · S. A. Adekunle

cidb Centre of Excellence, Faculty of Engineering and the Built Environment, University of
Johannesburg, Johannesburg, South Africa
e-mail: [email protected]
C. O. Aigbavboa
e-mail: [email protected]
S. A. Adekunle
e-mail: [email protected]
M. S. Ramabodu
Department of Construction Management and Quantity Surveying, Duban University of
Technology, Durban, South Africa
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 279
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_19
280 B. F. Ogunbayo et al.

practice helps the construction become more efficient by drawing on the lessons of
both triumphs and failures and becoming increasingly cost-effective [16, 35].
M&E practices in developing countries construction industry are becoming
increasingly more efficient through drawing on lessons learned on project success
and failures and making project process more effective [21, 24]. To achieve this,
M&E practice should be implemented by stakeholders as early as possible in the
processes for a construction project’s life cycle [4, 5, 26, 27]. This will help establish
responsibilities, display transparency to stakeholders, and integrate information into
future project planning [13, 25]. Ahsan and Gunawan [3] asserted that M&E practice
is crucial in ensuring the continued retention of benefits achieved by construction
projects. Construction project stakeholders have adopted M&E practices as part of
the quality assurance process. Through M&E practice, Kanyamuna et al. [17] posits
that stakeholders can clarify goals and prepare a realistic outline, clearly articulating
the required resources for the construction process.
Studies have shown that using M&E practices to guide the project process has
different benefits for the construction industry [17, 26, 27, 35]. The study of Papke-
Shields et al. [30] indicated that M&E practices guide projects to be delivered as
planned. Implementing M&E practices in construction activities by project stake-
holders will reduce construction material wastage [36]. The study of Bohn and Teizer
[8] showed that the benefits of including M&E in projects are that it helps erad-
icate corruption in the construction process and improves communication among
stakeholders. Mwangu and Iravo [22] state that using M&E practices for construc-
tion activities helps guide projects delivered within budget and successful for the
project teams involved. The use of M&S practices in management practices helps
eliminate disagreement among stakeholders and creates standard procedures among
stakeholders for construction activities [7].
According to Boulmetis and Dutwin [9], M&E gives insights into the relative
importance of activities, leading to the successful execution of projects and increasing
flexibility and expertise in construction procedures. Newcombe [23] posits that
M&S practices in construction activities will benefit the construction industry by
providing appropriate steps for implementing procedures and maintaining quality
service throughout the life cycle of the projects. Further, Kusek and Risk [19] assert
that M&E practices can help the construction industry develop strategic planning for
activities within projects. In their study, [11] noted that adopting M&S practices for
construction activities will lead to appropriate knowledge creation for professionals
within the industry.
Rakodi [31] study establishes that M&S practices ensure that construction projects
are projected in the right direction. As shown in Table 1, M&S practices are valuable
for improving project efficiency and facilitating strategic decision-making crucial
for successfully implementing construction projects, contributing significantly to
the construction industry’s performance [28]. In spite of the professional’s efforts
in adopting the M&E practices for the construction process in the construction
industry, understanding its benefits among stakeholders needs to be established. Also,
fewer studies have established the benefit of M&E practices within the developing
economies’ construction industry [7, 22, 26, 27, 34]. Hence, this study assesses the
Assessing Benefits of Monitoring and Evaluation Practices: The … 281

Table 1 Benefits of monitoring and evaluation practices in the construction industry

Benefit of M&E Authors Countries
Construction projects delivered as Papke-Shields et al. [30] The U.S.A
planned Ogunbayo et al. [26, 27] South Africa
Reduction of construction material Valadez and Bamberger [36] The U.S.A
wastage van den Burg et al. [37] The Netherland
Eradicate corruption in the construction Bohn and Teizer [8] The U.S.A
process Hira and Busumtwi-Sam [14] Canada
Improved communication among Bohn and Teizer [8] The U.S.A
stakeholders
Construction project delivered within Mwangu and Iravo [22] Kenya
budget Hira and Busumtwi-Sam [14] Canada
Project team achieved success Mwangu and Iravo [22] Kenya
Hobson et al. [15] The UK
Eliminates disagreement among Badom [7] Nigeria
stakeholders Aydin and Öztürk [6] Turkey
Standard view among stakeholders Badom [7] Nigeria
van den Burg et al. [37] The Netherland
Successful execution of projects Boulmetris and Dutwin [9] The U.S.A
Danforth et al. [12] The U.S.A
Increases flexibility and expertise Boulmetris and Dutwin [9] The U.S.A
Abbato [1] Australia
Appropriate steps are implemented Newcombe [23] The U.S.A
Aydin and Öztürk [6] Turkey
Quality service is maintained Newcombe [23] The U.S.A
Ogunbayo et al. [26, 27] South Africa
Strategic planning Kusek and Rist [19] The U.S.A
Hira and Busumtwi-Sam [14] Canada
Knowledge creation Conard and Hilchey [11] Canada
van den Burg et al. [37] The Netherlands
Source Authors review (2024)

benefits of M&E practices through the perspective of professionals in the South

African construction industry.

2 Methodology

This study was conducted among professionals working on construction projects

within the South African construction industry. The respondents were selected based
on their experience and involvement in construction projects’ M&E process and
procedure. Due to many ongoing construction projects (government and private
projects) and with M&E units established within their construction process, the
282 B. F. Ogunbayo et al.

Mpumalanga province of South Africa was chosen for this study. Fifty question-
naires were administered to the respondents through systematic random sampling,
with thirty-six retrieved. The sampling method was used due to the easier elimina-
tion of possible clustering when adopted [32] and the possibility of covering all the
elements evenly [26, 27]. The questionnaire was designed on a five-point Likert scale
using Strongly Disagreeing = 1, Disagreeing = 2, Neutral = 3, Agreeing = 4, and
Strongly Agree = 5, and it recorded a 72% response rate. The data collected from
respondents were screened and cleaned before the analysis. Respondents were asked
about fourteen benefits of M&E practices in projects in the construction industry
identified from the literature through the questionnaire.
The study encompassed a descriptive analysis incorporating percentage,
frequency, mean item score, and standard deviation measures. This was undertaken to
analyze the outcomes of the Likert inquiries within the research questionnaire. After
computation, the benefits of M&E practices identified were sorted from the highest
to lowest. The computation relied on the weighted responses provided by partici-
pants for each question. Further, it was aligned with the scores selected by respon-
dents, communally considered as analytically agreed-upon indicators of comparative
significance. This helped this study assess the benefits of M&E practices based on the
construction industry perspective. Descriptive statistical tools were used to analyze
how respondents ranked (R) various items in the survey questionnaire. The study
used descriptive statistical tools to analyze the ratings provided by participants for
different questions in the survey questionnaire. In descriptive research, means x are
significant because they reveal average participant scores on a given measure [29].
Bryman [10] elucidates that through a descriptive statistic, standard deviation (σX)
explains the sample that computes the numbers spread across the mean.

3 Results

Figure 1 shows the gender of the respondents. The result shows that 30.56% (11),
while 69.44% (25) of respondents are male construction professionals within the
study area.
Figure 2 illustrates the years of experience in M&E practices among respondents.
The findings indicate that 25% (9) of participants have 0–5 years of experience,
41.67% (15) possess 6–10 years of experience, 19.44% (7) have 11–15 years of
experience, and 13.89% (5) of respondents possess more than 16 years of experience
in M&E practices within the construction industry.
In Fig. 3, the respondents’ professions within the construction industry are
depicted. It shows that 22.22% (8) of the participants are civil engineers, 27.78%
(10) are construction managers, 19.44% (7) are construction project managers, 25%
(9) are quantity surveyors, and 5.56% (2) represent other professions, including an
architect and a consultant working within the construction industry.
Assessing Benefits of Monitoring and Evaluation Practices: The … 283

31%
Male
69% Female

Fig. 1 Gender of the respondents

14% 25%
0-5 years
19%
6 -10 years
11- 15 years
42%
16 years and above

Fig. 2 Years of experience of respondents in M&E practices

6% 22%
Civil Engineer
25%
Construction Manager
Construction Project Manager
28%
19% Quantity Surveyor
Others

Fig. 3 Respondents’ professions in the construction industry

284 B. F. Ogunbayo et al.

Residential buildings projects

22%
28% Civil and road projects

17% Private and commercial

Projects
33%
Government Projects

Fig. 4 Project types’ respondents involved in the construction industry

Figure 4 presents the various project types in which respondents are involved
within the construction industry. The results revealed that 22.22% (8) of the partici-
pants engage in residential building projects, 16.67% (6) are involved in civil and road
projects, 33.33% (12) participate in private and commercial construction projects,
while 27.78% (10) are associated with government construction projects.
Table 2 illustrates the respondent ranking of the benefits of M&E practices in
construction projects. The outcomes show the top and low-ranked benefits of M&E
practices within construction project delivery, and they include construction projects
delivered as planned was ranked 1st with a x of 4.28 and a σ X of 0.701; ranked
2nd was the reduction of construction material wastage and eradicate corruption
in the construction process with a x of 4. 25 and a σ X of 0.906, while improved
communication among stakeholders and construction project delivered within budget
was ranked 4th with a x 4.22 and σ X of 0.797; project team achieves success was
ranked 6th with a x of 4.19 and a σ X of 0.749; while eliminates disagreement among
stakeholders was ranked 7th with a x of 4.17 and a σ X of 0.910; standard view among
stakeholders was ranked 8th with a x of 4.14 and a σ X of 0.762; while successful
execution of projects with a x of 4.11 and a σ X of 0.820 was ranked 9th; increases
flexibility and expertise was also ranked 10th with a x of 4.06 and a σ X of 0.826.
Further, appropriate steps are implemented, ranked 11th with a x of 3.89 and a σ X of
1.008; quality service is maintained, ranked 12th with a x of 3.86 and a σ X of 0.931,
whereas strategic planning and knowledge creation were also ranked 13th with a x
of 3.75 and a σ X of 1.052

4 Discussion of Findings

The study assessed the benefits of M&S practices from the construction industry’s
perspective. The study result indicated that construction projects delivered as
planned, reduction of construction material wastage, eradicate corruption in the
Assessing Benefits of Monitoring and Evaluation Practices: The … 285

Table 2 Ranking of benefits of M&E practices by respondents

s. no. Benefits of monitoring and evaluation x σX R
1 Construction projects delivered as planned 4.28 0.701 1
2 Reduction of construction material wastage 4.25 0.906 2
3 Eradicate corruption in the construction process 4.25 0.841 2
4 Improved communication among stakeholders 4.22 0.797 4
5 Construction project delivered within budget 4.22 0.797 4
6 Project team achieved success 4.19 0.749 6
7 Eliminates disagreement among stakeholders 4.17 0.910 7
8 Standard view among stakeholders 4.14 0.762 8
9 Successful execution of projects 4.11 0.820 9
10 Increases flexibility and expertise 4.06 0.826 10
11 Appropriate steps are implemented 3.89 1.008 11
12 Quality service is maintained 3.86 0.931 12
13 Strategic planning 3.47 1.207 13
14 Knowledge creation 3.47 1.207 13

construction process, improved communication among stakeholders, and construc-

tion projects delivered within budget were the highest-ranked (1st–4th) benefits of
M&S practices in the construction industry. The finding aligns with Papke-Shields
et al. [30] and Valadez and Bamberger [36] that the benefits of M&S practices in
construction are to guide construction projects to be delivered as planned and to
reduce construction material wastage. It also aligns with the study of Bohn and Teizer
[8] that M&S practices benefit the construction industry by eradicating corruption
and corrupt practices in the construction process and creating improved commu-
nication among stakeholders. It also agrees with Mwangu and Iravo [22] that the
benefit of effective M&E practices in construction is that it ensures that construc-
tion projects are delivered within budget. The study’s findings imply that the use of
M&E practices will lead to construction projects delivered as planned, reduction of
construction material wastage, eradicate of corruption in the construction process,
improved communication among stakeholders, and projects delivered within budget,
if well implemented for construction process within the construction industry.
The findings also showed that the project team achieves success, eliminates
disagreement among stakeholders, better understanding among construction stake-
holders, successful execution of projects, and increased flexibility and expertise were
mediumly ranked (7th–12th) benefits of M&S practices in the construction industry.
The study affirmed the finding of Mwangu and Iravo [22] that one of the benefits is that
the project team will be able to succeed in their construction process. The study also
agrees with Badom [7] that M&S practices will help eliminate stakeholder disagree-
ment and provide standard views among stakeholders. The findings further support
Boulmetris and Dutwin [9] that M&S practices will lead to the successful execu-
tion of projects and increase construction professionals’ flexibility and expertise in
286 B. F. Ogunbayo et al.

construction operations. The findings indicate that M&E practices will increase the
performance and outcomes of construction professionals. It also helps reduce conflict
among construction stakeholders, including clients involved in construction projects.
Further, the findings indicated that appropriate steps are implemented, quality
service is maintained, and strategic planning and knowledge creation are the least
ranked (11th–14th) benefits of M&S practices in the construction industry. This
supports Newcombe [23] that M&S practices in construction operations will create
appropriate steps that can be implemented for construction activities. This also
supports Kusek and Rist [19] and Conard and Hilchey [11] that M&S practices will
guide in creating strategic planning and knowledge based on information gathered
from construction activities. This implies that construction activities will benefit from
effective M&S practices toward achieving sustainable projects and strategic planning
for construction projects.

5 Conclusion and Recommendation

The study assessed the benefits of M&S practices from the perspective of construc-
tion professionals in the South African construction industry. The study identi-
fied construction projects delivered as planned, reduction of construction material
wastage, eradicate corruption in the construction process, improved communica-
tion among stakeholders, and construction projects delivered within budget were
the major benefits of including M&S practices in the construction projects. The
study established that M&S practices in construction will always lead to continuous
improvement of the construction activities within the industry. The M&S practices
will also continue to expose construction professionals to activities that require atten-
tion through proper planning and a better understanding of the stages of projects they
are involved in. Further, the study asserted that M&S practice is a simple tool that can
guide professionals to achieve their construction goals. The study suggested that to
continue enjoying the benefits of using M&S practices in the construction industry,
professional institutions should create more awareness about the benefits of imple-
menting M&S practices in the design, production, and handing over construction
stages.
Further, required training should be organized on the benefits of using M&S
practices for construction activities among construction professionals. The study
concluded that government and construction professionals should enforce M&S at
the tender stage of construction projects. Also, required training and seminars should
be provided to stakeholders to understand better the benefits of M&S practices on
activities within the construction industry. The study enriches the body of knowledge
by enabling professionals in project delivery to identify benefits anticipated in M&S
practices in achieving their construction objectives.

Acknowledgements The authors would like to acknowledge Cidb Centre of Excellence, Faculty
of Engineering and the Built Environment, University of Johannesburg, South Africa.
Assessing Benefits of Monitoring and Evaluation Practices: The … 287

Funding This research was funded by the Cidb Centre of Excellence, Faculty of Engineering and
the Built Environment, University of Johannesburg, South Africa.

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Minimizing Patent Defects in Low-Cost
Housing

P. Ndlovu and James Olabode Bamidele Rotimi

1 Introduction

The construction industry has contended with quality performance issues for a
considerable time, despite extensive research efforts aimed at addressing these chal-
lenges [4, 14, 29, 32, 35]. One sector severely affected by poor quality is housing,
leading to adverse consequences for households, particularly in low-cost housing
projects [35]. The negative impact of substandard quality on health and well-being
outcomes in low-cost housing has been well-documented [28]. According to Barton
and Grant’s model [7], both the natural and built environments significantly influence
a population’s health, and the concept of a healthy building, introduced by Ho et al.,
aims to encourage positive well-being for occupants and to improve their efficiency.
Defects in buildings pose threats to the health, safety, and well-being of occu-
pants [2] A healthy building is an integral part of a healthy built environment where
all health risk factors are prevented, and optimal conditions for individual users’
health and well-being are achieved [3]. This includes providing stimulating and
healing-oriented conditions that fulfill the specific needs of individual users, espe-
cially vulnerable ones. On the other hand, an unhealthy building exposes users to
health risk factors without attaining optimal conditions, particularly for vulnerable
individuals [2, 9, 31].
At the completion stage and after the handover of projects, there are often extensive
lists of patent defects that negatively affect users. Construction failures are attributed
to imperfections and inadequacies [18, 30, 35] during the implementation process.
Unfortunately, project stakeholders tend to adopt a lackadaisical attitude toward

P. Ndlovu (B)
University of the Witwatersrand, Johannesburg, South Africa
e-mail: [email protected]
J. O. B. Rotimi
Massey University, Auckland, New Zealand

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 291
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_20
292 P. Ndlovu and J. O. B. Rotimi

these flaws and their origins, only taking action when they become unavoidably
apparent. Many low-cost housing projects suffer from an indifferent mindset, leading
to undocumented and unresolved defects, which result in a substantial inventory of
flaws upon project completion. These inadequacies come with significant financial
implications.
This paper aims to explore the intrinsic defects prevalent in low-cost housing
projects and to understand their nature. It also proposes measures to mitigate their
occurrence before the project reaches its final stage. The research seeks to achieve the
following objectives: (1) identify patent defects commonly encountered during the
completion stage of low-cost housing projects, (2) examine their underlying causes
and their impact on the health and well-being of users, and (3) advocate strategies to
reduce the prevalence of such overt defects during project finalization.

2 Literature Review

Low-cost housing serves as a crucial solution to housing shortages, offering afford-

able living options for vulnerable populations. The presence of patent defects in
such housing impacts the health and overall well-being of its inhabitants. This study
explores the common patent defects found in low-cost housing and their implications
on the occupants’ health and quality of life.
Patent defects in construction encompass inherent shortcomings or imperfections
arising during the building process, affecting the structures’ quality, performance, and
durability. These defects encompass design flaws, material deficiencies, workman-
ship errors, and inadequate maintenance [6, 27]. Design flaws pertain to improper
structural calculations [12], insufficient drainage systems [13], or a lack of atten-
tion to environmental considerations [17]. Material deficiencies result from the use
of substandard or incompatible materials, which lead to degradation, corrosion, or
structural instability. Workmanship errors arise from poor construction practices,
inadequate skill or supervision, and shortcuts during the building process. Inadequate
maintenance exacerbates defects over time, as neglecting minor issues can lead to
significant structural problems. The existence of these defects not only compromises
the health, safety, and functionality of buildings but also imposes financial burdens
on owners and occupants.
In the context of low-cost housing, patent defects refer to visible and identifi-
able flaws in the structure, design, or construction. Such issues include building
cracks water penetration (leaks), poor ventilation, inadequate insulation, substan-
dard building materials, faulty plumbing, and improper electrical systems [6, 27].
The prevalence of patent defects in low-cost housing can be attributed to cost-
cutting measures and inadequate quality control. These deficiencies have far-reaching
consequences on the well-being of the occupants, highlighting the urgent need to
address and rectify these issues to ensure the provision of safe and habitable living
environments.
Minimizing Patent Defects in Low-Cost Housing 293

2.1 Risks and Health Concerns Posed by Patent Defects

Patent defects in low-cost housing pose significant risks and health implications for
its occupants, jeopardizing their well-being and quality of life. These defects can
lead to various adverse health outcomes, exacerbate existing health conditions, and
compromise the safety and security of the residents. Several studies have highlighted
the importance of addressing patent defects to safeguard the health and safety of
low-cost housing occupants.

2.1.1 Building Cracks and Structural Instability Defects

Building cracks in low-cost housing lead to potential structural instability, indoor

environmental hazards, and various health concerns. The prevalence of building
cracks is common in low-cost housing due to cost-cutting measures and the use of
substandard construction materials [21, 35]. Building cracks can compromise the
structural integrity of low-cost housing units. Cracks that develop in load-bearing
elements, such as walls, columns, and beams, can weaken overall stability. Over
time, if these cracks are not addressed, they may worsen and lead to partial or
complete structural failure. The risk of collapse can endanger the lives of occupants
and neighboring properties, especially during seismic events or adverse weather
conditions.
Building cracks can allow water infiltration, creating an environment conducive
to mold and mildew growth. Moisture intrusion through cracks can lead to damp-
ness, which promotes the proliferation of mold spores in walls, ceilings, and floors
[26]. Mold and mildew release airborne allergens and mycotoxins that can trigger
respiratory issues, allergies, and asthma in occupants [8, 22, 34]. Prolonged exposure
to indoor environmental hazards like mold can lead to chronic health problems and
reduce the quality of life for the residents [8, 22].
Cracks in building components can negatively affect indoor air quality. Gaps in
walls, windows, and doors can allow the infiltration of outdoor pollutants, dust,
and harmful particulate matter into the living spaces. Poor indoor air quality (IAQ)
can lead to respiratory problems, cardiovascular issues, and other health compli-
cations. Vulnerable populations, such as children, the elderly, and individuals with
pre-existing health conditions, are particularly at risk of adverse health effects due
to compromised IAQ.
In addition to structural instability, building cracks can create physical safety
hazards for occupants [25, 33]. Uneven surfaces caused by cracks may lead to trips,
slips, and falls, particularly in poorly lit areas. Moreover, if left unattended, cracks
can widen, creating larger openings that pose entrapment risks for children and pets.
Cracks on floors and pavements within the housing complex can also increase the
risk of accidents for residents and visitors.
Living in a structurally compromised environment can have a psychological
impact on the well-being of occupants [20]. The constant fear and uncertainty about
294 P. Ndlovu and J. O. B. Rotimi

the building’s safety can lead to heightened stress levels and anxiety. Moreover, the
lack of action or timely repairs by housing authorities may create feelings of neglect
and helplessness among residents.

2.1.2 Indoor Air Quality and Respiratory Health

One of the most common health risks associated with patent defects in low-cost
housing is poor indoor air quality. Defects like inadequate ventilation and water
infiltration [5, 10] can promote the growth of mold and mildew, leading to airborne
allergens and toxins. Exposure to these pollutants can trigger or worsen respiratory
conditions, such as asthma and allergies [11, 22]. Prolonged exposure to poor indoor
air quality can also increase the risk of respiratory infections and other respiratory
diseases [11]. Indoor air quality (IAQ) plays a critical role in the health and well-
being of occupants, and its significance becomes even more pronounced in low-cost
housing, where patent defects can have adverse effects on IAQ. Among the most
prevalent health risks associated with patent defects in such housing is the issue of
poor indoor air quality. The presence of defects like inadequate ventilation and water
infiltration can create an environment conducive to the growth of mold and mildew,
which in turn leads to the release of airborne allergens and toxins, significantly
impacting respiratory health [11].
One of the primary concerns arising from poor IAQ in low-cost housing is the
exacerbation of respiratory conditions, particularly asthma and allergies. Studies
have shown that occupants living in environments with subpar ventilation and mold
infestation are more susceptible to asthma attacks and allergic reactions [11]. The
inhalation of allergens and other pollutants released from mold and mildew can
trigger respiratory symptoms in individuals with pre-existing conditions or even
lead to the development of new respiratory issues in otherwise healthy occupants.
Prolonged exposure to poor IAQ in low-cost housing can have serious long-term
health consequences. Research has linked such exposure to an increased risk of
respiratory infections and other respiratory diseases. Inadequate ventilation, along
with the accumulation of harmful pollutants, can facilitate the spread of infectious
agents within the confined indoor environment, heightening the chances of respira-
tory infections [11, 22]. Furthermore, poor IAQ has been associated with the develop-
ment of chronic respiratory diseases, such as chronic obstructive pulmonary disease
(COPD), which can significantly impact the quality of life and overall health of
affected individuals (Ibid.).
Children and vulnerable populations are particularly susceptible to the adverse
effects of poor IAQ in low-cost housing. Children’s respiratory systems are still
developing, making them more sensitive to environmental pollutants. Exposure to
indoor air pollutants during their early years can lead to long-term respiratory issues
and a higher risk of asthma development [11]. Similarly, vulnerable populations, such
as the elderly and individuals with pre-existing respiratory conditions, face greater
health risks from poor IAQ, as their bodies may have reduced capabilities to cope
with the added strain on their respiratory systems.
Minimizing Patent Defects in Low-Cost Housing 295

2.1.3 Water Penetration (Leaks) and Associated Health Risks

Water penetration in buildings, resulting from patent defects such as leaks and damp-
ness, presents a significant health risk to occupants. When left unresolved, these
issues can create an environment conducive to the growth of mold, bacteria, and other
harmful microorganisms, leading to a myriad of health problems. Several studies
have emphasized the adverse health implications of water penetration in buildings
[1], especially in low-cost housing projects.
The presence of water-related defects provides the ideal conditions for mold
growth, a particularly concerning health hazard. Mold releases spores into the air,
and when inhaled, these spores can trigger or worsen respiratory issues, such as
asthma and allergies. Individuals with pre-existing respiratory conditions are espe-
cially vulnerable to the adverse effects of mold exposure [1, 2, 22]. Additionally,
prolonged exposure to mold spores and other airborne contaminants can cause respi-
ratory irritation and exacerbate symptoms, leading to frequent coughing, wheezing,
and difficulty breathing. Moreover, water penetration can contribute to the prolifera-
tion of bacteria and other harmful microorganisms. Damp environments provide the
perfect breeding grounds for bacteria, which can pose health risks when they come
into contact with the occupants or when they are inhaled [23]. Bacterial infections can
lead to a range of health issues, from mild skin irritations to more severe respiratory
infections.
In low-cost housing projects, the impact of water penetration on health is even
more concerning. These housing units often lack proper waterproofing and water
drainage systems, making them more susceptible to water infiltration and leaks.
Moreover, inadequate ventilation and limited resources for prompt repairs can exacer-
bate the problem, allowing moisture to accumulate and persist over extended periods.
This scenario significantly increases the likelihood of mold and bacterial growth,
posing a greater health risk to the inhabitants, particularly vulnerable groups such as
children and the elderly.
Long-term exposure to mold and water-related issues can lead to chronic health
problems. The effects of mold exposure may not be immediately apparent but can
manifest gradually over time, resulting in persistent health issues and diminished
quality of life. Children exposed to mold and damp environments are at risk of
developing respiratory problems that can persist into adulthood [8, 11]. Similarly,
the elderly, whose immune systems may be weaker, are more susceptible to infections
caused by harmful microorganisms present in water-damaged areas.

2.1.4 Mental Health and Well-Being

Living in housing with visible patent defects can significantly impact the mental
health and well-being of the occupants. Constant exposure to subpar living condi-
tions, including structural flaws and limited amenities, can lead to heightened stress
levels and decreased overall life satisfaction [23]. The psychological distress resulting
from the lack of a safe and comfortable living environment can have far-reaching
296 P. Ndlovu and J. O. B. Rotimi

consequences on mental health, potentially leading to anxiety, depression, and a

diminished sense of self-worth.

2.1.5 Safety and Security Concerns

Structural defects and poor construction practices can compromise the safety and
security of low-cost housing occupants. Deficiencies in building materials, improper
installation of electrical systems, and weak structural foundations can lead to acci-
dents, injuries, and property damage. Inadequate fire safety measures and a lack of
emergency exits can further escalate the risks during unforeseen incidents.

2.1.6 Impact on Children and Vulnerable Populations

Patent defects in low-cost housing have a more pronounced impact on children and
vulnerable populations. Children, in particular, are highly susceptible to health issues
arising from exposure to poor indoor air quality and hazardous building conditions
[11]. Vulnerable populations, such as the elderly and individuals with pre-existing
health conditions, are also at higher risk of experiencing health complications due to
patent defects in their living environments.
Patent defects in low-cost housing have severe health implications, affecting
indoor air quality, safety, and overall well-being. The presence of these defects high-
lights the importance of investing in quality construction, regular maintenance, and
effective remediation measures to ensure that affordable housing remains a safe and
healthy option for vulnerable populations.

3 Research Methodology

The objective of this research was to investigate strategies for reducing patent defects
in construction. Data was gathered through a purposive sampling method, which
involved the participation of a population from different backgrounds related to
the low-cost housing sector. These participants included human settlements inspec-
tors, municipal inspectors, architects, civil engineers, project managers, develop-
ment managers, quantity surveyors, safety officers, contractors, house owners, and
suppliers. The study employed a mixed-methods approach, incorporating both quan-
titative and qualitative methodologies. Questionnaires were distributed to 150 partici-
pants, resulting in 101 completed responses. Additionally, semi-structured interviews
were scheduled with 10 research participants; however, only eight face-to-face inter-
views were eventually conducted. The data collected were analyzed using content
and thematic analysis techniques. The inclusion of a diverse range of stakeholders,
representing various roles within the housing sector, allowed for a comprehensive
exploration of the underlying causes of patent defects in low-cost housing projects.
Minimizing Patent Defects in Low-Cost Housing 297

4 Findings and Discussion

Through extensive research and analysis, this study has identified common patent
defects in construction, including design flaws, material deficiencies, workmanship
errors, and inadequate maintenance. These defects have been shown to significantly
impact the health, safety, and overall well-being of occupants, particularly in vulner-
able populations. The study highlights the association between patent defects and
their adverse effects on indoor air quality, respiratory health, and safety hazards.
Additionally, it emphasizes the importance of adhering to quality standards, imple-
menting proper construction practices, and investing in skilled labor and high-quality
building materials to minimize the occurrence of defects. The discussions further
underscore the need for collaborative efforts between stakeholders to address these
challenges effectively. By presenting a comprehensive analysis of the implications
of patent defects in low-cost housing, this study contributes valuable knowledge to
the construction industry and informs the development of strategies to improve the
quality and sustainability of low-cost housing initiatives.
Profile of Participants: To determine strategies utilized to minimize patent defects in
low-cost housing projects, it was important to validate the familiarity of participants
in dealing with patent defects in low-cost housing. The results showed that 93% of
respondents indicated being familiar with dealing with patent defects in low-cost
housing projects. The experience of participants in low-cost housing ranged from
35% of respondents having 10–15 years of experience in low-cost housing projects,
25% indicated they have 5–10 years of experience, and 23% indicated they can
submit 1 to 5 years of experience. The results indicated that 80% of participants
indicated that cracks and leaks are defects often found in low-cost housing, while
70% identified plumbing issues and 55% identified painting, structural instability
and misalignment, and unevenness of floors identified by 50% of respondents.
Patent Defects in Low-Cost Housing: The findings of the study revealed that cracks
and plumbing problems emerged as the most prevalent patent defects within the low-
cost housing sector. At the practical completion stage of these projects, a multitude
of factors were identified as major contributors to the occurrence of these defects.
These factors included inadequate supervision, poor workmanship, utilization of
substandard building materials, and a lack of sector-specific training for individuals
responsible for house inspections. To mitigate the health risks associated with patent
defects in low-cost housing, addressing indoor air quality issues is crucial. Imple-
menting proper ventilation systems, regular maintenance practices, and prompt reme-
diation of water leaks and dampness can significantly improve IAQ and reduce the
presence of harmful pollutants. Additionally, promoting proper hygiene practices,
such as cleaning and proper waste disposal, can help minimize the release of airborne
allergens and pollutants within the indoor environment. Patent defects, such as water
leaks and dampness, can create favorable conditions for the growth of mold, bacteria,
and other harmful microorganisms. These contaminants can exacerbate respiratory
issues, cause skin irritation, and even lead to infections in vulnerable individuals
298 P. Ndlovu and J. O. B. Rotimi

[15]. Long-term exposure to mold and water-related issues can contribute to chronic
health problems, particularly in children and the elderly.
Poor indoor air quality resulting from patent defects in low-cost housing poses
significant risks to respiratory health. Mold infestation, inadequate ventilation, and
water infiltration are among the key culprits contributing to compromised IAQ. The
consequences of these issues can lead to worsened respiratory conditions, respi-
ratory infections, and long-term respiratory diseases. Prioritizing indoor air quality
improvement measures is essential to safeguarding the health and well-being of occu-
pants, particularly vulnerable populations living in low-cost housing. To mitigate
the health risks associated with water penetration, timely and effective repairs and
remediation are essential. Implementing adequate waterproofing measures during
construction and ensuring proper ventilation can help prevent water infiltration in
the first place. Additionally, regular inspections and proactive maintenance can iden-
tify and address water-related issues promptly, reducing the potential for mold and
bacterial growth.
The patent defects leading to water penetration in buildings pose serious health
risks to occupants, particularly in low-cost housing projects. The growth of mold,
bacteria, and other harmful microorganisms can result in respiratory issues, skin
irritations, and infections. Long-term exposure to these contaminants can lead to
chronic health problems, especially in vulnerable individuals such as children and
the elderly. Implementing preventive measures and prompt remediation is crucial
in safeguarding the health and well-being of occupants and ensuring a safe living
environment.
Defect Rectification Strategies: In light of the research findings, this paper
concludes by proposing recommendations to improve the execution, monitoring,
and remediation of patent defects in housing projects, specifically in the context of
low-cost housing. These practice-based recommendations aim to minimize the occur-
rence of patent defects and enhance the overall quality of low-cost housing initia-
tives. This paper has explored the detrimental impact of patent defects on the health
and safety of occupants in low-cost housing projects. To address these issues and
improve the execution, monitoring, and remediation of patent defects, the following
practice-based recommendations are proposed (Table 1).
Adherence to Quality Standards: It is important to establish and enforce strin-
gent quality standards for low-cost housing projects. Implementing quality control
measures throughout the construction process can help identify and rectify poten-
tial defects at an early stage. This includes regular inspections and quality checks
by qualified professionals to ensure that construction materials, techniques, and
workmanship meet approved standards.
Training and Skill Development: Investing in the training and skill development of
construction workers and contractors is essential. Properly trained and skilled labor
can significantly reduce the occurrence of defects arising from poor workmanship.
Training should focus on best practices, safety protocols, and the use of appropriate
construction methods and materials.
Minimizing Patent Defects in Low-Cost Housing 299

Table 1 Defects and mitigation strategy

Defects Mitigation strategies
Lack of adherence to quality standards – Implement stringent quality control measures
during construction
– Regular inspections and quality checks by
qualified professionals
– Ensure materials, techniques, and
workmanship meet approved standards
Inadequate training and skill development – Invest in training and skill development for
construction workers and contractors
– Focus on best practices, safety protocols, and
appropriate construction methods and
materials
Use of substandard building materials – Prioritize the use of high-quality, durable, and
resistant building materials
– Avoid using substandard materials to prevent
long-term costs of repairs
Poor waterproofing and drainage – Incorporate effective waterproofing measures
during construction
– Implement proper drainage systems to direct
rainwater away from the foundation
Delayed detection and remediation of defects – Encourage residents to report patent defects
promptly
– Establish a transparent and accessible
mechanism for issue reporting
– Take prompt action to address reported defects
to prevent further deterioration
Lack of comprehensive building inspections – Conduct thorough inspections at key stages of
the project, including pre-handover
– Qualified inspectors should assess structural
integrity, ventilation, plumbing, electrical
systems
Lack of awareness and collaboration – Raise awareness among residents about the
importance of maintaining the building’s
integrity and reporting defects
– Conduct educational campaigns to inform
residents about potential hazards
– Encourage collaboration between stakeholders
for better project outcomes

Use of High-Quality Building Materials: Low-cost housing projects often face

budget constraints, leading to the use of substandard materials [24]. However, the
long-term cost of repairing defects outweighs the initial savings. By prioritizing the
use of high-quality building materials that are durable and resistant to environmental
factors, the likelihood of defects can be minimized.
Proper Waterproofing and Drainage: Effective waterproofing measures should be
incorporated during the construction phase to prevent water infiltration and damp-
ness. Proper drainage systems should be implemented to direct rainwater away
300 P. Ndlovu and J. O. B. Rotimi

from the building foundation, reducing the risk of water-related defects that can
compromise the structure’s stability and indoor air quality.
Early Detection and Prompt Remediation: Encouraging residents to report any
signs of patent defects is crucial for early detection and timely remediation. Housing
authorities and project developers should establish a transparent and accessible mech-
anism for occupants to report issues [19]. Prompt action should be taken to address
reported defects to prevent further deterioration and potential health risks.
Comprehensive Building Inspections: Conducting comprehensive building inspec-
tions at key stages of the project, including pre-handover, is essential. Qualified
inspectors should assess the building’s structural integrity, ventilation systems,
plumbing, electrical systems, and other crucial elements. Regular inspections during
the construction and post-occupancy phases can help identify and rectify defects
promptly.
Raising awareness among residents about the importance of maintaining the
building’s integrity and reporting defects is vital. Educational campaigns can inform
residents about potential hazards related to patent defects and the significance
of reporting issues promptly. Encouraging collaboration between stakeholders,
including developers, contractors, local authorities, and residents, can lead to better
outcomes. Engaging stakeholders at various stages of the project can foster a sense
of responsibility and shared commitment to maintaining housing quality and safety.
Implications of the Study
The implications of this study are significant as it provides valuable insights into the
persistent performance quality issues prevalent in the construction industry, with a
specific focus on the low-cost housing subsector. By identifying and analyzing the
dominant patent defects and their underlying causes, this research contributes valu-
able knowledge to the ongoing efforts aimed at improving the quality of construc-
tion projects. Understanding the nature and origins of these defects can help stake-
holders, including developers, contractors, and policymakers, devise targeted strate-
gies to prevent and address them more effectively. By addressing these challenges,
the construction industry can enhance the overall quality, safety, and sustainability
of low-cost housing projects, ultimately benefiting the well-being and quality of life
of the inhabitants. Moreover, the findings of this study can inform the development
of best practices and guidelines to ensure that low-cost housing initiatives provide
safe, habitable, and durable living environments for vulnerable populations, thereby
addressing pressing social and housing challenges.
Overall, this study sheds light on the persistent performance quality issues in
the construction industry, particularly within the low-cost housing subsector. By
identifying the dominant patent defects and their root causes, this research contributes
to the ongoing efforts to address the challenges associated with quality in construction
projects.
Minimizing Patent Defects in Low-Cost Housing 301

5 Conclusion

This study investigated strategies utilized to utilize patent defects in low-cost housing
projects. The results revealed that the following defects in low-cost housing in their
order of importance: cracks, leaks, plumbing issues, structural instability, skewed
windows, walls doors, uneven floors, paint, chips on plaster, electrical issues, and
leaking roof. These issues were dominant in most low-cost housing projects. In order
to utilize these defects, the results showed strategies that are utilized namely: (1) the
use of quality materials, (2) training and supervision of construction workers to main-
tain workmanship and improve the standard, (3) engaging experienced professionals
with relevant experience in housing, (4) proper planning and realistic budgeting.
This study has the following weakness. Since it is the first attempt to develop the
online proctoring software acceptance model, other factors might be added to the
model to cater to the unexplained variance of 25%. Second, this study was carried
out at a rural university, the online proctoring software acceptance model has to be
applied to other universities including urban universities. This study focused on the
acceptance of online proctoring software for assessment, future studies need to focus
on the continuous use of online proctoring software for assessment.
In conclusion, minimizing patent defects in low-cost housing requires a concerted
effort from all stakeholders involved in the construction and maintenance processes.
Implementing quality standards, training skilled labor, using high-quality mate-
rials, proper waterproofing, and drainage, along with early detection and prompt
remediation, are essential steps toward improving the overall quality of low-cost
housing projects. By adopting these recommendations, housing initiatives can
provide safe, healthy, and sustainable living environments for vulnerable populations
while reducing the occurrence of patent defects.

6 Ethics Statement

Not applicable.
Funding This research received no specific financial support from any funding agency.

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Impacts of Artificial Lighting
on Human Behaviour In-Office
Buildings—A Systematic Literature
Review

Mohamed Salaheldin Amin Mohamed and Eziaku Onyeizu Rasheed

1 Introduction

In developed countries, most individuals allocate approximately 90% of their daily

routines to indoor activities [3]. The workplace environment is a fundamental part of
human life, as it occupies roughly a third of our lifetimes [13]. Therefore, workers
who spend extended hours in offices with insufficient lighting may experience nega-
tive impacts on their well-being and productivity, such as eye fatigue, pain around
the eyes, dizziness, drowsiness, and overall discomfort [22]. The examination of
the artificial lighting implications on employee productivity holds significance as it
facilitates organizations in comprehending the manners by which lighting conditions
can exert influence upon the performance and general well-being of their workforce.
Empirical research has evidenced that appropriate indoor lighting conditions play
a pivotal role in enabling employees to sustain levels of productivity and comfort
needed within their designated office premises [5]. The potential cost impact of
lighting conditions on office workers’ productivity per unit area within an office
building is estimated to vary between $0.57 and $3.30 per square foot, with a
possible annual financial implication ranging from $220 million to $1.3 billion [7].
Factors such as maintained Illuminance values, colour temperature, glare, and colour
rendering can have an impact on the productivity and well-being of office workers.
Research has shown that the mental workload of subjects is affected by a maintained
illuminance value and correlated colour temperature (CCT) [2]. Glare factors, such
as contrast and luminance, can also influence physiological and ocular responses and
performance measures like visual and reading [6]. Additionally, the colour rendering
index (CRI) and correlated colour temperature (CCT) of lighting can indeed affect
user acceptance in-office settings. Research suggests that LEDs with lower CRI

M. S. A. Mohamed (B) · E. O. Rasheed

Massey University, Auckland, New Zealand
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 305
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_21
306 M. S. A. Mohamed and E. O. Rasheed

values at warm colour temperatures are rated as more acceptable [15]. Therefore,
it is significant to consider these factors when designing office lighting environ-
ments to optimize productivity and well-being. However, these studies have signifi-
cantly examined the impact of maintained illuminance values, and colour temperature
(CCT) on human behaviour, but few reviews have been included on lighting glare
and Colour Rendering Index.
This systematic literature review aims to examine the effects of artificial lighting
on office workers and provide a comprehensive overview of the existing research,
including all factors. The review will first examine the different types of artificial
lighting and their effects on human behaviour, followed by an exploration of how
lighting can impact various aspects of workplace behaviour, such as productivity,
mood, and health.

2 Method

The search for relevant studies in this review followed the guidelines set forth by
the Preferred Reporting Items for Systematic Reviews and Meta-Analyses Statement
(PRISMA), as outlined by Moher et al. [16]. To accomplish this, sixteen studies were
selected from peer-reviewed sources and journal articles, with a specific focus on
their method of measuring the impacts of artificial lighting on human behaviour in
the workplace.

2.1 Criteria of Inclusion

The systematic search was focused on recent articles published in English (from
January 2018 to April 2023) within the Scopus databases, aiming to explore the
effects of lighting on human behaviour. By limiting the search to this timeframe,
the study aimed to capture the latest insights and advancements in the field. This
approach ensured that the research incorporated the most current understanding of
lighting’s impact on aspects such as performance, well-being, and mental health
in-office and workplace settings. The search keywords were included: [“artificial
light*” OR light* AND “human behav*” OR perform* OR well-being OR “mental
health” OR cognit* AND office* OR workplace* OR orgni?ation].

2.2 Criteria of Exclusion

The exclusion criteria for study selection encompass several dimensions. Studies
conducted in non-administrative office settings such as mining offices, healthcare
Impacts of Artificial Lighting … 307

offices or factories are excluded. Only empirical studies are considered, while theo-
retical, technological, and non-empirical papers are excluded. Clarity in methods
and measures is essential, with studies lacking transparent data collection or analysis
processes being excluded. Dependent variables should directly measure physical,
psychological, or social well-being, excluding those centered-on job satisfaction or
motivation. Independent variables related to artificial lighting are included, excluding
those unrelated to artificial lighting, such as natural light.

2.3 Selection of Studies

The screening and review of studies were conducted in a three-stage process (Fig. 1).
Initially, studies were examined based on their titles to eliminate irrelevant papers.
In the second stage, abstracts were carefully evaluated to identify both relevant and
non-relevant papers. All identified studies were organized using a citation manager,
Zotero, and duplicate records were removed. During this stage, references that clearly
did not meet the inclusion criteria were excluded. In the third and final stage, the
full-text articles that remained underwent further assessment. Finally, following this
rigorous selection process, 16 papers were included.

2.4 Data Extraction and Data Analysis

A standardized template (Table 1) was developed and tested to extract informa-

tion from the papers, which consisted of four sections. The first section captured
the author(s)/Year details, followed by the study’s objectives in the second section.
The third section encompassed the methodology employed, while the fourth section
provided a summary of the findings. The analysis process aligned with two research
questions and comprised two stages. Initially, content analysis was employed to
gather information on different types of artificial lighting, their effects on human
behaviour, and the impact of lighting on various aspects of workplace behaviour.
Subsequently, the paper’s findings regarding the relationship between artificial
lighting and aspects of human behaviour in the workplace (such as productivity,
mood, and overall well-being) were summarized on a feature-wise and individual
paper basis. Based on this analysis, conclusions were drawn regarding the focus on
measuring the impacts of artificial lighting on human behaviour in the workplace.
308 M. S. A. Mohamed and E. O. Rasheed

Identification of studies via databases

Records removed before

screening:
Identification

Records identified from Duplicate records removed

Scopus (n =3273 ) (n = 10)
Records marked as ineligible by
automation tools
(n =1 )

Records excluded based on

Records screened Title/Abstract
(n =3262 ) (n =3178 )
Screening

Reports excluded after Full-Text

Reports assessed for eligibility Screening
(n = 84) (n = 68)
Included

Studies included in the literature review

(n = 16)

Fig. 1 The PRISMA diagram for the selection process of included studies

3 Results

Based on the initial phase of the literature search, a total of 3262 studies were iden-
tified. Following a rigorous evaluation based on the predefined selection criteria,
84 full-text articles were retrieved and scrutinized. Among them, sixteen studies
emerged as meeting the predetermined inclusion criteria and the studies’ character-
istics are shown in Table 1. The table offers a comprehensive overview of different
studies focused on the impact of lighting on human well-being and performance.
Each study approaches the subject from a unique perspective, examining various
objectives related to lighting and employing distinct methodologies. The findings
from these studies collectively emphasize the vital role of lighting in influencing the
physical, psychological, and social aspects of individuals. They highlight the posi-
tive effects of sufficient and high-quality lighting on mood, well-being, productivity,
and cognitive function. Conversely, studies also reveal the negative consequences
of inadequate or poor lighting, such as discomfort, reduced work efficiency, and
health-related issues. By consolidating and comparing the key insights from these
Impacts of Artificial Lighting … 309

Table 1 Comparative analysis of lighting effects on human well-being and performance from
different studies
No. Author(s)/ Study’s objectives Methodology Major findings related
year related to lighting to lighting
1 Peeters et al. Investigate effects of Two field studies More electric light had
[18] more intense light on conducted in spring and negative effects on
alertness, mood, winter and daytime sleepiness and vitality.
sleep, and light exposure to more intense More electric light was
appraisals in light for 4 h a day for experienced as less
operational work one workweek pleasant
environments.
Examine how these
effects translate to
experiences in-office
settings
2 Cupkova Develop an Involves training a Adjusting RGB LED
et al. [4] intelligent lighting neural network for strip colour based on
system that can emotion detection using the emotional state of
detect human the FER2013 dataset and individuals can
emotions and adjust implementing an positively impact their
the lighting automated lighting mental well-being and
accordingly to control system that can productivity in the
improve mental adjust the lighting colour workplace
based on the emotional
result
3 Benedetti Investigate impact of Visual Analogue Scale Optimal dynamic
et al. [3] dynamic lighting (VAS) for subjective lighting control
control on visual alertness ratings and improves subjective
comfort, alertness, High Dynamic Range alertness and glare
and cognitive (HDR) vision sensors for indexes compared to
performance. monitoring lighting conventional lighting
Compare optimized parameters control
dynamic lighting
control to
conventional lighting
control
4 Deng et al. Predict and track the A real-time monitoring This framework can
[5] real-time states of framework, to evaluate determine optimal
each individual and indoor experiences by lighting levels that
assist with integrating various enhance occupants’
decision-making for interconnected systems work engagement,
indoor environment such as recognition, providing
control in smart prediction, visualization, recommendations for
buildings, which feedback, and control appropriate indoor
includes lighting levels
recommendations
regarding the
lighting levels of the
rooms
(continued)
310 M. S. A. Mohamed and E. O. Rasheed

Table 1 (continued)
No. Author(s)/ Study’s objectives Methodology Major findings related
year related to lighting to lighting
5 Králiková Examine the Statistical methods used Use of more efficient
et al. [13] dependence between to examine the LED luminaries in the
lighting conditions dependence between workplace can improve
and health problems characteristics and lighting conditions and
and evaluate lighting health problems and potentially have
conditions in the lighting design software positive effects on
workshop using used to evaluate lighting employee health and
software conditions well-being
6 Katabaro and Analyse the effects Questionnaire was The majority of the
Yan [10] of lighting quality on administered to occupants were
the working respondents to establish dissatisfied with the
efficiency of workers their rate of satisfaction, lighting quality in their
in Tanzania feelings about the working environment,
lighting environment, the and some respondents
existence of both visual reported that it
and non-visual problems significantly affected
in their workplace, and their work efficiency
how these factors and well-being
influenced their health
and working efficiency
7 Kazemi et al. Compare the effects A repeated-measures LED and fluorescent
[11] of different lighting experimental design, and with cool colour
sources (LED, A laboratory-controlled temperature were more
compact fluorescent, experiment was Beneficial for alertness
fluorescent with conducted on 20 level and performance
warm and cool postgraduate students and LED was the most
colour temperature) who participated in a preferred and most
on performance, series of tests under four comfortable lighting
alertness, visual different light sources condition
comfort level, and
preferences
8 Kim et al. Determine the Extensive datasets Improved lighting
[12] risk-based energy available from the case environment, including
savings potential of study building with sufficient light levels,
an interactive statistical methods to has positively affected
lighting system inform generalizable occupants’ perception
while evaluating economic decisions and of fatigue levels,
programmatic using occupant feedback efficiency, and
success through the about their perceptions productivity at work
measurement of concerning particular
occupants’ psychosocial variables
psychosocial for triangulation
variables
(continued)
Impacts of Artificial Lighting … 311

Table 1 (continued)
No. Author(s)/ Study’s objectives Methodology Major findings related
year related to lighting to lighting
9 Lee anf Yoon Investigate Colour Fidelity Index and the Colour Rendering
[15] Rendering Index Gamut Index as Index (CRI)
(CRI) complementary metrics recommendations for
recommendations for to evaluate perceived LED lighting in spaces
LED lighting and colour quality, in needing better colour
determine the effect addition to the CIE Ra rendition
of CRI on colour and questionnaire
rendition
10 Hamedani Examine Correlation analysis and Physiological and
et al. [6] physiological, multiple regression ocular measures like
ocular, and analysis Pupil Diameter,
performance Pupillary Unrest Index,
responses under Blink Rate, Blink
different lighting Amplitude, Eye
conditions and Fixation Rate, and Eye
determine Convergence can serve
relationships as indicators of visual
between glare factors discomfort, with PUI
and physiological, and BA linked to
ocular, and relative glare factors
performance and FR- and
measures PD-associated with
absolute glare factors
11 Lee and Kim Investigate the effect Repeated measures Both illuminance and
[14] of illuminance and analysis of variance correlated colour
correlated colour (ANOVA) was used to temperature were found
temperature of LED analyse the effect of to be significant
lighting on working illuminance and variables affecting
memory and propose correlated colour working memory, and
an optimal lighting temperature on working the condition of bright
environment for memory, and post hoc light (1000 lx) and
real-life applications analysis was performed 5,000 K correlated
using the least significant colour temperature
difference (LSD) method showed the best
performance in working
memory
12 Jarboe et al. Investigate the Photometric simulations LED lighting provides
[9] effectiveness of model in open-office effective circadian
light-emitting diode area stimulus in-office
lighting and provide spaces
circadian stimulus
in-office spaces
while minimizing
energy use
(continued)
312 M. S. A. Mohamed and E. O. Rasheed

Table 1 (continued)
No. Author(s)/ Study’s objectives Methodology Major findings related
year related to lighting to lighting
13 Papatsimpa Understand how Mathematical model of Higher daytime
et al. [17] lighting the human circadian illuminance narrows
environments affect pacemaker to understand and advances the
the distribution of How light in the built distribution of
chronotypes in the environment changes the chronotype,
population and to chronotype distribution counteracting the
use This in the population Delaying effects of
understanding to evening light exposure
design guidelines for on circadian phase and
workplace lighting sleep, and is associated
that support human with better physical and
performance, health, mental health,
and well-being improved academic
performance, and
enhanced mood
14 Aries et al. Assess effects of Dual-experimental Dynamic light patterns
[1] dynamic light methodology to can improve human
patterns on investigate the effects of well-being and
well-being and a dynamic lighting performance
performance and pattern on human
evaluate the impact well-being and
of dynamic performance in both
white-light simulated and
LED-systems on operational office
office environments environments
15 Sun et al. [20] Investigate the effect Experiment conducted in High illuminance,
of lighting a laboratory located in uniform illuminance,
environment on the Architecture and high/medium CCT
work performance Department Building at improve perception,
and determine the Shanghai Jiao Tong learning, memory
optimal combination University in China, function, and tear film
of lighting factors where the lighting, quality, while low
for improving thermal, visual, and illuminance,
productivity in acoustic environment non-uniform
commercial offices could be controlled illuminance, and
independently moderate CCT are
suitable for thinking
and executive
performance
(continued)
Impacts of Artificial Lighting … 313

Table 1 (continued)
No. Author(s)/ Study’s objectives Methodology Major findings related
year related to lighting to lighting
16 Zhang et al. Better understand Utilized a four-month Dynamic lighting
[23] the impact of experiment with fifteen during the daytime can
dynamic lighting on participants working improve alertness and
office occupants’ in-office modules to mood, potentially
health, well-being, investigate the reducing feelings of
and experience non-visual impacts of sleepiness, while at
dynamic lighting using nighttime, it can lead to
both objective measures a decrease in perceived
and subjective surveys sleep quality and sleep
time

diverse studies, the table provides valuable and comprehensive information on the
relationship between lighting and human experiences across different contexts.

3.1 Different Types of Artificial Lighting and Their Effects

on Workers at the Workplace

The systematic literature review primarily investigates the effects of two major
lighting types, fluorescent and LED, on workers in workplace settings. The tran-
sition from fluorescent to LED lighting is examined for its advantages, including
energy efficiency and enhanced well-being [8, 21]. Fluorescent lighting and LED
lighting have been extensively studied in terms of their effects on workers in the
workplace and their effect on human health and work performance [10]. The emer-
gence of LED lighting has revolutionized lighting technology, offering enhanced
energy efficiency, colour control, and longevity in-office environments [19]. LED
lighting technology can save up to 50% in costs with a return on investment of
6 months [8]. The distinct characteristics of these lighting types lay the foundation
for a comprehensive understanding of their effects on human behaviour.
The impact of artificial lighting types on human behaviour encompasses a wide
array of physiological and psychological dimensions [4, 11, 13]. Circadian rhythms,
the internal biological clocks governing sleep–wake cycles, are profoundly influ-
enced by the spectral composition of artificial lighting [9, 10]. Melatonin regula-
tion, crucial for healthy sleep patterns, is intricately tied to lighting characteristics,
impacting sleep quality and overall well-being [10, 23]. The effects extend to mood
and emotional responses, as different lighting types can evoke varying emotional
states, from relaxation to alertness [18]. The quality of sleep is also intricately linked
to lighting, as improper lighting conditions can disrupt sleep patterns and lead to
sleep disturbances [11]. Furthermore, cognitive performance and concentration are
heavily influenced by lighting types, with appropriate illumination enhancing focus
and productivity [3, 18]. Conversely, inadequate lighting can lead to eye strain and
314 M. S. A. Mohamed and E. O. Rasheed

visual discomfort, hampering task engagement [12, 13]. The perception of time and
space is yet another facet influenced by lighting, as lighting characteristics can alter
the perception of spatial dimensions and the passage of time. A comparative analysis
of artificial lighting types reveals nuanced considerations that extend beyond their
immediate effects on human behaviour. The use of LED task lighting in personal
workspaces has been shown to positively impact employee comfort and perception of
job content, while also potentially contributing to energy and cost savings [12]. Corre-
lated colour temperature (CCT), a measure of warmth or coolness in lighting, holds
psychological implications, with cooler lighting promoting alertness and warmer
lighting evoking relaxation [11]. The spectral composition of lighting, particularly
its blue light content, influences melatonin suppression and circadian rhythm disrup-
tion [9, 23]. User preferences and individual differences also guide lighting choices,
as individual comfort and needs vary widely. This multifaceted comparative analysis
underscores the necessity of informed lighting design that considers the interplay
between lighting types, human behaviour, and holistic well-being [13, 20].
Incorporating insights from studies such as Peeters et al. [18], Cupkova et al.
[4], and Benedetti et al. [3], the effects of different artificial lighting types on human
behaviour emerge as a complex interplay between physiological responses, emotional
states, and cognitive engagement. As research delves deeper into the intricate mech-
anisms through which lighting influences behaviour, it becomes evident that lighting
design transcends mere illumination, it is a strategic endeavor that shapes human
experience and well-being. The findings from research conducted by Katabaro and
Yan [10] provide a window into the tangible impacts of lighting quality on working
efficiency. Dissatisfaction with the lighting environment was reported by a majority
of respondents in their study, revealing a direct link between the quality of lighting
and overall work efficiency. This aligns with the broader understanding that inade-
quate lighting can contribute to discomfort, visual strain, and subsequently dimin-
ished productivity. Similarly, the investigation by Kazemi et al. [11] on the effects
of different lighting sources elucidates the interrelation between lighting, alertness,
and performance. The preference for LED lighting with cooler colour temperatures
highlights the potential for lighting to enhance alertness levels and ultimately impact
cognitive performance.
Katabaro and Yan [10] provide a window into the tangible impacts of lighting
quality on working efficiency. Dissatisfaction with the lighting environment was
reported by a majority of respondents in their study, revealing a direct link between
the quality of lighting and overall work efficiency. This aligns with the broader
understanding that inadequate lighting can contribute to discomfort, visual strain,
and subsequently diminished productivity. Similarly, the investigation by Kazemi
et al. [11] on the effects of different lighting sources elucidates the interrelation
between lighting, alertness, and performance. The preference for LED lighting with
cooler colour temperatures highlights the potential for lighting to enhance alertness
levels and ultimately impact cognitive performance. Moreover, the study by Lee and
Kim [14] provides empirical evidence of the effects of illuminance and correlated
colour temperature on working memory. This investigation elucidates how lighting
Impacts of Artificial Lighting … 315

conditions, particularly brightness and colour temperature, can directly impact cogni-
tive functioning, shedding light on the complex neural mechanisms that link lighting
and cognitive performance. The research conducted by Aries et al. [1] concerning
dynamic light patterns offers a glimpse into the future of lighting design for well-
being and performance. Their focus on the effects of dynamic lighting patterns on
human well-being aligns with the emerging trend of responsive and adaptable lighting
environments. This notion is reinforced by Zhang et al. [23], who investigate dynamic
lighting’s non-visual impacts on health and experience. The findings of these studies
suggest that dynamic lighting, capable of mimicking natural light patterns, holds the
potential to positively influence alertness, mood, and overall experience, both during
the daytime and nighttime.
Additionally, the impact of lighting on chronotypes and the distribution of human
biological rhythms, as explored by Papatsimpa et al. [17], underscores the profound
physiological interactions between lighting and human behaviour. The intricate math-
ematical model developed to understand the intricate interplay between lighting
and circadian rhythms highlights the potential for lighting design to significantly
impact human health, performance, and mood. Furthermore, the energy-efficient
attributes of LED lighting, highlighted by Jarboe et al. [9], provide an important
consideration in the context of sustainable workplace design. The effectiveness of
LED lighting in providing effective circadian stimulus while minimizing energy
consumption supports the integration of sustainable lighting solutions in modern
workplaces. While the study by Lee and Yoon [15] delves into the significance of
Colour Rendering Index (CRI) recommendations for LED lighting. By evaluating
the impact of CRI on colour rendition using metrics such as the Fidelity Index and
the Gamut Index, alongside the CIE Ra and questionnaires, this study addresses the
crucial aspect of perceived colour quality. With a focus on spaces requiring enhanced
colour rendition, the research provides valuable insights into the intricate relationship
between lighting and visual perception.
Moreover, Hamedani et al. [6] provide an in-depth exploration of physiological,
ocular, and performance responses under different lighting conditions, specifically
examining the relationships between glare factors and various measures. Through
correlation analysis and multiple regression analysis, they uncover physiological and
ocular indicators, including Pupil Diameter, Pupillary Unrest Index, Blink Rate, Blink
Amplitude, Eye Fixation Rate, and Eye Convergence, that serve as valuable markers
of visual discomfort. Moreover, their findings illuminate the interplay between these
indicators and relative and absolute glare factors, offering valuable insights into
the intricate mechanisms through which lighting can impact visual comfort and
performance.
316 M. S. A. Mohamed and E. O. Rasheed

3.2 Impact of Lighting on Workplace Behaviour

Lighting conditions in the workplace can influence workplace behaviour, including

actions, interactions, and attitudes displayed by individuals within a professional
setting [11, 12, 20].

3.2.1 Productivity and Lighting

The impact of lighting on workplace behaviour is particularly pronounced in rela-

tion to productivity. Research such as that of Peeters et al. [18] demonstrates that
maintained illuminance can affect alertness, mood, sleep, and overall perception
of light. The study examines two lighting scenarios within the office, utilizing 31
LED luminaires, which involve low illuminance: dim light (10–100 lx), and high
illuminance: bright light (≥ 1000 lx), as typically investigated in controlled labo-
ratory environments. The study found that increasing maintained illuminance did
not lead to positive results and resulted in negative effects on sleepiness, vitality,
and mood. Cupkova et al. [4] further contribute by introducing intelligent lighting
systems that adapt to human emotions, showcasing how lighting can play a role in
mental well-being and productivity. The study highlights the potential benefits of
autonomous intelligent lighting systems, including the elimination of distractions
caused by manual configuration and the positive impact on productivity, health, and
well-being.
Additionally, Benedetti et al. [3] explore the optimization of dynamic lighting
control, revealing its positive influence on alertness and cognitive performance.
The study suggests that higher illuminance levels and higher CCT may contribute
to increased alertness and positive affect in-office users. However, the study does
not provide specific lux values for the lighting conditions tested. Deng et al. [5]
extend this by proposing real-time monitoring frameworks for indoor environments,
suggesting that lighting levels can be adjusted to enhance occupants’ work engage-
ment. The study analysed the impact of various maintained illuminance values (i.e.
200 lx, 500 lx, and 1000 lx) on work engagement among office workers. The study
revealed that both higher (1000 lx) and lower (200 lx) illuminance values have a
detrimental effect on work engagement when compared to the 500-lx level. These
studies underline lighting’s contribution to enhancing task performance, reducing
errors, and influencing cognitive workloads, thereby shaping workplace behaviour.

3.2.2 Mood and Emotional Well-Being

Lighting’s impact on mood regulation is a vital component of workplace behaviour.

Dynamic lighting, as explored by Benedetti et al. [3] evaluated the impact of dynamic
lighting control on office users’ visual comfort, alertness, and cognitive performance.
The study found that study showed that exposure to optimized dynamic lighting
Impacts of Artificial Lighting … 317

control over several days was superior in terms of subjective alertness and glare
indexes compared to conventional lighting control. However, Aries et al. [1], exam-
ined the effects of dynamic lighting patterns on human well-being and performance
in both laboratory and field settings. The study found in the field study, suggested
higher satisfaction with constant light levels compared to dynamic light patterns.
Lee and Kim [14] investigated the effects of illuminance levels and correlated colour
temperatures on working memory. They used an automatic LED lighting device with
six different lighting conditions, including two illuminance conditions (400 lx and
1000 lx) and three correlated colour temperature conditions (3000 K, 5000 K, and
7000 K). The study showed that both illuminance and correlated colour tempera-
ture significantly affected working memory. The performance of working memory
was found to be better in the bright light condition (1000 lx) compared to the rela-
tively dim condition (400 lx). Kazemi et al. [11] found that LED lighting with cooler
colour temperatures was preferred by participants, suggesting its potential to posi-
tively influence emotional responses and overall well-being. Additionally, the study
observed a significant increase in subjective and objective alertness levels under LED
lighting with cooler colour temperatures compared to fluorescent lighting sources.

3.2.3 Health and Wellness

Lighting’s role in supporting circadian rhythms, preventing health issues, and

reducing fatigue is a critical aspect of workplace behaviour. Papatsimpa et al. [17]
emphasize lighting’s impact on chronotypes, showcasing how it can influence human
health, performance, and mood. The study shows that individuals exposed to light
during late evenings and nights, with the usual indoor evening lighting of 35 lx, over
20% of people could develop a preference for staying up later, potentially leading
to more sleep-related issues due to differences in sleep schedules. Hamedani et al
[6] delve into physiological responses under various lighting conditions, indicating
the potential for lighting to impact employee well-being and comfort levels. The
study found that glare factors, both absolute (luminance and illuminance values)
and relative (contrast), can predict physiological and ocular responses, such as Pupil
Diameter (PD), Pupillary Unrest Index (PUI), Blink Rate (BR), and Blink Amplitude
(BA). Kim et al. [12] connect improved lighting environments to reduced fatigue
levels, affirming lighting’s contribution to employee health and productivity. The
study examined a single floor equipped with the same number of dimmable ceiling-
mounted LED lighting fixtures (1839 lm/fixture) and desk lamps, each with less
luminous flux compared to the existing fluorescent ceiling fixtures (2800 lm/fixture).
The study found that the new interactive LED lighting improved workers’ overall
productivity and efficiency and reduced fatigue.
318 M. S. A. Mohamed and E. O. Rasheed

4 Discussion

The studies cited in the previous sections provide valuable insights into the impact
of lighting on workplace behaviour. According to this systematic literature review
findings, this study emphasizes two crucial aspects: fluorescent and LED lighting, the
primary types of artificial lighting significantly influencing workers’ productivity due
to their common usage in-office buildings. Also, the study investigates the impact of
lighting on workplace behaviour, encompassing productivity, cognitive performance,
and well-being [11]. The analysis delves deeply into the realm of artificial lighting,
focussing on the transition from conventional fluorescent lighting to modern LED
lighting. Historically, fluorescent lighting dominated due to energy efficiency and
widespread use in offices. However, the emergence of LED lighting offers improved
energy efficiency, colour control, and durability, fostering cost-effective, visually
comfortable, and productive workspaces [1, 11]. Significantly, LED lighting’s ability
to mimic various lighting patterns, as demonstrated by studies such as Aries et al.
[1] and Zhang et al. [23], holds the potential to positively influence worker alert-
ness, mood, and overall well-being. The study by Kazemi et al. [11] accentuates
the significance of correlated colour temperature (CCT) and spectral composition,
underscoring LED lighting’s capacity to evoke diverse emotional states. Moreover,
individual preferences and comfort preferences, as illuminated by Kim et al. [12],
underline the pivotal role of informed lighting design in catering to individual needs.
Economically, the shift toward LED lighting not only promises cost savings due to
its prolonged lifespan but also aligns seamlessly with contemporary sustainability
objectives. The research conducted by Jarboe et al. [9] underscores LED lighting’s
potential to offer optimal circadian stimulus while minimizing energy consump-
tion, thereby bolstering the integration of energy-efficient lighting solutions within
contemporary workplaces.
The review meticulously explores the intricate relationship between lighting
conditions and workplace behaviour, encompassing physiological, emotional, and
cognitive aspects. Studies such as Peeters et al. [18] shed light on the pivotal role
of sustained illuminance in shaping alertness, mood, sleep quality, and overall light
perception. Nevertheless, the research also highlights the necessity for a balanced
approach, as excessively high or low illuminance levels can have detrimental effects,
a notion underscored by Deng et al. [5]. Emotional well-being constitutes another key
area profoundly impacted by lighting, with dynamic lighting patterns and correlated
colour temperature variations playing a pivotal role in evoking distinct emotional
responses. Benedetti et al. [3] and Aries et al. [1] emphasize lighting’s potential to
enhance alertness, cognitive performance, and mood regulation. Furthermore, the
implications of lighting on health and overall well-being emerge as a crucial dimen-
sion. The review underscores lighting’s intricate interplay with circadian rhythms,
sleep patterns, and chronotypes, a facet aptly demonstrated by Papatsimpa et al.
[17]. The complex interrelation between glare factors and physiological responses,
as illuminated by Hamedani et al. [6], unveils insights into the nuanced mechanisms
through which lighting can significantly influence visual comfort.
Impacts of Artificial Lighting … 319

The review underscores the influence of fluorescent and LED lighting on worker
productivity and behaviour. LED lighting’s adaptability and mimicry of different
patterns positively affect well-being and mood. Synthesizing the research find-
ings underscores the critical need for strategic lighting design that accounts for
the intricate interplay between lighting types and their consequential impact on
human behaviour, thereby fostering work environments characterized by heightened
productivity, satisfaction, and overall well-being.
However, there are still research gaps that need to be addressed. Below are research
gaps and critical analyses that could be explored in the context of the studies cited.
Cupkova et al. [4], Kim et al. [12], Kazemi et al. [11], and Sun et al. [20], have
used questionnaires to study the effects of lighting on participants. However, their
sample sizes were small and often limited to a single group. For instance, Kazemi
et al. [11] found it challenging to generalize their results beyond the postgraduate
students they surveyed. Similarly, Kim et al. [12] and Sun et al. [20] studied only
10 occupants and young college students, respectively, making it difficult to apply
their findings to general office workers. To improve the validity of such studies, it is
suggested that future research should include larger and more diverse groups of at
least 30 participants from various ages, genders, and occupations. Several research
papers, such as those conducted by Zhang et al. [23], Kazemi et al. [11], and Deng
et al. [5], have noted issues with the evaluation methods and data analysis used to
study the impact of lighting on office workers. For instance, Deng et al. [5] used
Digital ID (DID) to assess indoor comfort, but this raised privacy concerns due to
the private information contained in the DID database.
Besides, Lee and Kim [14], and Katabaro and Yan [10], have examined the effects
of lighting on office workers’ visual comfort, productivity, and well-being. However,
these studies faced limitations in their experimental techniques, model approaches,
and conditions. For instance, Lee and Kim [14] did not account for temporal vari-
ables such as morning and afternoon that could affect working memory. Katabaro
and Yan [10] did not clearly distinguish between sunlight and artificial light during
illuminance measurements. To address these issues, it is recommended that future
research consider the possibility that task performance in the morning and afternoon
affects working memory. Studying performance with multi-factorial designs in a
human-centered optimized manner can lead to a deeper understanding of lighting
effects on task performance and improved lighting design and operation in buildings
overall.
Finally, further research is required on the impact of lighting glare and colour
rendering on human behaviour which has not been studied deeply in the most of
research, affecting visual performance and comfort. Briefly, several studies have
examined the impact of lighting on office workers, but there are still limitations and
gaps in the research that need to be addressed. Future research should include larger
and more diverse groups, utilize a range of sources, isolate the effects of individual
design parameters, and consider temporal variables. Additionally, further research is
needed on the impact of lighting glare and the Colour Rendering Index (CRI) which
is the most utilized and globally recognized measure for evaluating colour quality on
320 M. S. A. Mohamed and E. O. Rasheed

human behaviour. By addressing these issues, we can gain a deeper understanding

of lighting effects and improve lighting design and operation in buildings overall.

5 Conclusion

The body of research examining the influence of different artificial lighting types
on workplace behaviour yields a multifaceted understanding. Fluorescent and LED
lighting have received considerable attention, with fluorescent lighting’s energy
efficiency contrasting LED lighting’s innovative features. LED lighting demon-
strates superiority over fluorescent lighting in enhancing worker performance and
productivity due to its innovative features and potential benefits on circadian rhythm
regulation, emotional responses, cognitive performance, and visual comfort. This
exploration has unveiled a range of effects on human behaviour, encompassing circa-
dian rhythm regulation, emotional responses, cognitive performance, and visual
comfort. Optimizing correlated colour temperature (CCT) to align with cooler
colours, reducing glare through proper lighting design, and ensuring high colour
rendering index (CRI) values can collectively enhance worker productivity and well-
being in the workplace. Furthermore, maintaining illuminance levels at an appropriate
balance, considering both the intensity and quality of light, contributes to creating an
environment that fosters optimal performance and positive employee experiences.
The reviewed studies emphasize the complex interplay between lighting condi-
tions and human responses in professional settings. Productivity studies highlight the
nuanced effects of illuminance on alertness, mood, and sleep, while dynamic lighting
control demonstrates the potential for cognitive performance enhancement. Mood
and emotional well-being analyses underline the importance of user preferences
in dynamic lighting’s impact. Health-wise, lighting’s role in circadian rhythms and
preventing health issues emerges as vital. While research strides have illuminated the
intricate connection between lighting and workplace behaviour, gaps in sample sizes,
participant diversity, evaluation methods, and data analysis persist. Ethical consider-
ations and experimental design issues also need addressing. Additionally, unexplored
factors like lighting glare and the Colour Rendering Index present avenues for further
investigation. As such, a full approach to future research is crucial for comprehen-
sively understanding and controlling the potential of artificial lighting’s impact on
the workplace environment.
As this review presents a systematic analysis of empirical studies conducted in the
past five years on the effects of artificial lighting on employee productivity, cognitive
performance, and well-being, its strength lies in its methodical approach to gathering
and scrutinizing recent research, focussing specifically on peer-reviewed articles
from a single database. However, future research could benefit from broadening the
scope to include other types of academic work, such as doctoral dissertations and
research reports. Furthermore, the use of more specialized databases like the Web
of Science Core Collection, PsycINFO, and PubMed could yield more extensive
results.
Impacts of Artificial Lighting … 321

Acknowledgements The valuable assistance of the Massey University, Auckland Campus Library
staff is gratefully appreciated.

Author Contributions Mohamed Salaheldin Amin Mohamed contributes to conceptualization,

methodology, validation, analysis, investigation, data collection, and draft preparation. Eziaku
Onyeizu Rasheed contributes to manuscript editing, critical review, and supervision. All authors
have read and agreed with the manuscript before its submission and publication.
Funding This research received no specific financial support from any funding agency.

Ethics Statement Not applicable.

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Suitability of FIDIC Contracts
for Post-disaster Reconstruction
of Infrastructure Projects

Ayush Puri, Naseem Ameer Ali, and Mohamed Elkharboutly

1 Introduction

SFCCs are widely used in the construction industry, including post-disaster recon-
struction projects. These contracts are readily available “off-the-shelf” and are
produced and sold by industry bodies recognised by government and construction
stakeholders [27].
The popularity of these contracts is understandable, given that creating a contract
from scratch for each project can be daunting and costly [16, 36, 47, 50]. Moreover,
it is widely accepted that standard contracts offer a fair and equitable distribution
of risks among the parties involved, thus ensuring a level playing field [16, 36, 47].
Additionally, with all the resources and training materials available from industry
experts, they are assumed to be well-understood by industry stakeholders [36].
While there are benefits to using SFCCs, using them as a universal solution for
all kinds of projects, including post-disaster reconstruction projects, is impractical
and has been criticised for its inadequacy. Ali and Wilkinson [3] and Rameezdeen
and Rodrigo [47] criticised SFCCs for their complexity of language, readability, and
need for excessive modifications. Additionally, the use of routine legislation, poli-
cies, and processes was highlighted as a drawback by various post-disaster recon-
struction stakeholders [31, 49]. Li [33] also criticised the use of inadequately modi-
fied SFCCs in post-disaster reconstruction. Such usage introduces ambiguities and
inconsistencies, ultimately increasing the likelihood of disputes and other contractual
issues.
Using the FIDIC SFCC, a widely used standard form in regular construction and
reconstruction, this study aims to demonstrate the challenges associated with using

A. Puri (B) · N. A. Ali · M. Elkharboutly

School of Built Environment, Massey University, Auckland, New Zealand
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 323
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_22
324 A. Puri et al.

SFCCs from routine construction to post-disaster reconstruction through content

analysis.

2 Research Methods

The literature for this study was collected from academic databases, books, and
governmental and non-governmental reports, with a focus on publications in the
English language. Given the interdisciplinary nature of the study, which encom-
passes disaster and post-disaster reconstruction, SFCCs including FIDIC, and plain
language drafting, literature from these fields was identified using specific keywords
such as standard forms, construction contracts, plain language, reconstruction, and
post-disasters. Subsequently, papers unrelated to construction were excluded from
the study to ensure relevance. Additionally, a snowball approach was also employed,
exploring citations within the relevant papers to identify additional relevant literature
for the study.

2.1 Content Analysis

After identifying the relevant literature for the study, they were examined thor-
oughly to address the research question regarding the impact of construction contracts
from routine construction on post-disaster reconstruction performance. This process
involved several additional steps including the following:
• Differentiating between standard construction and reconstruction,
• Evaluating the strengths and weaknesses of available SFCCs like FIDIC,
• Identifying reported challenges in utilising SFCCs, and
• Understanding the reasons behind the limited applicability of existing SFCCs
from routine construction in post-disaster infrastructure reconstruction scenarios.

3 Literature Review

After discussing the SFCCs, this section highlights the significant differences
reported in the literature between standard construction and post-disaster reconstruc-
tion. These differences are highlighted to demonstrate the inherent inapplicability of
SFCCs for routine projects in the context of post-disaster reconstruction.
Suitability of FIDIC Contracts for Post-disaster Reconstruction … 325

3.1 Standard Forms of Construction Contracts (SFCCs)

The origin of SFCCs can be traced back to nineteenth and twentieth century Australia
and the United Kingdom [5, 7]. After that, the standard forms have evolved to suit
the modern needs of project management and to strengthen contracts further with
the ubiquitous aim of protecting the parties’ rights [29].
Nowadays, the SFCCs are considered as a means to standardise contractual provi-
sions in the industry [50]. Their widespread use is because of the belief that they
are generally understood by the users, thereby minimising disputes from misinter-
pretation [27, 36]. A contract balancing the risks between parties is fundamental
in construction as it directly influences their performances [32]. Furthermore, stan-
dard forms are popular because the industry believes standard forms allocate risks
between parties fairly [16].
Some popular forms currently used in the industry are the FIDIC suites of
contracts, the New Engineering Contract (NEC) series of contracts, and the Joint
Contracts Tribunal (JCT) contract families. Due to the availability of multiple stan-
dard forms, it is difficult for parties to select the most appropriate contract for their
project. In the construction industry, the choice of a contract is not only deter-
mined by factors such as the project’s size, nature, and complexity but also based on
parties’ familiarity, preferences and inclination towards specific SFCCs [16, 20]. As
a result, certain SFCCs have gained tremendous popularity and widespread adoption
than others. Especially the widespread preference for FIDIC forms in international
projects can be attributed to its foundation in the common law system, as highlighted
by Purba and Prastowo [46] and Heaphy [24].

3.2 Challenges and Limitations of Current SFCCs

SFCCs offer significant advantages in the construction industry, as they eliminate

the necessity of engaging a lawyer to create a contract from scratch for each project.
Nonetheless, despite continuous improvement efforts, these standard forms still fail
in one crucial aspect: ensuring clear and easily understandable contracts for all
stakeholders involved.
Specific challenges relating to current SFCCs are discussed in the sections.

3.2.1 Readability

The readability challenge in SFCCs stems from using complex legal language,
commonly known as “legalese”, in the contracts. According to Ali and Wilkinson [3],
including legal jargon, lengthy and puzzling sentences, and multiple cross-references
in SFCCs pose significant challenges for parties involved as they struggle to compre-
hend the precise terms and conditions to which they are legally obligated to adhere.
326 A. Puri et al.

The challenge is further exacerbated in large projects, where extensive contract modi-
fications across multiple negotiations further impede comprehension. These nego-
tiations also involve changes to numerous documents spanning hundreds of pages,
which lead to conflicts and inconsistencies between documents. Bell [7] further
reinforces this notion by highlighting that in most modified contracts, parties often
have insufficient time to thoroughly review and understand the heavily modified
terms, leading to inconsistencies between their expectations and the actual content
of the contract. These issues can lead to significant disputes during project execution.
However, since the construction industry operates on a “relational basis”, there is a
prevalent tendency for parties to prioritise trust over considering the potential legal
consequences [35].

3.2.2 Misinterpretations

Understanding contracts can be incredibly daunting, as any misinterpretations

leading to non-compliance with contractual obligations could have severe legal
consequences. The “duty-to-read” legal doctrine binds parties to the terms they
agreed to during the contract signing. Signing a contract without a thorough under-
standing of its terms does not absolve the parties from their obligations, as a lack of
comprehension at the time of signing does not release them from the responsibilities
outlined in the contract [6, 44, 47]. This subject has led to assertions that SFCCs are
one of the leading causes of contractual disputes [8].
The complex nature of the construction industry exposes it to the risk of disputes,
and misunderstanding the contract itself is the root of some disputes [41]. Mohamed
et al. [39] add that disputes are an eventuality in construction projects, and the best
means to avoid disputes is to prevent issues from turning into a dispute. Furthermore,
in the study by Mohamed et al. [39], construction claims were stated as the primary
source of dispute in construction, and poorly drafted contracts were identified as one
of the eight most important factors leading to claims and possible disputes.

3.2.3 Complexity and Adversarial Relationships

From a different perspective, parties well-versed in intricate contractual language

have long been exploiting complex legal terminology and imposing demanding
contract clauses for the past two centuries, placing the other party at a disadvantage
due to their limited legal knowledge [13]. This problem has fostered adversarial rela-
tionships in construction, which is not healthy for the industry. Construction involves
numerous stakeholders who may come from legal and non-legal backgrounds. More-
over, owners, engineers, contractors, contract administrators, etc., who primarily
use these contracts, are from non-legal backgrounds [3]. These users often criticise
SFCCs for being too complex for a layperson [47].
Suitability of FIDIC Contracts for Post-disaster Reconstruction … 327

3.2.4 Other Limitations of SFCCs

Other limitations of SFCCs can be summarised as follows:

• They have become overly complicated and often fail to reflect the parties’ true
intentions [35].
• They lack clearly defined design objectives and disregard risk allocation principles
[37].
• They are susceptible to impairment when modified extensively to accommodate
project-specific requirements, thereby altering the intended interactions between
various clauses [36].
• They are challenging for someone not regularly exposed to their use [36].
• Revisions do not happen often, and much-need changes take a long time to come
into effect [36].
Despite the limitations discussed above, it is important to acknowledge several
proven advantages of current SFCCs. These contracts have also undergone periodic
revisions making them more refined over time. Since 1957, FIDIC Red Book has
undergone five revisions (now six), with each newer version clearer than the prede-
cessor [47]. Other contracts like NEC have also dropped the use of “shall”—a word
with at least 10 different meanings [11]—which many users loathed for creating
ambiguity. The section below discusses some of the advantages of the SFCCs as
discussed in the relevant literature.

3.2.5 Advantages of SFCCs

The advantages of SFCCs can be summarised as follows:

• They standardise contractual provisions [36, 50].
• They are developed by industrial bodies and are standardised and modified when
needed [36].
• They prevent drafting mistakes [38].
• Possible risks, responsibilities and consequences of breach are generally covered
in advance [5, 20].
• Users of contracts are more familiar with SFCCs as they are generally accompa-
nied by user guides that help in contract administration [38].
• SFCCs help compare tenders, as each party is assumed to understand the risk
allocation offered by the contract [36].
• They may also come as contract suites, ensuring consistency between the main
contract and subcontract [28]. The availability of contract suites makes standard
forms more appealing to the stakeholders.
• Some SFCCs are industry negotiated and thus can help courts interpret ambiguities
fairly to all parties [28].
328 A. Puri et al.

3.3 Uniqueness of Post-disaster Reconstruction

Emergencies that arise in the aftermath of a disaster possess distinct characteris-

tics, and the reconstruction process itself is inherently challenging. Furthermore, the
extent of damage caused by each disaster is different, making post-disaster situations
unique from one disaster to another [53]. Hence, attempting to draw comparisons
between things so far apart as standard construction and post-disaster reconstruction
is trivial.
What differentiates post-disaster reconstruction from standard construction is the
undertaking of projects in exceptionally demanding environments under numerous
constraints [2]. Some constraints that differentiate post-disaster reconstruction from
routine construction are briefly discussed.

3.3.1 Long Relief Period

Following a disaster, the initial response from government and aid agencies is to
implement temporary relief measures for affected communities promptly. However,
Brandon [10] and Ophiyandri et al. [42] highlight that a long gap between the relief
period and subsequent reconstruction phase leads to delays, resulting in unutilised
funds remaining idle in the bank. For instance, the situation in Sri Lanka following
the 2004 tsunami is an example, where even after two years after the disaster, only
one-third of the available funds were used [10].

3.3.2 Funding Challenges and Corruption

Funding constraints pose a significant challenge in reconstruction [21]. Due to insuf-

ficient funding and housing assistance to owners in Nepal, many poor households
were forced to construct much smaller houses that did not fit their needs, or they
resorted to acquiring loans from informal sources at exploitative interest rates [48].
In addition to working with budgetary challenges, post-disaster reconstruction is
further hindered by corruption. Safapour et al. [52] emphasise that reconstruction
projects face additional losses and cost overruns resulting from corrupt practices and
fraudulent activities. A notable example is post-tsunami Sri Lanka, where the absence
of stringent rules and regulations led to corruption and fraud. It was discovered that
political ties and influence led to the displacement of those truly in need, with funding
allocated for the refurbishment of unaffected houses.

3.3.3 Resource Shortages and Supply Chain Disruption

The pressure to complete projects within a short period of time during reconstruction
lead to resource shortages and competition for available resources [14, 26, 62].
Suitability of FIDIC Contracts for Post-disaster Reconstruction … 329

Uddin et al. [58] found that many unskilled resources lacking construction expe-
rience were hired in Nepal after 2015 earthquake due to scarcity of skilled resources
and need for rapid reconstruction. Furthermore, resource challenge is exacerbated by
supply chain disruption which causes logistical delay in supply of critical resources
[21].

3.3.4 Coordination and Collaboration Challenges

Despite having similar objectives, reconstruction efforts are often hindered by lack
of collaboration among various stakeholders. Xu et al. [65] attributes this harmon-
isation challenge to difference in organisational structure between organisations,
which impede effective coordination resulting in inefficiencies. Additionally, the
lack of collaboration and coordination among stakeholders also leads to duplication
of efforts, as exemplified by the reconstruction efforts following 2004 Aceh Tsunami
in Indonesia, where more than 100 organisations participated in reconstruction but
lacked coordination [52].

3.3.5 Lack of or Poor Policies

Reconstruction policy is vital in early and efficient implementation of reconstruction

projects. In absence of reconstruction policies, policies for routine construction are
implemented, which are unable to cater the need of large-scale reconstruction. For
example, using normal building and resource consent procedure following 2004
Manawatu flood and 2005 Matata Debris Flow led to substantial backlog for consents
in New Zealand [31].

3.3.6 Contractual and Procurement Challenges

Construction contracts and procurement method employed in procuring contractor

services also play a key role in reconstruction. Reconstruction efforts in Iraq were
significantly affected by lowest price bid award procurement mechanism. This
approach often resulted in contractors opting for cheap materials and resources,
with intention of seeking additional money through change orders during implemen-
tation [61]. Additionally, due to the large scale of post-disaster reconstruction and the
urgency to complete projects under tight timelines, complex administrative proce-
dures demanded by donors often burden the implementers and further complicate
the implementation process [18].
330 A. Puri et al.

3.3.7 Community Engagement and Cultural Challenges

The community is a key stakeholder in reconstruction and plays a pivotal role in its
success. When community needs are not sufficiently integrated into reconstruction, it
results in stakeholder dissatisfaction [64]. Following the Chilean earthquake of 2010
and the 2008 Sichuan earthquake, failure to address the requirement of minority
groups led to community discontent [17].
Furthermore, using modern materials in the name of progress during reconstruc-
tion has destroyed many areas rich in cultural heritages [23, 48]. Lin and Lin [34]
confirmed the importance of considering local culture in their study. Through inter-
views with the communities, they discovered that the urban housing model used
after the Morakot Typhoon in Taiwan was ill-suited to meet the needs of indigenous
communities and subsequently led to dissatisfaction.

3.3.8 Health and Safety Challenges

The significance of health and safety in the construction industry extends beyond
worker well-being—it also influences their motivation, productivity, and the overall
quality of reconstruction efforts [58]. Post-disaster situations involve handling and
working around debris which may be hazardous or contagious, thus posing additional
health and safety issues. It is worth noting that adopting an owner-driven housing
approach in Nepal resulted in owners pressuring workers to work long hours and
under unsafe working conditions. This issue led to some workers denying risky jobs,
while others continued to work due to the absence of alternatives [58].

3.3.9 Challenging Topography and Poor Weather

Reconstruction efforts become challenging when areas are inaccessible due to topog-
raphy and poor weather. Acharya et al. [1] highlight that reconstruction was chal-
lenging in Nepal due to the rugged terrain. Some areas were inaccessible after the
earthquake, and poor weather caused further delays.
Geographical factors can also give rise to substantial land ownership issues and
pose significant challenges in terms of relocation. For example, after Typhoon
Morakot in Taiwan, the government declared 160 localities unsafe and thus had
a considerable task to relocate 6316 households comprising more than 19,000
individuals [34].
Suitability of FIDIC Contracts for Post-disaster Reconstruction … 331

3.3.10 Other Challenges

In the aftermath of disasters, the affected population is impacted psychologically,

leading to low morale and workers’ lack of productivity [56, 58, 59]. Moreover,
different environmental, health, and safety concerns could lead to the suspension of
work, causing additional delays and cost overruns [51].
In addition to these challenges, it is crucial to acknowledge the impact of disas-
ters on nations that lack the financial means to support themselves during and after
disasters. Disaster statistics reveal a significant trend that while developing coun-
tries report lesser economic losses than developed countries during disasters, most
disaster-related fatalities have tragically occurred in underprivileged countries [60].
Kenny [30] and Anbarci et al. [4] further confirm the notion of an inverse corre-
lation between earthquake-related fatalities and per capita income, providing addi-
tional supporting evidence for this relationship. Therefore, reconstruction projects, by
principle, are expected to be executed expeditiously to restore these underprivileged
nations and their vulnerable, traumatised populations to a liveable state.
However, most reconstruction works in a developed or a developing country are
ad hoc without proper strategic frameworks by modifying normal processes from
standard construction [26]. Consequently, there are significant inefficiencies, addi-
tional costs, and delays, as legislation for conventional construction is not tailored to
address the unique challenges posed by disasters. Le Masurier et al. [31] support this
notion by noting that reconstruction projects are bound to be onerous and stricken
by inefficiency if handled using legislation and regulation for standard construction.
Therefore, the post-disaster scenario demands specific legislation, policies, rules, and
regulations, including guidance for procurement and contracting to ensure success.
While studies like Le Masurier et al. [31], Rotimi and Wilkinson [49], and
Wilkinson et al. [63] have looked into legislation for disasters, the literature is silent
on how construction contracts developed for routine construction can impact post-
disaster performance. Looking into reconstruction contracts is especially important
as several studies like Sospeter et al. [54], Bilau et al. [9], Li [33], and Hidayat and
Egbu [26] in post-disaster have cited poorly drafted contracts as a chronic challenge
for reconstruction and well-drafted contracts as a success factor.

3.4 Limited Studies on Contracts for Disasters

SFCCs and bespoke construction contracts are mainly used in reconstruction of

infrastructure projects as they are usually large in scale, involve numerous stake-
holders, and require significant funding. However, when it comes to residential
constructions, it is homeowners who take the initiative to rebuild their houses with
limited aid funds. Therefore, the scale of the project is often small, and homeowners
may lack the necessary knowledge to engage contractors through formal contrac-
tual arrangements. Since most of post-disaster reconstruction literature focuses on
332 A. Puri et al.

housing reconstruction, the attention to infrastructure reconstruction and use of

SFCCs in such context tend to lose focus.
Hidayat and Egbu [26] found that infrastructure reconstruction receives less atten-
tion in the literature while housing reconstruction is at the central focus in disaster
related studies. In addition, studies by Daly and Brassard [18] and Tafti and Tomlinson
[55] have also highlighted that a significant portion of reconstruction funding is allo-
cated towards housing. While restoring the homes and livelihoods of affected commu-
nities is essential, infrastructure reconstruction is equally critical, as it serves a larger
population at once. Restoring public facilities such as schools, healthcare facilities,
roads, and railways is essential to ensure that a country is truly back to normal.
Therefore, there is a pressing need for further research in the area of infrastructure
reconstruction.
Furthermore, influential agencies like the World Bank and the UN Habitat advo-
cate an owner-driven approach to housing reconstruction for being cost-effective,
sustainable, and empowering the local population [55]. This approach was also
used in reconstruction following Gujarat Earthquake in India in 2001 [45, 55], Bam
Earthquake in Iran in 2003 [55], and Gorkha Earthquake in Nepal in 2015 [1]. The
reconstruction in Gujarat is also hailed as one of the most successful reconstruction
projects in history [45]. However, as discussed earlier, in residential construction, the
homeowners themselves undertake the initiative to rebuild their houses with limited
aid funds. As a result, these projects often are small, and homeowners and local
contractors may have limited knowledge to make formal contractual arrangements.
Conversely, SFCCs like FIDIC are commonly utilised for large-scale infrastruc-
ture reconstruction projects. However, the challenges faced in implementing these
contracts often go unreported due to the prevailing lack of emphasis on infrastructure
reconstruction in the existing literature.
Therefore, this study highlights the current limitations and challenges of using
standard forms developed for routine construction for post-disaster reconstruction
using FIDIC as an example.

3.5 Applicability of Available Standard Forms in Disasters

As discussed above, SFCCs for routine construction are not drafted with disaster
situations in mind; therefore, they are unsuitable for disaster situations. The post-
disaster situation is more complex and evolving, demanding a quicker decision-
making system than everyday scenarios. Hence, the reconstruction contracts must
also meet these demands of the post-disaster situation. However, due to limited
studies, like standard legislation, SFCCs developed for standard construction are
also used after disasters in infrastructure reconstruction leading to inefficiencies.
The limitations of SFCCs in infrastructure reconstruction are briefly discussed in
the following sections, drawing correlations with the identified challenges outlined
in Sect. 3.2.
Suitability of FIDIC Contracts for Post-disaster Reconstruction … 333

3.5.1 Readability and Misinterpretation

Developing nations are the ones who suffer from significant annual destruction from
disasters, and reconstruction in these nations is predominantly funded by the inter-
national donor community [25, 43]. As a result, SFCCs preferred by the donors are
used widely in post-disaster reconstruction. However, these contracts often prove
unsuitable for the primary users in these countries. They are not user-friendly, partic-
ularly for individuals without legal qualifications, and the issue is further exacer-
bated when English is not their first language leading to readability challenges and
misinterpretations.
According to the United Nations Office for Disaster Risk Reduction [60], Asia
has been the most severely affected continent by disasters over the past two decades,
consistently facing high risks due to its massive size and diverse geography. The
disaster-prone areas in Asia also have a dense population, and disturbingly, within
the last two decades, seven Asian countries have secured spots in the top 10 list of
countries with the highest death tolls from disasters. Considering that English is not
the primary language in these Asian countries, it raises a valid concern regarding the
suitability of contracts used by donors for the primary users in these nations.
The users of contracts, who are often not legally trained, require contracts that are
accessible and comprehensible, mainly when English is not their native language.
Even in a developed country such as the United States, Drolet et al. [19] highlight
the recognition of Spanish migrant workers in the Volusia County as limited English
proficiency groups and socially vulnerable communities by the Federal Emergency
Management due to their struggles with good English language proficiency. There-
fore, it is crucial to acknowledge that the current SFCCs favoured by donors may
not effectively serve the needs of contract users from the affected countries in a
post-disaster context.

3.5.2 Complexity and Adversarial Relationships

SFCCs for routine construction are often modified to suit post-disaster needs, but
modifications lead to further problems in readability and contractual risk balance,
leading to further complexity. Confusion in responsibility also leads to problems with
accountability for mistakes, one of the most frequent issues in reconstruction in devel-
oping countries [18]. These issues can foster adversarial relationships and disputes.
Therefore, the importance of a contract tailored for post-disaster reconstruction
cannot be emphasised enough.
334 A. Puri et al.

3.5.3 Other Challenges

Given the lack of familiarity of the local people and their lack of exposure to regular
use of these contracts, finding resources to do contract administration becomes
challenging.
Taking FIDIC as an example, this paper will further provide specific details of
how SFCCs from standard construction are not suitable for reconstruction.

3.6 Applicability of FIDIC Forms in Reconstruction Projects

FIDIC is the preferred contract in disaster projects by development banks and agen-
cies that fund different disaster projects [8, 28]. FIDIC currently has eight stan-
dard forms in its suite, but two popular contracts in infrastructure reconstruction
after disasters are the FIDIC Red Book and the FIDIC Orange Book. There is one
another contract form called the FIDIC Green Book, but it is recommended for use
in small projects, and the new 2017 version has similar procedure for claims and
administration as the Red Book.
The FIDIC Multilateral Development Bank (MDB) Harmonised Construction
Contract, commonly called as “Pink Book”, is a SFCC that is licenced for implemen-
tation in projects by eight development banks and numerous bilateral aid and devel-
opment agencies [8]. Initially released in 2005 for MDB use, this contract was derived
from the FIDIC Red Book. The primary objective behind introducing a separate stan-
dard form for MDB projects was to minimise the modifications required by MDBs.
As a result, although this contract is employed in post-disaster scenarios funded by
MDBs, it was not originally designed to be user-friendly in disaster contexts.
The original Red Book continues to be used for reconstruction by organisations
such as the United Nations and Japan International Cooperation Agency (JICA). This
particular contract is intended for projects procured through the traditional procure-
ment method, where the employer takes ownership of most of the design process.
These projects would also include post-disaster projects designed by employers or
funders. However, similar to the MDB version, the original intent of the Red Book
does not explicitly focus on its application in post-disaster situations.
Although 60 years of testing and refinement have gone into FIDIC to bring it to its
current form, there are still limitations to using it in a developing context, that too, in
disaster situations. The following sections briefly discuss the use of FIDIC contracts
in post-disaster reconstruction, drawing correlations with the identified challenges
outlined in Sect. 3.2.
Suitability of FIDIC Contracts for Post-disaster Reconstruction … 335

3.6.1 Readability and Misinterpretation

Tuffaha [57] identified several challenges when implementing FIDIC contracts in

Palestine. These challenges included administrative weakness, contractors’ limited
legal expertise, difficulty in comprehension of English, and superfluous modifica-
tion of general terms of contracts by donors and NGOs leading to misinterpretations.
These challenges would be particularly concerning when looking back at the Aceh
reconstruction experience in Indonesia following the 2004 tsunami. According to
Daly and Brassard [18], when contractual requirements and intricate administra-
tive procedures demanded by donors are overwhelmingly beyond the implementer’s
capabilities, there will be challenges in implementation, as exemplified during the
Aceh reconstruction.
Besaiso et al. [8] also affirmed the challenges due to the misinterpretation of
sophisticated English used in FIDIC and highlighted discomfort caused by lengthy
sentences and numerous cross-references within the contract. Furthermore, the
authors acknowledged that newer versions of FIDIC are notably shorter and signif-
icantly improved from the previous generations. However, they believe it can still
be improved and recommended further research to enhance the clarity, conciseness,
and overall structure of FIDIC.

3.6.2 Complexity and Adversarial Relationships

Heaphy [24] highlights that the scattered cross-referencing within FIDIC demands
a detective-like effort to navigate its highly legalistic format.
Additionally, a survey conducted in 2013 provides a direct indication of the appli-
cability of FIDIC in disaster scenarios. Castro [12] conducted a survey during the
JICA grant program in Manila in 2009, involving 1000 participants. The survey find-
ings reported the following challenges observed in the implementation of FIDIC in
Southeast Asia, an area prone to frequent disasters:
• FIDIC is viewed as a contract that promotes adversarial relationships due to its
extensive notice requirements and inclusion of time-barred clauses.
• Dispute adjudication boards (DABs), which can be expensive, are not commonly
available in Southeast Asia, resulting in the omission of this clause in contracts.
• There is a lack of familiarity with the proper usage of FIDIC among individuals
involved in its implementation.
• Using FIDIC contracts in Southeast Asia encounters language-related challenges
because English is a second language primarily used for business purposes. This
poses difficulties for some Southeast Asian countries that are still in the process of
learning English, including understanding the language used in FIDIC contracts.
• Conflicts may arise between FIDIC and local laws in the countries where it is
employed.
• Cultural sensitivity concerns Southeast Asian countries, where even valid claims
are often treated as disputes.
336 A. Puri et al.

All the challenges mentioned above hold relevance in the context of post-disaster
reconstruction scenarios. Ndekugri et al. [40] have also confirmed that the cost of
DABs deters their wider adoption. They note that owners are reluctant to allocate
additional funds for expensive dispute resolution procedures when they face budget
constraints. This situation is particularly relevant in post-disaster reconstruction
projects in developing countries.
In addition, some other studies highlight the impact of massive modifications on
comprehension and intended interaction between clauses. Maritz and Putlitz [36]
argue that SFCCs can become flawed when contract terms are extensively modified,
as these modifications alter the intended interaction between clauses. Rameezdeen
and Rodrigo [47] conducted a study in Sri Lanka that supported this theory, demon-
strating that modifications made to FIDIC 1987 and 1999 clauses increased the diffi-
culty of comprehending the contract. Furthermore, the authors noted that previous
studies have primarily focussed on the legal and technical consequences of modifica-
tions to standard forms, however, there has been limited research on the readability
aspect.
A contract or clause that is challenging to read and comprehend could also be
a focal point for a dispute. Fawzy and El-adaway [22] emphasise that the negative
impacts of claims and disputes are particularly significant in international projects
involving numerous multinational and multicultural stakeholders. This also applies
to post-disaster scenarios, which often involve stakeholders from different nations
and cultures. Disputes in post-disaster situations should be avoided, as they can
impede the reconstruction process and hinder prompt recovery. Moreover, as previ-
ously mentioned, the dispute resolution mechanisms recommended by FIDIC can
be costly. Therefore, it is not practical to pursue disputes through dispute boards in
other countries during a post-disaster situation that is already strained financially and
facing significant time constraints.

3.6.3 Other Challenges

Another potential obstacle in using FIDIC in reconstruction arises from its nature
as a re-measurement contract, assuming that scopes and designs are fully covered
and essentially perfect before the project [8, 28]. Re-measurement contracts involve
quantities that may not be exact during the tendering process and are subsequently re-
measured for payment [28]. However, in the real-world scenario, designs and scopes
are rarely fixed before the tendering process, especially during disasters. The evolving
nature of disaster situations means that scopes still need to be entirely determined,
allowing for considerable variation. Managing these variations becomes challenging
when lengthy procedures outlined in FIDIC need to be followed.
Hence, the existing forms of FIDIC (Red Book and Pink Book) are inadequate
for post-disaster reconstruction projects, highlighting the pressing requirement for
a dedicated contract that specifically addresses the unique needs of post-disaster
reconstruction.
Suitability of FIDIC Contracts for Post-disaster Reconstruction … 337

4 Discussion

Contracts for post-disaster reconstruction projects often necessitate rapid develop-

ment and flexibility to accommodate various factors. These projects involve multiple
sources of funding, stakeholders from different legal jurisdictions, and ever-changing
physical conditions, all of which require highly flexible contract terms. It is crucial to
avoid introducing further layers of complexity that would complicate the situation.
As Hughes et al. [28] noted, the more complex something is, the more specialised
expertise is required to manage it. Consequently, if the contract requires specialists
for administration who are unavailable in a developing country, valuable aid funds
are spent on expatriate professionals rather than the project itself.
It is vital for all stakeholders engaged in post-disaster reconstruction to acknowl-
edge that the challenges related to procurement go beyond the mere selection of a
contract. While there are various contracts to choose from, it is essential to consider
whether they have been specifically designed to address performance in disaster
situations. While contracts like the FIDIC Red Book and FIDIC MDB are reputable
and widely used contracts globally, it must be noted that they were not originally
intended for use in disaster scenarios. As a result, they may not be well-suited for
such circumstances.
Unfortunately, all reconstruction projects use these SFCCs. These contracts
require complex contract administration that is often beyond the capabilities of
primary users in developing countries and fails to meet the specific requirements of
post-disaster scenarios. As a result, project progress is hindered. The legal drafting,
structure, and format of these contracts and the handling of variations, time exten-
sions, and dispute resolution are not well-suited for disasters. Instead, they place an
excessive burden on the project team, impeding the primary objective of expediting
reconstruction, restoring the affected population to their pre-disaster state, or even
improving their condition.
When developing a new contract or adapting an existing one to accommodate
post-disaster needs, it is crucial to consider the varying likelihood, severity, and
magnitude of contractual issues such as delays, insolvency risks, and contractual
exits, particularly in the context of reconstruction projects [28]. Allocating risks
appropriately and giving careful attention to these factors becomes imperative to
ensure an effective contract that addresses the unique challenges of post-disaster
scenarios.
The contract designed for post-disaster reconstruction should prioritise clarity
and comprehension, especially for individuals whose first language is not English.
Considering such projects’ financial constraints and time sensitivity, it should
enable efficient handling of change orders and extensions. Streamlining adminis-
trative processes becomes crucial to ensure that valuable resources are directed
towards actual implementation rather than excessive administration. Additionally,
the contract should incorporate practical and effective methods for dispute resolution
tailored to the unique circumstances of post-disaster scenarios.
338 A. Puri et al.

Additionally, there is also a pressing need for extensive research on infrastruc-

ture reconstruction following major disasters to identify strategies for expediting
the reconstruction process. The restoration of infrastructure holds immense signifi-
cance as it serves a massive population at once and is essential for the functioning
of critical facilities such as schools, healthcare centres, transportation networks,
and more. Restoring these public infrastructures is a prerequisite for returning to a
sense of normalcy in affected regions. Hence, infrastructure reconstruction should
receive equal attention and research focus as housing reconstruction, forming a
comprehensive knowledge base for post-disaster infrastructure reconstruction.
Examining past reconstruction projects like Aceh highlights the undeniable impact
of poor infrastructure on the overall efficiency of reconstruction endeavours. The
inadequacy of pre-existing infrastructure systems exacerbated challenges, mainly
through transportation bottlenecks that impeded progress [15]. It is worth noting that
only USAID was involved in infrastructure reconstruction after the tsunami, specifi-
cally the Banda Aceh to Meulaboh road, while other aid agencies solely concentrated
on housing reconstruction. Consequently, the delayed restoration of infrastructure
posed additional obstacles, hampering the overall reconstruction process. There-
fore, both aid agencies and governments must prioritise the development of public
infrastructure in developing countries to prepare them for upcoming disasters and to
mitigate resource bottlenecks during reconstruction. By doing so, the risks of disrup-
tions caused by substandard infrastructure can be mitigated, leading to more efficient
and effective reconstruction processes.

5 Conclusion

The existing SFCCs, including FIDIC, are ill-suited for post-disaster reconstruction
projects due to their lack of alignment with the unique demands of such scenarios.
However, the current body of knowledge lacks comprehensive studies on infrastruc-
ture reconstruction using these contracts, resulting in a limited understanding of the
inefficiencies they create. Despite the critical importance of infrastructure restora-
tion for a nation’s functioning, most reconstruction funding and stakeholder focus
is directed towards housing reconstruction. As a result, there is a pressing need to
shift attention towards studying the challenges and issues related to infrastructure
reconstruction, particularly from procurement and contractual perspectives.
The current SFCCs, including FIDIC, exhibit several drawbacks that hinder their
effectiveness in post-disaster contexts. They heavily use legal jargon and complex
cross-referencing, and their overall document structure and organisation are not
user-friendly for individuals in developing countries, where English may not be the
primary language. Implementing parties lacking the administrative skills to handle
such contracts face increased burdens, leading to project inefficiencies. The complex
processes for managing variations and time extensions under these contracts further
strain already limited resources in time-sensitive and financially constrained projects.
Suitability of FIDIC Contracts for Post-disaster Reconstruction … 339

Moreover, the project teams often disregard the existing dispute resolution methods
for being inadequate and impractical.
Therefore, rather than attempting to modify existing contracts to fit post-disaster
requirements, there is an urgent need to develop a tailored contract designed explic-
itly for post-disaster scenarios. This contract should be user-friendly, particularly
for developing countries, and provide more efficient mechanisms for managing
project-related issues, considering the unique challenges of post-disaster situations.
With such a contract, scarce manpower and financial resources can be directed
towards actual on-ground work rather than being consumed by navigating complex
contractual clauses for administrative purposes.

6 Limitations and Future Research

This study primarily focuses on identifying the shortcomings of existing standard

forms of contracts, highlighting their inapplicability in post-disaster reconstruction
efforts, with FIDIC serving as an illustrative example. This study also provides future
research direction for developing construction contracts tailored for post-disaster
infrastructure reconstruction.

Acknowledgements I thank Massey University School of Built Environment for the financial
support to carry out this study through Internal SBE Tuition and Non-Tuition Fees scholarship.

Author Contributions Ayush Puri contributes to conceptualisation, methodology, draft prepara-

tion, and manuscript editing. Dr. Naseem Ameer Ali and Dr. Mohamed Elkharboutly contribute to
conceptualization, methodology, and manuscript editing. All authors have read and agreed with the
manuscript before its submission and publication.

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Managing BIM Implementation
in the AEC Sector: Identifying Key
Aspects and Developing a Framework

B. K. C. Perera, H. S. Jayasena, K. G. A. S. Waidyasekara, M. Siriwardena,

and K. A. R. V. D. Kahandawa

1 Introduction

In the current context, Building Information Modeling (BIM) implementation has

gained a significant attraction around the world. Since the mechanisms in it in
designing, storing and sharing the project information by a project team, is supe-
rior to traditional methods of information generation, sharing and using, adopting
BIM has become a common interest. According to Latiffi et al. [2] and [47], BIM
was originated from a concept introduced by Eastman in 1970s as a response to
the limitations of 2D drawings in complex construction projects [20]. Wierzbicki
et al. [57] have recognized that BIM has been introduced in a combination of CAD
(computer-aid drawings), AEC (architectural, engineering, and construction) tech-
nologies and chosen information management systems. The evolution of present-day
BIM model has been influenced by the concept of the ‘object–oriented database’ and
has been utilized since early 1980s, following the previous adaptation of navigational
model and review model. Initially, the traditional software sets were supported by
non-associative, one-way translation on interoperable platforms such as SAT, STEP,
and IGES [57]. Additionally, 3D parametric modeling was primarily developed on
traditional CAD platforms such as Benetly and Nemetscheck, as well as new soft-
ware platforms like ArchiCAD and Revit. Even though various initiations are taken
place at different timescales, BIM has been properly used in construction projects
is only around in 2010 [31]. Likewise, BIM did not gain momentum in the AEC

B. K. C. Perera (B) · H. S. Jayasena · K. G. A. S. Waidyasekara

University of Moratuwa, Moratuwa, Sri Lanka
e-mail: [email protected]
M. Siriwardena
Liverpool John Moores University, Liverpool, UK
K. A. R. V. D. Kahandawa
Massey University, Palmerston North, New Zealand

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 345
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_23
346 B. K. C. Perera et al.

Fig. 1 Development of BIM definition (Source [31])

sector overnight but rather through continuous and progressive advancements. This
is further substantiated by Fig. 1, which illustrates the evolution of BIM definition
over the course of its adoption. It was observed that there is an ongoing debate on
whether to treat BIM as a management tool, a process, or a platform [48].
In the early stages of BIM development, its usage was initially limited to pre-
construction activities [57]. However, as the technology advanced, barriers were
overcome, allowing BIM to extend its reach to different construction project phases,
enabling information management throughout the project life cycle [48]. From
the recent practical implementation of BIM in construction projects, it is widely
acknowledged that BIM offers significant benefits for the project and its stakeholders.
According to the results of the study by Jin et al. [27], participants recorded the reduc-
tion of omissions, errors, and rework as the highest advantages from BIM adoptions
followed by improved project quality. Doumbouya et al. [17] have reviewed the
benefits of BIM adoption and identified that BIM brings improved design quality,
saved construction costs, better speed of work, ease of project management, short-
ened the construction duration, enhanced energy efficiency, and higher operational
efficiency in the building lifecycle. Many other scholars have presented similar find-
ings in the arena of benefits of BIM with respect to different contexts [5, 10, 12].
Most of these benefits are likely to be resulted due to the ability of realistic visu-
alization of the building, structured information management and integration of the
project teamwork enabled by BIM [17, 48]. Accordingly, there is a significant poten-
tial for improving the accuracy, efficiency, and the quality of the end product by
implementing BIM.
It is worth noting that the aforementioned benefits were acknowledged alongside
various barriers and challenges. Consequently, the commented benefits are contin-
gent upon factors such as level of senior management support, computer efficiency,
compatibility, and technical complexity in a given project context [17]. It is evident
that the implementation of BIM is not only accompanied by its benefits but also
Managing BIM Implementation in the AEC Sector: Identifying Key … 347

by its limitations that hinder and restrict the full realization of true value of BIM.
This has been acknowledged by Bouška [8], who further stated that BIM is not yet
prepared for its widespread implementation. On the other hand, there is a line of
knowledge that could be associated with the effective management of BIM imple-
mentation commencing from the early stages of projects to effectively address those
challenges [10, 56]. While trends in the development of necessary guidelines and
instruments could be observed in practice, there has been a lack of serious effort
in scientific studies thus far to address this. The proper need for such identification
has been established by Ma et al. [37], where they stated that the lack of systematic
BIM implementation is a source of challenges and barriers in practical projects. This
knowledge gap highlights the importance of establishing a comprehensive under-
standing of BIM implementation management in projects, encompassing all signif-
icant aspects of it that require managerial attention. The aim of this study is set as
to identify the existing BIM implementation management frameworks in construc-
tion projects with an emphasis on addressing the identified knowledge gap. This
paper presents a review of current knowledge addressing this aim and proposes a
research methodology to find the comprehensive list of significant aspects of BIM
implementation management which could be utilized in developing a framework for
future BIM implementations. The scope of the study is considered as project level
collaborative BIM implementation.
Upon reviewing the extant literature, it is observed that while scholars have
conducted research on enhancing implementation strategies, the underlying knowl-
edge of what is exactly needed to manage in order to implement BIM in projects is
not well-established. As a result of the rapid growth in the number of scholarly works
in normative upper layer of BIM implementation such as implementation barriers,
assessment and overcoming strategies, gaining the classical spotlight from the past to
present [15, 23, 37, 53], the underlying basic understanding on the body of knowledge
related to BIM implementation has become absent [59]. Reference material directly
addressing BIM implementation management could not be identified. Nevertheless,
many aspects related to BIM implementation management were found as ‘incidental
remarks’ within studies pertaining to BIM implementation and its related fields.
Consequently, attempts to conduct a systematic literature review with an identified
set of keywords proved unsuccessful, as these aspects were not clearly defined in the
sources, necessitating a process of manual identification. Relevant aspects were iden-
tified from various sources, including scientific papers, published standards, and the
authors’ prior knowledge. Subsequently, these aspects were explored in the current
literature to ascertain the state of understanding. The following section elaborates on
the findings from this process.
348 B. K. C. Perera et al.

2 BIM Implementation

With the diffusion of BIM adoption interest in construction projects, currently BIM
is being utilized in many parts of the world. Proper BIM implementation is essential
for achieving the true benefits of the process. However, even though it has been quite
a few periods of time since the initial implementation in construction industry, some
of the recent literature sets the evidence on hindering the BIM implementation in
projects [3, 25, 29]. It is addressable that, this has resulted mainly owing to the unequal
dispersion of the level of BIM knowledge brought by each different team member
while working collaboratively on a given specific project [40]. Meanwhile, in the
systematic findings of BIM adoption in construction projects, scholarly works have
been published in various yet focused arenas such as BIM implementation challenges,
barriers, impact, critical strategies, factors, benefits, and assessment. Among them, it
is found that only the BIM assessment research articles streamlines the determination
of the level of successful implementation at either a project or an organization level.
In fact, some research articles proposed strategies for overcoming the hindering
barriers, but those have failed to directly imply the reflection in adopting them in
each different project. BIM implementation assessment has been intrigued around
2016–2018 where most of the research articles were published from that period
onwards [1, 4].
Different scholars have tended to use various thematic breakdowns for BIM imple-
mentation factors for systematic implementation [37]. As stated by Eadie et al. [19],
it was identified that respondents were more focused on the quality of the output than
the process to be followed. Because of that, a project carries the potential in losing
feasibility and economic viability in long run. Hence, it is not only the end product’s
quality that matters but also the management of the process that follows to achieve it.
Maybe as a result of that, neither anyone has established the requirement, nor a frame-
work has developed to guide the BIM implementation management. However, few
public guidelines such as ISO19650, AIA G202-2013, and NBIMS-US have been
published to standardize the procurement of construction works via BIM. Therefore,
applicable knowledge on true BIM implementation management has been derived
from both scientific and non-scientific sources. It is acknowledged that the derived
knowledge of non-scientific works are to be confirmed in the study.

3 BIM Implementation Management Aspects

Since this study is aimed to identify the ways of BIM implementation management,
there is a need on understanding the aspects that need to be addressed when managing
BIM implementation. As mentioned before, none of the studies have been conducted
in addressing BIM implementation management in past works. Thus, it is unlike to
have a list of aspects that need to be considered from the existing knowledge. Unfor-
tunately, it has been further evident as the attempt made on finding them, was a
Managing BIM Implementation in the AEC Sector: Identifying Key … 349

failure. Hence, the aspects which need to address in the management of BIM imple-
mentation should be derived based on the underline principles of existing scientific
knowledge, industry-established guidelines, and professional practice experience.
With the available fragmented knowledge, this literature review was conducted
to identify every necessary aspect of concern in BIM implementation. Later, similar
contents were grouped together in terms of their logical cohesion and presented under
a main umbrella. Many interconnections and overlapping scenarios were discovered
and revealed it within the text.

3.1 BIM Implementation Strategy

Having a clear vision and a mission is ultimately important for any work item to
proceed. Similarly, upon an establishment of the need for BIM implementation in a
construction project has the ability to gain more insight into the final outcome and
thus be capable of achieving successful project completion. Ma et al. [37] have iden-
tified that even though having clearly established implementation objectives aligned
with the project goals are important, it has not been ranked as a significant factor
among Chinese construction industry professionals. It is found that, professionals
are reluctant to use BIM in projects, unless there are specifically asked to do so [52].
After all, clients have been identified as the prime driving force for BIM adoption in
construction projects [7]. Thus, with the establishment of the neediness on earning
benefits, clients could be more interested in using that. Likely, highlighting the busi-
ness point of view and optimizing the Return on Investment (ROI) plan is necessarily
important for a definite project gain [52]. The business aspect of BIM focuses on
the higher-order goals of a firm and the collective value of BIM in a business. Some
scholars have found that, an organizational level comprehensive strategic plan is
required at the project level for successful implementation [18]. On the other hand,
the business case definition sets the degree of information required in the project [28].
Thus that, the entire need on implementing BIM and how it is done, up to which level
are clearly visible for everyone in the project. When drafting BIM implementation
strategy following could be accommodated.
• Project implementation objectives
• Project implementation scope
• Alignment with the actual construction project.

3.2 Information Exchange Requirement

In a BIM project, the management of information is the significant highlight feature

when compared to traditional construction projects [21, 58]. Hence, having a clear
and well-established information exchange requirement is essential [26]. Having said
350 B. K. C. Perera et al.

that, the following were identified as most prominently appeared tools in literature
to scrutinize the information exchange requirement in BIM projects.

3.2.1 BIM Execution Plan

Reference [37] have found that the top-ranked strategy for systematic BIM imple-
mentation in Chinese construction projects is that clearly defined plan and objectives
for BIM implementation. According to Sidani et al. [51], a BIM Project Execution
Plan (PEP) has been utilized to lay down the BIM implementation for the entire
project lifecycle. The said BIM execution plan needs to include with BIM goals and
objectives, roles and responsibilities of different parties and appropriate standards
that’s going to follow for the project.

3.2.2 Establish the Information Exchange Standards and Agreements

The vendor-neutral formats are encouraged to adopt in BIM construction projects to

work collaboratively while still being in independent workstations [52]. It is found
that making the tasks standardized saves the project cost effectively as, it reduces
the complexity in handling multi-party mutual interdependency [53]. In fact that,
adhering to widely recognized data exchanging standards such as BuildingSMART
IFC, OpenGis GML, COBie is important in gaining the recognition and avoiding
potential loopholes in newly or custom drafted standards [26]. The Information
Delivery Manual from BuildingSMART has been the spotlight around the world
to communicate the data where those can be interpreted by software, itself [28].
Xu et al. [58] have established the information need and developed a framework to
manage information in BIM projects throughout its entire lifetime. However, all have
to be managed upon the establish degree of information required [28]. Therefore,
the availability of information is a prime consideration that should take up when
scrutinizing the information requirement.
Currently, in Europe using modern BIM standards in public procurement has
been compulsory which shall be in accordance with ISO 19650 [51]. According
to the ISO19650:1 the set information requirement are Organization information
requirements, Project information requirements, Asset information requirements and
exchange information requirements [14]. Apart from that, it is mentioned that some
studies have been already conducted in implementing BIM along with Augmented
Reality (AR) platforms to facilitate information within the project model, based on
actual construction site in terms of time and cost.
Managing BIM Implementation in the AEC Sector: Identifying Key … 351

3.2.3 Information Delivery Planning

It is known that different phases of the projects demand different BIM information
[58] Therefore, the specific information needed, type of information and the require-
ment should be planned ahead to avoid intermediate disruptions in delivering the
project.

3.3 Technology and Infrastructure

According to [37], having capabilities and skills in technology is recorded the top 3rd
critical success strategy for proper BIM implementation. Moreover, it is acknowl-
edged that technology is evolving at a higher speed. Therefore, having a stable phase
and cater the ongoing trend would not lose the commercial competition. Likely,
planning ahead for such situations won’t leave behind the new construction business
market [52]. In terms of the technology and infrastructure that need to be managed in
BIM implementation has broken into two branches namely, integrated BIM tools and
technologies and common data environment. Integrated BIM tools and technologies
were further divided into, BIM tools, BIM objects, BIM libraries, BIM software, and
hardware.

3.3.1 BIM Tools and Technologies

BIM Tools
BIM itself is a technology that can be utilized to improve the management of a
project easily while performing good communication and information sharing [39].
The interoperability among different BIM tools is a salient feature of BIM. With the
introduction of Open BIM concept, two different model developments from different
professional disciplines can be merged together and integrated well within one plat-
form [7]. That made a huge improvement in detecting clashes in various models that
developed separately. Therefore, it is important to predefine the compatible format
at the initial stage to merge the two models. Most of the projects which use BIM
software have been installed and run-on Windows platforms when compared to Mac
OS and Linux/Unix [8]. Moreover, most of the given AR interfaces have adopted
marker-less methods. Despite that, recent literature were more into the marker-based
application. Unfortunately, the lack of interoperability between BIM software and
AR systems was founded as a fact that impedes the utilization of BIM along with
AR [51]. Further, it has been already found that for matured BIM platforms, open-
ness, interoperability compatibility, simplicity, functionality, expandability, accurate
data representation, capability of advanced life cycle energy modeling, time manage-
ment and clash detection, cost estimation, facility management are indeed factors to
consider [8]. Recent literature have shown the most interest in the application of
352 B. K. C. Perera et al.

AR in BIM adoption and that has been commenced from 2018 [51]. However, as
discussed by Sidan et al. [51] implementation of new technologies requires a thorough
evaluation of the effectiveness of successful establishment for future adoptions.
BIM Objects
BIM objects have been integrated along with the BIM-based design process not
merely drawing but also assembling and adjusting several objects such as doors,
windows, walls, electrical etc. BIM objects have been identified in two different
disciplines. One is as in software objects and other one is object libraries [24].
Material libraries also have been in using for rendering purposes [30].
BIM Libraries
UK government has given universal access for National BIM library which would
cause considerable influence on the level of BIM adoption in a construction project
[52]. Hoeber and Alsem [26] have presented few types of libraries to maintain in a
project. Aside that they have recommended, to keep supertype libraries in national
and international scales and subtype libraries in narrow scales as in organizational
and project level.
BIM Software
Revit has been identified as the prominently used software followed by ArchiCAD
[51]. The given BIM software has not solely based on the type of BIM dimension,
but also based on the different information requirements and data needed in various
phases of the lifecycle of the project. Therefore, foreseen the total technology require-
ment at the very initial stages, would facilitate the smooth flow of project management
without reversing or going back of the expected plan. Below, Fig. 2 shows a list of
different software that are in use of the current industry at different BIM dimensions.
Hardware
Dowsett and Harty [18] mentioned that hardware and software have incurred a great
cost among all the expenditures in implementation of BIM. As a result of such,
professionals spend less in software upgrades, hardware maintenances and training
etc. [18].

3.4 Common Data Environment

Having a BIM-compatible, open product information platform can be utilized in

generating precise and fit-for-purpose BIM model. Through that, a variety of models
could be developed for each purpose while integrating all together. This is happening
because of people use different models for each particular discipline (Collusion
detection model in design stage and Asset information model for data and information
delivery) [37, 43, 45, 58].
Managing BIM Implementation in the AEC Sector: Identifying Key … 353

Fig. 2 Different software used in BIM (Source [51])

As a consequence of insufficient data to maintain, the common data environ-

ment has been a failure in some instances [45]. Hence, as discussed in subsection B,
preparing a comprehensive yet viable data requirement is a prerequisite to sustaining
the common data environment throughout the project. At the same time, the manage-
ment of data is another significant aspect to consider upon the commencement of
a project. The following critiques have been derived as the essentials that need to
anticipate when managing data in a common data environment [9, 42, 44, 45]. Apart
from the following critiques, facts relating to interoperability, open standards and
data integration also need to be configured in the practical application of common
data environment [18]. Before handling the common data environment selection of a
database, setup and configuration and permitted access control should be confirmed
at the beginning.
• Data security and intellectual property—data sensitivity
• Data classification and access control
• Data storage and transmission
• Data backup and disaster recovery
• Data retention and deletion
• Regular security audits and assessments
• Data usage rights
354 B. K. C. Perera et al.

– Non-disclosure agreements
– Intellectual property rights.
British Standards Institute has published a separate guidance (BS EN ISO19650:5)
to govern data security in UK building construction and civil engineering works. It
leads the pathway on paving an appropriate data security mindset along with moni-
toring and auditing compliances [9]. Moreover, the open BIM data standard namely
Construction Operations Building Information Exchange (COBie) has been popular
in handling the data in the operational phase of the project [50]. The importance
of maintaining a clear data monitoring has established by ref. [18]. Meanwhile,
[45] have presented a list of quality documentation to maintain for common data
environment entries and downloads. Issues and problems that may arise out of data
ownership and Intellectual Property (IP) rights need to be handled carefully, because
many firms are loathed to share their information and database [52].

3.5 Collaborative Workflows and Process (Including

Communication, Coordination)

Having a good leadership is indeed essential for proper implementation. While,

upon an unpleasant communication or a collaboration, could vain the attempt on
successful BIM implementation. Smith [52] has provided that, multi-disciplinary
yet collaborative approaches are required to BIM adopt in any project. That’s maybe
because of the innate internal project characteristic which results in different team
members that coming from different backgrounds yet working toward a common
goal. Although they are coming in different disciplines, ultimately, it is assisting to
grow well in achieving the project’s aims and objectives feasibly rather than working
on a silo mentality [52]. Even among the competencies relating to BIM, collaboration
and communication has been recognized as the most salient competency and it has
been categorized under the common competencies [55].
When it comes to collaborative working processes, human-to-human interactions
and relationship matters prudently. Under the umbrella of human-to-human interac-
tions, defining of workflows, process and collaborative engagement of project team
members need to be discussed [26]. Eadie et al. [19] established that having a proper
plan and continuous monitoring in the progress is very crucial in the management
of BIM in delivering higher levels of project performance. As discussed earlier,
BIM itself facilitates the collaborative work environment preciously owing to the
drawbacks of fragmented relationships in the traditional project management [58].
Collaboration has been identified as a prime consideration in BIM implementation
[34]. Interestingly, it was observed that [37] have used cooperation instead of collab-
oration in the study. Further, they have acknowledged that collaborative working
environment and culture are ones of strategies that need to cater to accommodate
a change in work entity for a successful implementation of BIM. Eadie et al. [19]
findings also showed that having a proper collaboration is the key to successful
Managing BIM Implementation in the AEC Sector: Identifying Key … 355

BIM which was ranked no. 1. Therefore, maintaining a proper communication and
collaboration from the commencement of the project to the end of the project is
highly encouraged.

3.6 Project Leadership

Smith [52] has revealed that leadership is one of the prominent keys for a successful
BIM implementation, while avoiding problems in relation to piecemeal and disjointed
approaches. In BIM projects, the project manager takes the lead in setting up BIM and
it has been recommended [21]. Controversially, recent literate has provided a separate
role as a BIM manager to handle and take care of the BIM works in construction
projects [55].
Apart from that, Smith [52] provided that, government shall take the directive
initiations primarily for proper BIM implementation. However, as the driving force
of national BIM adoption, aligning with Government national BIM mandates is
necessary to be solicitude into the project level implementation as well. They further
stated that, BIM is more successful when it is driven by clients. Moreover, major
contracting and consultancy organizations are prerequisites to maintain the supply
chain as per set BIM requirements [52].
Eadie et al. [19] have revealed that, reluctance of team members in sharing infor-
mation hinders the implementation of BIM. Leicht et al. [32] team communication
with clients adversely impacts on 8% of occasions and among team members on 5%
of occasions. In addition to that, project leadership is expected to be visionary and
strategically align with the project’s aim and objective. Thus that, being competent
on decision-making and problem-solving is indeed as a project leader.

3.7 Resource Management

Under the resource management, human recourse and financial resource have been
discovered. The fact that other related components in resource management are
covered in other sub sections unnecessary repetitions are avoided. Even though, BIM
is mostly involved in technology, still the human resource is irreplaceable [55]. Eadie
et al. [19] identified lack of expertise within the project team and organization hinders
the adoption of BIM in construction industry. Succar et al. [53] have presented that
few competency areas that are required to have within an individual to work with
BIM. Moreover, they have further elaborated on different competency levels needed
in different BIM maturity stages. Corresponding to that, the required competencies
and level of competency are particular from one another. Such that, make a note of the
exact skill needed from the project participants and then fulfilling the mismatching
skill gaps would manage the human resource efficiently. The growing demand toward
the technology developments, compels the strong enhanced digital capability [38].
356 B. K. C. Perera et al.

When managing the human resource, the skills, training engagement and attitude
of people are needed to be considered. Training has been identified as a prominent
branch of BIM implementation and further discussed in sub-section G separately.
The attitude of people can be argued that it mostly deals with cultural influence
and thereby level of acceptance of the change. That is because of the accompanied
cultural difference along with adopting BIM for a project. BIM adoption may result
in changes of employees’ roles, behavior, workflows, and skills [6]. Moreover, as a
result of mutual synergy in between project participants, defining the shared roles and
responsibilities has been identified as an important factor [28]. They have suggested
to detail the project participants’ role and responsibilities in terms of the scope of
work, depth, and weight of the construction business functions.
On the other hand, financial resource has been discovered as main challenge in
implementing BIM for construction projects [22, 23]. Most practitioners have used
BIM in the design and construction stages and abandoned BIM in the operational
and maintenance stages. Due to the lack of additional project finance to support BIM,
resist its usage at the operational phase of the project [19]. Financial support for BIM
secured the top 3rd rank for considerations on proper BIM implementation in many
countries [37]. As a result of isolated ad hoc use of BIM caused high implemen-
tation cost [52]. Some researchers have found that staff training and development
cost incurred a high percentage from the overall expenses of the project [21, 52].
According to Eadie et al. [19], investment costs have been an issue to not to use BIM.
Though BIM lacks immediate benefits, it is accepted that BIM implementation gains
rich benefits in Returns on Investment [19].

3.8 Training and Education (Skills Development)

In terms of providing training in BIM implementation, it does not limit to teaching

BIM software but also educating in open BIM concepts, BIM management and
collaborative working approaches [52]. The BIM training cost is high and as a result
of that learning curve is steep [8]. In Eadie et al. [19] study, they found that BIM
implementation requires significant investment on training cost (ranked 7 of 13).
Some of the people have believed that no difference in use of BIM in a construction
project in gaining profits. Moreover, lack of expertise within the project and within
the organization specially recorded high concerns. Therefore, providing training
and education streamline the better performance in the project. Uhm et al. [55]
have shown a framework of competencies along with the job role. While, Mandicak
et al. [38] have presented a potential list of digital competencies and BIM skills. In
addition to that, a skill assessment aids in identifying the skill gap and improvement
of personnel. Succer et al. [53] also have provided BIM competencies and assessment
guide. Notwithstanding that, regular or periodic training development programs as in
workshops, crash courses, peer learning to address ongoing difficulties, technology
updates are well recommended.
Managing BIM Implementation in the AEC Sector: Identifying Key … 357

3.9 Change Management

According to Smith [52] Chinese have faced cultural resistance to adopt BIM in their
construction project. It is true that, introducing novel working culture over an used to
do practice is really challenging [52]. Even though many scholars have pointed out
that BIM adoption of culture as a negative concern, [6], pointed out that, by making
awareness of the project team members on the benefits of BIM, it will positively
trigger the adoption. However, it is well acknowledged that the initiation of BIM
implementation in a construction project comes along with a change management
process [37]. Mainly, the technology application and use of different software made
the difference among project members [6]. Ma et al. [37] have provided that, lead-
ership is a key measure to tackle change management well in the process and to
sustain during the process. Further, adopting ad hoc settings in terms of technical,
organizational and financial conditions within the project context is recommended
to overcome the difficulties [37]. According to Alankarage et al. [6] study, negative
cultural change cannot merely attenuate by training or education, but by adopting an
innovative design like behavioral design would make possible changes. Hence, for a
successful BIM implementation testifying the readiness of the change adoption and
change impact assessment are nifty tools that can utilize to plot the strategies ahead
[36]. Having said that, the strategies are not common and can differ from project to
project or organization to organization [35].

3.10 Stakeholder Engagement

Eadie et al. [19] identified, the lack of client demand, cultural resistance, legal issues
in ownership, IP and insurance causes hindering the BIM implementation. Owing
to the special requirement demanded by BIM, some stakeholders are concerned on
matching the BIM competency. In fact, they further mentioned that, educating stake-
holders in BIM benefits would attract them for better engagement. Such that, identifi-
cation of relevant stakeholders, and analyzing stakeholders’ interests, competencies,
and capabilities to perform the project would hinder the drawbacks of uncertainties.
Interestingly, it has been identified that, facility managers are secondly benefited
by BIM implementation in a project after clients [19]. Besides that, it has already
been found that, mutual adjustments along with different stakeholders to the project
improve the effectiveness of the proper technology implementation [18]. Yet, it was
not limited for a given phase but also bridged each different phase such as design,
construction, operation etc.. During the stakeholder analysis, benefits, satisfaction,
and concerns are also crucial to consider in deciding stakeholder engagement. [18]
stated that, current culture allows the stakeholders to incorporate their personal and
organizational interests and reflections rather than building performance within the
context. On the other hand, collaborative planning and regular communication among
stakeholders also essential to be updated on the current status of the project [26]. Fazli
358 B. K. C. Perera et al.

et al. [21], mentioned that BIM itself leads to good coordination and communication
between stakeholders. According to Sidani et al. [51] study, scholars had an attempt
in introducing an AR and multiscreen (AR-MS) system as a BIM table to bring all
the discussions, cooperation, and communications to one place. It reduces complex
discussions but accommodates a user-friendly interface, saves time and stores all the
information until end of the process.

3.11 Quality Assurance and Control—BIM Performance

With the use of BIM technology, it is itself improves the quality of the project while
reducing waste, rework, time and enhancing functionality in the entire lifecycle of
a project [52]. Similarly, the quality of underlined project management of the BIM
project is significant to attain. A successful implementation lies with a sustainable
adoption of the technology till the end of a particular project. Although just because
the above-discussed aspects are fulfilled in a project, unlikely to guarantee a smooth
workflow for the project. Through following a quality assurance or control checkups
intermittently could trail the direction well with the comparison to early defined BIM
project goals. Despite that, a sustainable quality control over project management
again reflects, the quality of the final outcome of the project [16]. Leygonie et al.
[33] have developed a quality management framework for facility management BIM
projects. It has content with quality assurance and control checklist, periodic tests
and tools to be used. Chen and Luo [13] have developed a comprehensive BIM
based quality model to use in design and construction stages. The Finish document
COBIM2012—series 6: Quality assurance has published a handbook for quality
measures in BIM projects. Overall, every stipulated standards that are published by
reputed institutes such as BSI, BuildingSMART, General Services Administration,
make sure to guide the professionals for a better quality project procurement [9, 16].
Thus, adhering to set standards and continuous improvement in quality check-ups
would reinforce the quality of project delivery.

3.12 Contractual and Legal Considerations/Standard

Conventions, Protocols

Owing to the engagement of many team members within a project, legal liability of
accuracy, and quality of the information in a BIM environment have been critical
considerations within the project. As discussed above, by regulating data manage-
ment, the accuracy, comprehensiveness and quality of the model can be sustained
[52]. Such that, contractual and legal considerations are mandate tools to sign up
in the BIM implementation process. As a consequence of growing demand in BIM
National BIM Guide (by National Specification—NATSPEC) in Australia, National
Managing BIM Implementation in the AEC Sector: Identifying Key … 359

Guidelines for Digital Modeling (by Corporate Research Centre for Construction
Innovation CRC-C1), Australian and New Zealand Revit standards (ANZRS), BIM-
MEPAUS guidelines and models were established [52]. Further, BuildingSMART
has made a significant influence in promoting BIM in Australia which resulted in
establishing Open BIM Alliance in Australia [52].
In Singapore Construction and Real Estate Network (CORENET) e-Plan check
system was introduced to verify the regulatory compliance [52]. Currently, New
Engineering Contracts (NEC4 ECC) and Join Contractor’s Tribunal (JCT CE) suits
include the contractual provisions for BIM adoption [46]. China has issued Chinese
National Standards – Unified Standards for BIM Application [52]. Smith [52] have
revealed that, national BIM maturity models are mostly encouraged when compare to
the individual organization models which are owned privately. Likely, the standards
are more preferred in the industry. Having said that, organizational or project-level
standards are poorly developed when compared to national and industry-level stan-
dards [28]. It is acknowledged that, those are influenced by managerial issues of
corporate or project strategies and owing to the dynamic nature in internal purpose,
formats, and details. Jung and Joo [28] have brought up that, two types of standards:
process standards and product standards.
According to Eadie et al. [19] observation, UK government requests as-built
information (Construction, Design and management regulation), but contractors are
providing as-designed information. They are reluctant to give because 3D is more
time-consuming than 2D. The BIM protocol which is developed by AIA has been
recognized as a well-scrutinized BIM protocol and it has been used widely in projects
[52]. Eadie et al. [19] proposed that the incorporation of issues of electronic docu-
mentation and facilitation of new collaborative practices are more necessary than
simple additional contractual condition amendments. Project management informa-
tion systems including CIC has been recommended as good tools for ‘clarifying
and systemizing project execution plans, procedures, and manuals ([28]: p. 131).
AIA digital practice documents include the digital data licensing agreement—AIA
2013a, project digital data protocol form—AIA 2013b and project BIM protocol
form—AIA 2013c [11].
In the context of legal considerations, the below sub-elements are observed as
important in addressing when implementing BIM [9, 26, 42, 43, 50].
• BIM agreements and protocols
• Intellectual property (IP) rights
• Liability and indemnity
• Data protection and confidentiality
• Subcontractor and supplier agreement
• Dispute resolution mechanism
• Compliance with host countries’ national policies.
BSI [9], BS EN ISO19650:5 consists with data protection over a loss, theft, misuse,
disclosure or modification of sensitive data and intellectual property. Further, it does
carry with fines for regulatory breaches as well. US National Institute of Building
Science (NIBS) has carried out an investigation on introducing project-based liability
360 B. K. C. Perera et al.

insurance, especially for covering risks associated with the integrated procurement
approach [52]. According to CIC BIM protocol, BIM model can be suspended owing
to non-payment by the client whereas as in other instance, model has to be irreversibly
transferred [46]. Model ownership has been ranked the most prominent contractual
issue in the industry, since it is developed by many parties to the contract [46]. Article
7 of AIA B101 (AIA2017) has given that, model authors own their product IP, but
are obliged to grant nonexclusive license to project owner. According to OhioDAS
[41] the total model ownership lies with the project owner. Explicit provision of
traditional procurement for Contractors in China inhibits the BIM implementation
due to the discouragement of collaboration to some extent [52]. Fazli et al. [21]
presented that, industry has a perception that, the combination of BIM lacks the legal
validity whereas 2D plotted drawings only carry the validity.

4 Proposed Research Design and Discussion

The review of literature identified many of the significant aspects that require manage-
rial attention within the scope of BIM implementation. Though their importance may
vary owing to factors such as the level of BIM adoption, government involvement,
project strategies, goals, and objectives; a full list of such aspects is the first require-
ment to achieve in the pathway to develop a comprehensive framework of BIM
implementation management. These will then be required to be structured into a
framework that can offer structured multi-dimensional understanding since it needs
to cover to an extent of satisfying breadth of all different significant aspects and depth
of each branch of aspects to a level compatible with an effective strategizing of the
implementation. Consequently, the study assumes such existence of an underlying
structure that manifests itself differently in various BIM implementation experiences,
due to contextual differences in each of them. Therefore, even though the research
takes objectivism as its ontological standing; the empirical evidence is likely to be
within the variable experiences of different BIM implementations. For a context of
this nature, Saunders et al. [49] recommends taking Critical Realism philosophical
stand. Since, the significant aspects of BIM implementation management are to be
appropriately structured through the analysis, and the findings of the literature review
could present the initial framework, an iterative process of induction and deduction,
termed Retroduction is identified as the approach to theory development [49, 54].
However, the abridged knowledge due to the lack of empirical studies in the area
can be mapped with the relevant experiences that could have spread in many different
sources which contribute to heighten the validity of study findings. The primary
source of data is within the individuals who have experienced in BIM implementation,
making the semi-structured personal interviews as a preferred mode of enquiry.
However, it is also observed that many of such experience is recorded in many non-
scientific published sources such as company websites and blogs. Some experiences
are also shared in online forums such as LinkedIn discussions. These sources become
valuable for data triangulation. Further to these, it is also identified that many BIM
Managing BIM Implementation in the AEC Sector: Identifying Key … 361

Derived BIM Completed list

Implementation of BIM
Aspects Implementation BIM
Aspects Implementation
Framework

Qualitative Data
Literature Review Collection and
Analysis Results

Fig. 3 Proposed methodology in developing the framework

guidelines, standards, reports, protocols and policy documents relevant to BIM are
formulated by collating experience of the development teams and presenting another
group of data sources.
A qualitative thematic analysis will scrutinize the data to develop and validate
the BIM implementation management structure. The priori codes will come from
the literature findings, and further codes will be identified from data through the
analysis process. Axial coding will be used to appropriately structure the codes. The
final code-structure will become the basis for the framework intended to be found
through this study. Data interpretations will present the explanation for all identified
significant aspects of the framework. Figure 3 shows the proposed methodology for
developing the BIM implementation from current fragmented knowledge.

5 Conclusion

BIM enjoys a wide interest around the world for many benefits it brings into construc-
tion. Yet, the challenges associated with BIM implementation hinder and restrict full
realization of true value of BIM implementation. There is a line of knowledge asso-
ciated with effective management of BIM implementation to support addressing the
challenges effectively. The review of current literature showed the existence of many
different significant aspects that require managerial attention for successful BIM
implementation. However, the current scientific knowledge on these is incomplete.
To address this issue a research study is proposed to identify the BIM implementa-
tion management framework to support both wide and deeper comprehension of BIM
implementation management. The study takes a Critical Realism research philosophy
with Retroductive approach to theory. A qualitative thematic analysis with data from
multiple sources is proposed. The developed framework will offer BIM implementers
a comprehensive framework to manage their BIM implementation efforts effectively.
The framework will also offer the scientific community with a structured approach
to deepen their studies in BIM implementation aspects.
362 B. K. C. Perera et al.

Acknowledgements Individuals and companies who provided help during the research could be
addressed here.

Author Contributions Kavinya Perera contributes to conceptualization, validation, analysis,

investigation, draft preparation, and manuscript editing.
Suranga Jayasena has contributed to conceptualization, methodology, validation, analysis,
manuscript editing, visualization, and supervision.
Anuradha Waidyasekara has contributed to conceptualization, methodology, validation, anal-
ysis, manuscript editing, and supervision.
Mohan Siriwardena contributed to conceptualization, methodology, validation, manuscript
editing, visualization, and supervision.
Ravindu Kahandawa has contributed to conceptualization, methodology, analysis, draft prepa-
ration, and visualization.
All authors have read and agreed with the manuscript before its submission and publication.
Funding This research received no specific financial support from any funding agency.

Ethics Statement Not applicable.

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Ethics Provisions Within New Zealand
Professional Codes of Conduct, Towards
a Construction-Wide Code of Ethics

David Finnie , Naseem Ameer Ali, Cameron McKay, and Nick Wilson

1 Introduction

The objective of this study is to critically compare the ethics provisions contained
within codes of conduct used by construction professional bodies that operate
membership within the New Zealand (NZ) construction industry. The content is
also compared with ethics provisions highlighted as important in previous literature
[26]. The broader research aim is that through harmonising ethics provisions across
codes of conduct, that this may help pave the way towards a code of ethics for the
NZ construction industry, applied on an opt-in project-by-project basis. Such a code
of ethics could capture those construction practitioners who both belong to profes-
sional bodies and those who do not. The harmonisation will help to fill any gaps that
may currently exist across the codes of conduct. Furthermore, a code of ethics may

D. Finnie (B)
BConstr (QS), GCTLT, Dip QS, MNZIQS, MSCLNZ, MAANZ, MNZIOB, Chartered Building
Professional. College of Engineering, Construction and Living Sciences, Otago Polytechnic,
Dunedin, New Zealand
e-mail: [email protected]
N. A. Ali
PhD, MSc Const Law & Arb, MSc Arch, BSc (Hons), CDipAF, Cert Adj (RICS), Cert Adj
(KLRCA), PPRISM, FRISM, FCIOB, FCIArb, MNZIQS, MRICS, MAPM, AIQS (Affil), School
of Built Environment, Massey University, Auckland, New Zealand
University of Science, George Town, Penang, Malaysia
C. McKay
BConstr (QS), MNZIQS, Otago Polytechnic, Dunedin, New Zealand
e-mail: [email protected]
N. Wilson
BConstr (Quantity Surveying), College of Engineering, Construction and Living Sciences, Otago
Polytechnic, Dunedin, New Zealand

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 367
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_24
368 D. Finnie et al.

include standard and specific opt-in terms, such as relating to societal and environ-
mental sustainability objectives. See the research methodology below for a roadmap
towards drafting and testing such a code of ethics.
Uff [28] raised the potential for a construction industry code of conduct to address
issues throughout the industry in a paper published in the Society of Construction
Law UK (SCLUK). This was followed by Uff [27] and Thornton [26] also published
by the SCLUK, and subsequent calls for a code of ethics, such as from McCarthy [16]
in Australia. A construction code of ethics could be opted into on a project-by-project
basis. This could capture those working as project managers, professional quantity
surveyors (PQSs), estimators, and contract administrators who do not belong to
construction professional bodies. Professional bodies, such as the project manage-
ment institute (PMI), New Zealand Institute of Quantity Surveyors (NZIQS), the
Royal Institute of Chartered Surveyors (RICS), and Engineering New Zealand. And
each has its own code of conduct for its members to abide by. However, there is no
requirement in New Zealand (NZ) for such practitioners to be registered or belong
to any professional body. Moreover, there is an absence of research into construction
ethics in NZ, despite the previous calls for a construction code of ethics.
Ethics is generally defined in terms of moral behaviour. The Cambridge Dictionary
[10] defines ‘ethics’ as a ‘noun—a system of accepted beliefs that control behaviour,
especially such a system based on morals.’ While ‘morals’ are defined as a ‘plural
noun—standards for good or bad character and behaviour’ [11]. To be more specific
what constitutes ‘good’ and ‘bad’ ethical behaviour in construction requires more
specific definition.
Enforcing ethical conduct for commercial construction projects is largely absent
from NZ legislation. This perhaps reflects that setting standards for moral good and
bad behaviour may not adequately reflect the reality of contracting and maintaining
parties’ ‘freedom to contract’ their own terms. For example, some may consider that
it is not good ‘behaviour’ for clients to transfer risks onto contractors. NZ courts may
deem contract terms as ‘unfair’ under Section 46L of the Fair Trading Act [18]. The
scope only relates to ‘consumer contracts’ or ‘small trade contracts.’ Section 46L
provides when contract terms are ‘unfair’:
46L When Term in Consumer Contract or Small Trade Contract Is Unfair

(1) A term in a consumer contract or small trade contract is unfair if the court is
satisfied that the term—
(a) would cause a significant imbalance in the parties’ rights and obligations
arising under the contract; and
(b) is not reasonably necessary in order to protect the legitimate interests of
the party who would be advantaged by the term; and
(c) would cause detriment (whether financial or otherwise) to a party if it were
applied, enforced, or relied on.
(2) In determining whether a term of a consumer contract or small trade contract is
unfair, the court may take into account any matters it thinks relevant, but must
take into account—
Ethics Provisions Within New Zealand Professional Codes of Conduct … 369

(a) the extent to which the term is transparent; and

(b) the contract as a whole.
(3) For the purpose of subsection (1)(b), a term in a consumer contract or small trade
contract must be presumed not to be reasonably necessary in order to protect the
legitimate interests of the party who would be advantaged by the term, unless
that party proves otherwise.
The Building Research Authority of New Zealand [6] provides that ‘The Fair-
trading Act also covers unfair contract terms. This relates to clauses in standard form
consumer contracts (contracts that consumers must accept on a take-it-or-leave-it
basis)’ and potentially not where both parties can negotiate their own terms.
Section 27 of the NZ Commerce Act [1] prohibits anti-competitive arrangements
that lesson competition and the [8] provides guidance for detecting ‘bid rigging’
where contractors share their prices and decide who’s is going to be lowest in what is
meant to be a competitive tender situation. However, the above legislation covering
fair commercial contracting practices does not appear to address parties’ conduct
during the construction stage.
The Consumer Guarantees Act [30] requires those providing services to take
‘reasonable skill and care.’ This is the test to establish negligent breach, conduct
that fails to comply with what any other reasonably competent professional would
have done given similar circumstances and accounting for available codes, stan-
dards, and trade literature, may be considered negligent. The test to establish what
constitutes reasonable skill and care was first established in Bolam v. Friern Hospital
Management Committee [4] and extended to other professionals such as construction
consultants, who, like doctors, cannot guarantee successful operations.
However, what constitutes what might breach ‘reasonable skill and care’ ethical
behaviour is not defined. The concept of parties’ ‘freedom to contract’ is also reflected
in the Consumer Guarantees Act [30]. Section 43 allows parties to contract out of
the Act where goods or services are supplied and ‘acquired in trade’, and accounting
for the ‘bargaining power’ between the parties.
Ethics legislation covers health professionals in NZ. And the Licenced Building
Practitioners (LBP) scheme was launched in November 2007 following an amend-
ment to the Building Act (2004) to cover builders [15]. However, enforcing ethics
standards for construction professionals is generally left to professional bodies using
complaints panels to investigate breaches of their codes of ethics.
Given the potential conflict between enforcing ethics standards versus maintaining
parties ‘freedom to contract’ it is perhaps difficult to provide blanket legislation
requiring ‘moral’ ‘good behaviours’ covering all construction projects. A preferable
approach could be a construction code of ethics which can be opted into on a project-
by-project basis. The code of ethics could cover key ethics considerations, such as
maintaining project confidentiality, respecting copyrights, and carrying out certifi-
cation duties impartially. In a similar fashion, the SCL UK has already published
a Delay and Disruption Protocol [22] to help address content often absent in stan-
dard forms of construction contracts such a how to manage concurrent delay events.
The Protocol does not have contractual effect, but provides a means of handling
370 D. Finnie et al.

such events where the contract is silent. Potentially contracting parties could opt
into the Protocol on a project by project basis, similar manner as to how a code of
ethics could be opted into too. In the interim, the findings can help inform construc-
tion professional bodies in NZ construction about what ethics provisions may be
considered important and where their existing codes of conduct may have gaps in
ethical requirements for their members. The findings also support the NZ Construc-
tion Sector Accord which includes an objective to ‘act with collective responsibility
[9].

2 Research Methodology

Content of ethics provisions in the following construction professional body codes

of ethics used in NZ are compared and analysed to saturation in terms of ethics
provisions recommended in previous literature.
• New Zealand Institute of Quantity Surveyors (NZIQS) Code of Conduct [17],
• Registered Architect’s Board (RAB) Code of Minimum Standards of Ethical
Conduct for Registered Architects [19],
• Engineering New Zealand Code of Ethical Conduct [12], and
• Royal Institute of Charted Surveyors (RICS) Rules of conduct [20].
The RAB codes of ethics covers members in the New Zealand Institute of
Architects. The recommended ethics content from previous literature relate to fair
reward, integrity, objectivity, honesty, accountably, fairness, and reliability [26] as
summarised under 3.3 types of breaches below. A thematic content analysis of the
documentation is applied to critically compare content and highlight any poten-
tial gaps of ethics content within the codes of conduct. Such a qualitative analysis
approach carries the risk of subjective interpretation by the researcher. To help address
this, all content is analysed by all the co-authors of this paper.
The four codes of conduct were selected to best represent construction profes-
sionals belonging to professional bodies and working in NZ construction. It is
acknowledged that some construction professional in NZ may belong to other profes-
sional bodies such as the Chartered Institute of Building (CIOB) or other general
interest organisations such as the Society of Construction Law (NZ) (which has no
code of conduct). However, those professionals are likely to also belong to the four
professional bodies whose codes of conduct are analysed in this study. The NZIQS,
NZIQ, and Engineering NZ are based on NZ. The RICS is based in the UK though
has memberships within NZ and provides for interesting comparison with those
based in NZ. All codes of conduct were current as of July 2023. Further research
could compare ethics content of overseas codes of conduct. This could help towards
harmonising ethics provisions to better meet the needs of a global world.
Thornton [26] first suggested a construction code of ethics and developed the
framework of ethics provisions considered important for such a code. Little atten-
tion has followed over the past two decades towards achieving this objective. This
Ethics Provisions Within New Zealand Professional Codes of Conduct … 371

limits the quantum of scholarly articles from which to draw on. Therefore, the ethics
provisions recommended by Thornton [26] remain current and have been selected
to form the framework used in this study to compare with the ethics content in the
codes of conduct analysed.

3 Literature Review

3.1 Enforcement and Reporting of Ethical Breaches

Uff [28] discusses the enforcement of ethical standards and informing the public
of those who have breached them. Professional bodies typically have their own
complaints panels to investigate ethics breaches. However, their findings and deci-
sions often remain private. This means that the public lacks the means to know of
unethical behaviour by parties. Professional bodies may also be reluctant to initiate
investigations or complaints about one of its own members. This means that enforcing
ethical standards may prove difficult. Moreover, not all construction participants
belong to professional bodies, making enforcement of unethical breaches difficult,
particularly given the patchy legislation covering ethics in NZ.

3.2 Types of Ethical Breaches

Previous literature about ethics in construction tends to define unethical behaviour

as including: bid shopping, lying, unreliable contractors, claims games (e.g. inflated
claims, false claims), threats, conflict of interest, bid collusion, fraud, and profes-
sional negligence [13]. Strahorn, Gajendran, and Brewer [15] found trust to be inte-
gral to the experiences of construction professionals and good and bad interpersonal
relationships evidence in traditional procurement. Likewise, Strahon, Brewer, and
Gajendran [15] found trust to be key to addressing the risk of poor communication
between project managers and their clients.
Uff [28] defined ethical breaches into three distinct stages, the initiating stage,
construction stage, and the post-construction stage. The initiating stage can include
ethical breaches during tendering: breaching confidentiality of tenders, deliberately
negotiating with the winning contractor to further reduce their price, grossly under-
priced tenders being awarded, and major foreseeable variations not being communi-
cated to the other parties. This could have major flow on effects to the public if there
are delays to the completion of public projects. Ethical breaches during the construc-
tion stage can include enforcing a ‘duty to warn’ when the parties are not contractually
obliged to do so. While courts have ruled a duty to warn in tort in some instances, this
has not been applied universally. Other issues might include concealing of ethics, over
billing of works, and biased evaluations of extensions of time. The post-construction
372 D. Finnie et al.

stage may include ethics considerations relating to settling of final accounts, over
inflated claims and counter claims, extending processes leveraging power imbal-
ances by filing for adjudication or arbitration. Ameh and Odusami [3] found quantity
surveyors most subject to bribery in Nigerian construction and call for greater focus
on ethics in construction education and further research into measures to curb ethical
breaches. Similalrly, Sinha, Thomas, and Kulka [21] also called for greater focus on
ethics and ethical decision-making when teaching engineers. Thornton [26] outlines
seven qualities that should be included in codes of ethics. These are:
• Fair Reward—Clear risk allocation, scope of work, providing rate and valuation
breakdowns, and define what is and is not acceptable conduct in terms of tendering,
claiming, valuing, and payments.
• Integrity—Parties should evaluate and manage risks, and assign, eliminate, or
share the risk ethically.
• Objectivity—Declaring conflicts of interest.
• Honesty—Avoiding corruption, bribery, claims fraud, collusive tendering, kick-
backs, and forged documents to support claims.
• Accountability—Duty to warn of dangers, potential losses, or issues in the pre-
contract information, from both the contractor and client-side representatives.
• Fairness—Act impartially when evaluating claims.
• Reliability—Operating within competency and declaring any scope that not
competent in.
These seven recommended ethics provisions will form the basis of evaluating
provisions in professional codes of ethics in this study, based on the following
definitions summarised from Thornton [26]:
Fair Reward:
The construction industry can involve complex payment provisions and numerous
contract variations. Both contractors and client-side parties may utilise opportu-
nities to take ‘advantage’ and unreasonably gain financially from the other. This
may be done through contractual factors such as maximising undefined or incom-
plete scope of works, interim payment provisions that are based on value of work
rather than progress milestones, and valuating extension of time delays in the works.
Related unethical practices might include contractors claiming scope not included
in the tender where they have no breakdowns of rates or prices, interim claims and
valuations being unfairly and inaccurately evaluated and late interim payments.
A code that accounts for fair reward should include factors such as clear risk allo-
cation, scope of work, providing rate and valuation breakdowns, and define what is
and is not acceptable conduct in terms of tendering, claiming, valuing, and payments.
Integrity:
Ethical integrity is largely based on risk allocation. Although risk is generally
managed, eliminated, or shared in the contract prior to the beginning of the contract
it is not always done so fairly. Not all parties involved in the construction industry are
Ethics Provisions Within New Zealand Professional Codes of Conduct … 373

as well informed or educated on contractual risk management. Parties may know-

ingly transfer risks onto smaller less informed parties, such as large main contractors
transferring substantial contractual risks onto less informed subcontractors.
Therefore, a code of ethics should include general principles that parties should
evaluate and manage risks, and assign, eliminate, or share the risk ethically.
Objectivity:
The construction industry involves a complex range of roles and relationships
meaning conflicts of interest can arise. It is unethical for parties not to disclose
conflicts of interest. Examples of conflicts would include a PQS owning shares in a
construction company that the client hired based on the PQS’s evaluation of tenders.
Ethically the PQS should clearly disclose their conflict of interest so that the client
may that appropriate measures, whether that be retiring the PQS or an adjustment to
their role.
Honesty:
Globally, the construction industry is prone to corruption, bribery, claims fraud, collu-
sive tendering, kickbacks, and forged documents to support claims. These behaviours
involving lying and misleading other parties are clearly unethical and can have major
effects on projects and the construction industry’s reputation. It is therefore important
that any code of ethics prohibits such behaviour.
Accountability:
This involves delivering what is expected and to provide warning where such delivery
becomes unlikely. Contracting parties are obligated to undertake the scope of work
contractually required. However, issues can arise when the specifics of the scope are
unclear clear in pre-contract or contract documents.
A code of ethics should require a duty to warn of dangers, potential losses, or issues
in the pre-contract information, from both the contractor and client-side represen-
tatives. Notably the 2013 version of NZS3910 Conditions of contract for building
and civil engineering construction [23], added clause 5.21 Advance notification.
This requires the Engineer and Contractor to notify each other of anything that
may materially affect the contract price, delay completion, or result in a compliance
breach.
Fairness:
A complexity in the construction industry involves the contract administrator acting
impartially when carrying out certification duties, when they are employed by the
client, and so may feel biased by the client’s interests when evaluating contractor
claims. Therefore, a code of ethics should require impartiality. Clause 6.2 of NZS3910
does define the Engineer’s role as both representing the client, and to value and certify
claims ‘fairly and impartially’ and ‘independently of either party’.
Reliability:
374 D. Finnie et al.

A code of ethics should also require consultants to disclose to the client any areas
of work for which they are not competent. This enables the client to recruit a
replacement. This is also reinforced by refs. [16] and [14].

3.3 Extent of Ethical Breaches

Ethical breaches have been found prevalent in the construction industry abroad. Vee
and Skitmore [29] found that survey of 31 participants in Australia comprising project
managers, architects, and building contractors and all had witnessed or experienced
some degree of unethical behaviour. Ho [13] surveyed a cross section of nearly 300
construction practitioners in the US, including architects, engineers, construction
managers, general contractors, and subcontractors. 84 per cent said that they observed
unethical behaviour in the past year, while 34 per cent reported that they had witnessed
‘many, many’ instances of unethical behaviour in the past year. Bowen et al. [5]
surveyed architects, construction managers, quantity surveyors, and consulting engi-
neers and found that 22–32% of the participants had observed ‘conflicts of interest’
(32%), confidentiality and propriety information breaches (24%), and overall, 78%
had observed ethical breaches of professional responsibility one way or another.
Abdul-Rahman, Wang, and Yap [2] found through survey questionnaire in Malaysia
that quality problems on projects often arise due to ethical breaches. The Commerce
Commission NZ [7] that interviewed participants in the non-residential construction
sector in Auckland, Wellington and Christchurch and found a low level of under-
standing of anti-competitive behaviour, in particular ‘cover pricing.’ Cover pricing
is where one contractor submits a tender bid that appears believable but is intention-
ally higher than that of another contractors. This breaches ethics related to Honesty
(corruption, bribery, claims fraud, collusive tendering, kickbacks, and forged docu-
ments to support claims) recommended by Uff [27]. The Commerce Commission NZ
[8] released subsequent guidelines for detecting bid rigging. Other than this, there
appears to be an absence of NZ specific research into construction ethics.
The following section compares ethics provisions in construction codes of ethics
used in NZ with each other, and the above recommended provisions in previous
literature. The findings are discussed in relation to those of previous studies.

4 Data Analysis and Discussion

Following is a summary of the content contained in the professional body codes of

conduct when compared to the ethics provisions recommended by Thornton [26]:
As shown in Table 1 below, Fair Reward is covered by 0/4 codes of conduct.
Integrity is covered by 0/4 codes of conduct. Objectivity is covered by 4/4 codes
of conduct. Honesty is covered by 4/4 codes of conduct. Accountability is covered
Ethics Provisions Within New Zealand Professional Codes of Conduct … 375

by 4/4 codes of conduct. Fairness is covered by 4/4 codes of conduct. Reliability is

covered by 4/4 codes of conduct.
Most of the recommended ethics provisions were covered by all codes of conduct
in some capacity. One key gap appears to be that of Integrity—general principles
that parties should evaluate and manage risks, and assign, eliminate, or share the
risk ethically. Another is Fair Reward. However, it should be noted that professional
bodies require their members to define their scope of services, and state prices and
rates for variations. This typically addresses ‘Fair reward.’
All codes of conduct clearly require members to declare any conflicts of interest
(Objectivity) and to carry out claim certification duties impartially (Fairness).
NZS3910 also requires this of the Engineer to the contract (contract administrator).
All codes of conduct also require members to only act within the scope of their
competencies and to notify of any work that is outside their competency (Reliability).
All codes of conduct require members to act honestly/trustworthy/fairly/
transparently/without bias. Only Engineering NZ [12] clause 4.b. more specifi-
cally addresses corruption, bribery, claims fraud, collusive tendering, kickbacks,
and forged documents to support claims (Honesty) with the following:
Engineering NZ [12] clause 4.b:
b. must not
i. offer or promise to give to any person anything intended to improperly influence a
decision relating to your engineering activities; or
ii. accept from any person anything intended to improperly influence your engineering
activities; or
iii. otherwise engage in, or support, corrupt practices.

In terms of Accountability (duty to warn of dangers, potential losses, or issues

in the pre-contract information, from both the contractor and client-side representa-
tives), all codes of conduct require members to warn of anything that may have an
adverse baring on performance. However, NZIQS [17] clause 16 only requires its
members to warn about anything that may delay progress:
NZIQS [17] clause 16:
16. A member must, in the case of unavoidable delay, communicate to the client the progress
being made in respect of the instructions issued to the member.

Table 1 Ethics content

NZIQS [17] RAB [19] Engineering NZ [12] RICS (2021)
Fair reward
Integrity
Objectivity 18, 19 52 5 Rule 1
Honesty 17 47 5 Rule 3
Accountability 16 58, 58B 3, 4, 6 Rule 2
Fairness 17 48, 53 5 Rule 1
Reliability 10 51, 58 4 Rule 2
376 D. Finnie et al.

However, there appears to be little requirement for members to evaluate and

manage risks in an ethical manner (Integrity). This is reinformed by Uff [28] who
also highlighted major foreseeable variations not being communicated to the other
parties as a key ethics consideration to be addressed.
All codes of conduct generally contained requirements for members to act with
Honesty. However, none specifically addressed factors highlighted by Ho [13] being
bid shopping, unreliable contractors, bid collusion, and Uff [28] who highlighted
deliberately negotiating with the winning contractor to further reduce their price,
and grossly under-priced tenders being awarded as key ethics considerations. For
example:
NZIQS [17] clause 17:
17. Members must maintain independence and impartiality where the exercise of objective
judgement is required. Members must not allow prejudice or bias, bad faith, conflict of
interest, or the influence of others to override objectivity.

RAB [19] clauses 47 and 56:

47. Honesty and fairness
A registered architect must perform the architect’s professional activities with both—
a) honesty; and
b) fairness.
56. Remuneration and Inducements
A registered architect, in respect of the architect’s professional activities,—
(a) must be remunerated solely by the fees and benefits specified in the architect’s written
terms of appointment or employment agreement; and
(b) must not offer or accept any significant inducement that creates, or may create, a
conflict of interest; and
(c) must not offer any significant inducement to procure an agreement for services or
gain an unfair advantage.

Engineering NZ [12] clause 5 Behave appropriately:

In performing, or in connection with, your engineering activities you a. must
i. act with honesty, objectivity, and integrity; and
ii. treat people with respect and courtesy; and disclose and appropriately manage conflicts
of interest; and b. must not
i. offer or promise to give to any person anything intended to improperly influence a
decision relating to your engineering activities; or
ii. accept from any person anything intended to improperly influence your engineering
activities; or iii. otherwise engage in, or support, corrupt practices.

RICS (2021) Rule 1:

Members and firms must be honest, act with integrity and comply with their professional
obligations, including obligations to RICS.

Some of the codes of conduct contained ethics related provisions additional to

those recommended by Thornton [26]. As shown in Table 2 below, Written communi-
cation is covered by 2/4 codes of conduct (NZIQS, RAB). Confidentiality is covered
Ethics Provisions Within New Zealand Professional Codes of Conduct … 377

by 4/4 codes of conduct. Acting within the law is covered by 2/4 codes of conduct
(NZIQS, RAB). Acting within institutional rules is covered by 2/4 codes of conduct
(NZIQS, RICS). Disciplinary procedures are covered by 4/4 codes of conduct. Health
and safety are covered by 1/4 codes of conduct (Engineering NZ). Public Interest
is covered by 1/4 codes of conduct (RICS). Interpersonal skills are covered by 2/4
codes of conduct (Engineering NZ, RICS). Environmental is covered by 1/4 codes
of conduct (Engineering NZ).
Again, some of these provisions are covered in professional body contracts for
services, such as acting within the law, confidentiality, and written communication.
Membership agreements would also require members to act within the codes of
conduct, being institutional rules. Factors relating to disciplinary procedures tend
to focus on not criticising others unless they believe on reasonable grounds that
the member has committed a serious breach and complying with any investigation
about a member’s own conduct. Interpersonal skills focus on treating others with
respect. This is most comprehensively covered by RICS. Other professional bodies
may wish to consider whether this is something that they also want to request from
their members. So too is acting in the public interest:
Engineering NZ [12] clause 5:
5. Behave Appropriately
In performing, or in connection with, your engineering activities you
a. must
ii. treat people with respect and courtesy;

RICS (2021) Rule 4:

Members and firms must treat others with respect and encourage diversity and inclusion.
Example behaviours

Table 2 Additional ethics content

NZIQS [17] RAB [19] Engineering NZ [12] RICS (2021)
Written 14 58A
communication
Confidentiality 20 58C 7 Rule 1
Acting within the 24 46
law
Acting within 8, 22, 25, 26 Appendix A
institutional rules
Disciplinary 23, 27 54 8 Rule 5, Appendix A
procedures
Health and safety 1
Public interest
Interpersonal skills 5.a Rule 4
Environmental 2
378 D. Finnie et al.

4.1 Members and Firms Respect the Rights of Others and Treat Others with Courtesy.
4.2 Members and firms treat everyone fairly and do not discriminate against anyone
on any improper grounds, including age, disability, gender reassignment, marriage or civil
partnership, pregnancy or maternity, race, religion or belief, sex or sexual orientation.
4.3 Members and firms do not bully, victimise or harass anyone.
4.4 Firms check that supply chains do not involve modern slavery or other abuses of the
workforce.
4.5 Members and firms report abusive labour practices to proper and recognised
authorities if they become aware of, or suspect, them.
4.6 Members and firms work cooperatively with others.
4.7 Members and firms develop an inclusive culture in their workplaces, support equal
access and opportunity for all, and identify and address unconscious bias.

Only Engineering NZ [12] clause 2 requires members to consider the environment.

This is perhaps an area for other professional bodies to consider, given the national
and global focus on reducing emissions to help mitigate the effects of climate change
and becoming more climate resilient.
Engineering NZ [12] clause 2:
2. Have regard to effects on environment
You must, in the course of your engineering activities,
i. have regard to reasonably foreseeable effects on the environment from those activities;
and
ii. have regard to the need for sustainable management of the environment. In this rule,
sustainable management means management that meets the needs of the present without
compromising the ability of future generations (including at least the future generations
within the anticipated lifetime of the end products and by-products of those activities) to
meet their own reasonably foreseeable needs.

Adding requirements for interpersonal communication and the environment

should also carefully consider the balance between benefits associated with adding
such requirements and the potential to restrict its members’ ‘freedom of contract’
and ability to remain competitive with those practitioners who do long belong as
members to their professional bodies. This is because, the more industry practi-
tioners that do not belong to professional bodies means that they are not bound by
any ethics requirements in codes of conduct. That said, including ethics requirements
for interpersonal communication and the environment could help support the [9]’s
objective—‘Āta: grow respectful relationships with people and the environment.’
Maximising the number of construction practitioners are included in codes of
ethics should help to address findings by previous studies overseas that have found
substantial observation of unethical conduct [5, 5, 13]. And the Commerce Commis-
sion NZ [7] research that found low industry knowledge about ‘cover pricing’ an area
that could be more specifically focussed on under Honesty related ethics in codes of
conduct.
Combining the preferred provisions from each code of conduct into one code of
ethics for the NZ construction industry on a project by project opt-in basis could
provide a clear and consistent approach to ethics requirements covering both client
Ethics Provisions Within New Zealand Professional Codes of Conduct … 379

consultant and contractor sides. Disciplinary procedures would need to be included

for breaches, and a publicly available register for those who found to have seriously or
repeatedly breached ethics requirements. This would help address one of the concerns
raised by Uff [28] that the public often remains unaware of those who breach ethics
expectations.

5 Conclusions

The ethics related content in construction professional codes of conduct was critically
compared in terms of those ethics’ requirements recommended by previous literature.
These finding can help inform professional bodies of potential areas to improve their
ethics coverage in codes of conduct. Findings may also help pave the way towards an
industry wide construction code of ethics which may be used on a project by project
opt-in basis.
Most ethics provisions were covered by all codes of conduct. However, there
was little content related to Integrity (parties should evaluate and manage risks, and
assign, eliminate, or share the risk ethically). This is an area that professional bodies
may wish to consider including in their codes of conduct or ensuring that this is
covered adequately elsewhere within the contracts for services.
Another area that could be improved on is Honesty (avoiding corruption, bribery,
claims fraud, collusive tendering, kickbacks, and forged documents to support
claims). While all codes of conduct required some form of acting with trustworthiness
and honesty, only Engineering New Zealand [12] specifically require its members
not to offer or accept bribes. More specific focus in this area could help to address
findings by the Commerce Commission [7] that the construction industry lacked
knowledge about anti-competitive pricing behaviours. Furthermore, adding ethics
requirements covering interpersonal communication and the environment may help
support the Construction Sector Accord’s [9] objective—‘Āta: grow respectful rela-
tionships with people and the environment. However, adding new ethics requirements
should be considered carefully in terms of professional body members’ appetite for
such provisions. Or the wider industries’ appetite in the case of a construction sector
code of ethics. With previous studies highlighting the prevalence of unethical prac-
tices in overseas jurisdictions, it would be useful to survey practitioners in NZ about
the extent of their observations of unethical practices in NZ.
A roadmap for research towards a construction code of ethics for the NZ construc-
tion industry could include first, comparing ethics content within contracts for
services used in the professional bodies analysed in this study. Then compile the
collective ethics provisions and distribute a survey questionnaire to industry asking
participants two rate each for preferred relevance and inviting comments. From this
a draft code of ethics may be drafted. One option could be to schedule standard
ethics terms (such as anti-corruption) and specific terms (such as sustainability) that
parties may select specific to their project. Feedback may then be obtained from
the professional bodies, and other relevant stakeholders such as the Construction
380 D. Finnie et al.

Accord. Then case studied to obtain user feedback. There would be less risk in the
code of ethics being on an opt-in project-by-project basis with standard and specific
terms to choose from. However, if it is intended to replace existing professional body
codes of ethics, the industry could equally risk more work done without any code
of ethics coverage. There is also the more complex matter of how ethics breaches
are investigated and disciplined and by who, and whether a public register should be
maintained.

6 Ethics Statement

Not applicable. This study is based on publicly available published documentation.

Acknowledgements Not applicable.

Author Contributions Dr David Finnie contributes to conceptualisation, methodology, analysis,

investigation, supervision, and manuscript editing. Dr Naseem Ameer Ali contributes conceptual-
ization. Cameron McKay contributes data collection, draft preparation, and project administration.
Nick Wilson contributed editing.
Funding This research received no specific financial support from any funding agency.

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2024
Mitigating Delay in Construction
Contract Payment: A South African Case
Study

Peter Adekunle, Clinton Aigbavboa, Matthew Ikuabe, Kenneth Otasowie,

and Ornella Tanga

1 Introduction

Delays in contract payments are common in the construction industry and must be
adequately addressed as a result of their frequency [18]. Delays in contract payments
are likely to impede the inflow of capital into the construction industry and have a
negative impact on the project’s net cash flow. As a result, contractors are forced to
seek money to ease cash flow problems. The term “cash flow” describes the move-
ment of money into and out of a construction project over a predetermined time frame,
usually from the beginning to the end of the project. A faster project delivery process,
lower financial risks, and improved working relationships among all stakeholders are
all benefits of effective cash flow management [34]. A proactive financial strategy,
clear contract terms, effective payment procedures, open communication, and a dedi-
cation to fair and on-time payment practices are all necessary to address payment
delays in construction contracts. The construction sector may build a more sustainable
and collaborative atmosphere, lessening financial strain, and encouraging the comple-
tion of successful projects by providing early payment [39]. Payment delays can have
a domino impact on the whole supply chain for the construction industry. Payments to
their own employees and suppliers may be delayed as a result of subcontractors and
suppliers having trouble meeting their own financial commitments. This may cause
payments to be late and relationships to become tense all during the project. Payment
delays in construction contracts can be caused by a number of circumstances. Poor
financial planning by project owners or clients also frequently causes delays in the
release of cash for payment [17]. Delays in processing and disbursing payments
can also be brought on by bureaucratic procedures, complicated payment approval

P. Adekunle (B) · C. Aigbavboa · M. Ikuabe · K. Otasowie · O. Tanga

Cidb Centre for Excellence and Sustainable Construction Management and Leadership in the
Built Environment, Faculty of Engineering and the Built Environment, University of
Johannesburg, Johannesburg, South Africa
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 383
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_25
384 P. Adekunle et al.

processes, and administrative inefficiencies. The construction industry is susceptible

to a system of payment delays, according to a research on payment performance
[20]. The vital lifeblood of the building sector is, in reality, payment. During the
course of the work, it is necessary to pay for preliminary expenses, supplies, labor,
equipment, subcontractors’ work, and general overhead. Any economic transaction
must include payment; without it, no company can operate successfully [4]. This
is important, especially in the construction business since the products are expen-
sive, the building process takes longer, and full payment is provided upon project
completion. According to Taghipour et al. [30], the second biggest operational risk
that contributes to project delays, after financial failure, is delayed payment. Payment
delays frequently lead to delays in material delivery, which reduces worker produc-
tivity in the building industry. This has an effect on construction projects’ success
and, eventually, the industry’s viability. Because of this, studies conducted since the
1960s in developed nations like the United Kingdom, the Netherlands, and other
nations have shown that construction payment concerns are common and have been
a source of concern for many years.
Notably, despite the use of cutting-edge technology and project management prac-
tices, building projects still encounter delays [22]. This is the rationale behind the
interest that scholars have shown in building project delays over time. Construc-
tion projects cannot be completed successfully without the prompt and effective
payment of contractors. Both contractors and project owners must be aware of their
legal responsibilities and ramifications when payments are delayed [15]. Studying
payment delays in construction contracts identifies possible contract gaps or ambi-
guities, enables the creation of fair and balanced contract conditions, and contributes
to the establishment of legislative frameworks that better manage payment-related
concerns. To promote a thriving and sustainable construction environment, it is
crucial to focus on the reduction of payment delay in construction contracts [27].
The construction industry’s biggest cash flow problem, delayed payments, has been
recognized by contractors. Additionally, it places financial strain on contractors,
puts them under pressure to perform, and has a detrimental domino effect on all
other parties involved in construction. It is crucial to design strategies and regula-
tions that improve financial stability, project efficiency, and industry collaboration in
order to eventually benefit all stakeholders in the construction sector. This requires
recognizing the effects of payment delays. Therefore, the research aims to assess
possible mitigation strategies for contract payment delays.

2 Literature Review

A recurrent problem that affects the construction sector globally is late payment
on contracts [35]. Maintaining cash flow, insuring the continuation of projects, and
preserving successful business relationships all depend on contractors, subcontrac-
tors, and suppliers being paid promptly and effectively. The efficient execution of
building projects is hampered by payment delays, which are caused by a variety of
Mitigating Delay in Construction Contract Payment: A South African … 385

circumstances and put a burden on finances. The goal of this study is to investigate
and highlight numerous elements that might successfully reduce payment delays for
building contracts.

2.1 Bond and Guarantees

One of the most popular types of security utilized in the construction sector is bonds
and guarantees. Financial protection against bankruptcy and evidence of the financial
soundness of the entity issuing the bond or guarantee are the two goals that bonds
and guarantees serve in the industry [32]. A third party, known as a bondsman and
typically a bank or insurance firm, guarantees the party’s financial responsibilities
under the terms of the bond in the event that another party’s contractual commit-
ments to the contractor are breached. According to Tang and Zhang [31], a bond is
often issued in exchange for a premium paid to the bondsman. In the construction
sector, bonds and guarantees are typically used to ensure that parties will fulfill their
performance responsibilities, particularly by contractors and subcontractors. These
bonds are primarily divided into performance and payment bonds.

2.2 Prequalification of Construction Parties

Construction parties’ registration and prequalification might be utilized as a safe-

guard against financial loss. According to Braeckman and Markkanen [21], doing
prequalification to evaluate financial capacity and only working with parties that
have a strong financial capacity is one of the greatest approaches to reduce the risks
of delay, non-payment, and financial collapse. Prior to participating in the bidding
process, construction customers generally pre-qualify the contractors for their tech-
nical and financial ability [13]. This aids clients in avoiding working with unqualified,
underfunded, and inexperienced contractors. It serves as a way for the contractor to
get their skills externally audited. Payment to subcontractors is guaranteed if the
clients pre-qualify the contractors.

2.3 Payment Default Insurance

An insurance cover is a contract that obligates the insurer to bear the financial
burden of an obligation or loss covered by the policy [38]. The majority of times,
typical contract forms demand that contractors get particular insurance coverage.
For instance, New Zealand mandates that contractors have construction equipment,
supplies, and contract works insurance [8]. The contractor must also offer insurance
protection against third-party liability risks. If the client or contractor fails to offer
386 P. Adekunle et al.

any security, the contractor might use this to pursue insurance coverage against the
owner’s risk of payment default or insolvency [12]. An alternative to bonding that
could be effective is default insurance. Typically, an insurance provider defends the
contractor against any damages and lawsuits asserted against him or her that fall
inside the policy’s purview. The insurance firm receives a premium in exchange
for providing the protection. To protect losses on the value of completed work, the
contractor might take up a policy with the insurance provider.

2.4 Bankruptcy Notice and Liquidation Proceedings

A bankruptcy notice and liquidation procedures can be used in construction contracts

to recoup payments from clients and contractors [14]. While liquidation refers to a
scenario where a firm is unable to pay its obligations, bankruptcy refers to a situa-
tion where a person is unable to pay his or her debts. The Companies Act of 1993
states that bankruptcy and liquidation procedures may be initiated either voluntarily
by the debtor or involuntarily by the creditors following the issuance of a court
order [5]. Both voluntary and involuntary bankruptcies and liquidations occur in
the construction sector. However, suppliers, subcontractors, and building contractors
are unsecured creditors. There won’t be any money available for distribution unless
they’ve gotten a security in the form of lien rights, payment bond rights, or trust
funds. Additionally, Stef [28] asserted that bankruptcy notification and liquidation
procedures are legal tools that may be used to lessen payment delays for building
contracts when a party is experiencing financial difficulty or insolvency. These proce-
dures offer a way to deal with unresolved payment concerns and look for solutions
when payment delays have grown severe or protracted.

2.5 Remedies for Securing Payment Debt

In the construction sector, remedies for obtaining payment debt are the legal steps and
actions that can be taken to secure the recovery of unpaid invoices owing to suppliers,
subcontractors, or contractors [23]. By giving parties that are having payment issues
or non-payment recourse, these remedies help to reduce payment delays in construc-
tion contracts. It is significant to highlight that depending on the jurisdiction and the
particular contractual arrangements, these remedies may not be available or effective
in all cases [33]. When thinking about and pursuing these remedies, it is essential
to comprehend the relevant legal requirements and contractual clauses. Contractors,
subcontractors, and suppliers are given legal options to ensure payment and manage
payment delays thanks to the existence of these remedies. These remedies serve to
prevent non-payment and motivate parties to promptly meet their financial respon-
sibilities. In the end, they support fair payment procedures, lessen the effects of
payment delays, and build a more equitable and sustainable construction business.
Mitigating Delay in Construction Contract Payment: A South African … 387

2.6 Payment of Stipulated Interest

Payment stipulated interest is the practice of inserting a predetermined interest rate

that is applied to past due payments in the construction contract [1]. It is a clause in
a contract that imposes financial penalties in the form of interest on the outstanding
balance in order to encourage prompt payment. By establishing a cost for late or
missed payments, the addition of payment mandated interest helps to reduce payment
delays for building contracts. Different legal and regulatory criteria or restrictions
may apply to the applicability of paying prescribed interest [19]. In order to ensure
compliance, it is crucial to comprehend the local rules and regulations controlling
interest charges and to speak with legal experts. According to [29] research, including
payment stipulated interest in construction contracts offers a way to reduce payment
delays by rewarding prompt payment, making up for late payments, discouraging
payment delays, fostering fairness, and assisting cash flow management. Payment
specified interest promotes a more equal and effective payment ecosystem within the
construction sector by applying financial penalties for late payments.

2.7 Suspension of Work

A contractual clause known as suspension of work enables a party, usually the

contractor, to temporarily suspend construction activity in reaction to late or non-
payment [6]. By putting pressure on the defaulting party to meet their financial
responsibilities and maintain the smooth continuation of the project, it helps to alle-
viate the delay in construction contract payment. The contractor has a strong instru-
ment to influence negotiations and promote prompt payment: the threat of work
suspension. The contractor can seriously impede the project’s development by stop-
ping construction work, which could result in delays and financial losses for the party
in default [3]. The defaulting party is forced to prioritize payment as a result of this
financial pressure in order to restart work and prevent future project delays. Work
should only be suspended in compliance with contractual requirements, as well as
any applicable laws and regulations.

2.8 Right to Slow Down Work by the Contractor

A contractual clause known as the “right to slow down work” enables the contractor
to purposefully slow down building projects in reaction to late or non-payment of
invoices [26]. By exerting pressure on the defaulting party to pay their debts, it helps
to alleviate payment delays in construction contracts. The contractor applies financial
pressure on the party in default by slowing down work. This purposeful slowdown
in building might affect project schedules, which could lead to financial losses and
388 P. Adekunle et al.

reputational issues for the party defaulting. The financial ramifications of project
delays motivate the defaulting party to prioritize payment in order to resume normal
construction work and prevent additional financial implications [25]. The choice to
halt work should be taken in line with the terms of the contract and any relevant laws
and regulations.

2.9 Eradication of “Pay When Paid” Clause

By transferring payment responsibilities from one party to another, the elimination of

the “pay when paid” provision is a step taken to mitigate payment delays in construc-
tion contracts [16]. According to the “pay when paid” rule, the contractor is normally
only required to pay suppliers or subcontractors once they have been compensated
by the owner or customer. Subcontractors and suppliers are no longer reliant on
the contractor receiving money from the owner before they can be paid because to
the elimination of the “pay when paid” condition [7]. Instead, payment is required
in a reasonable amount of time after the service is finished or as otherwise stated
in the contract. This guarantees fast payment to the suppliers and subcontractors,
preventing delays in their cash flow and allowing them to successfully handle their
financial responsibilities. By guaranteeing fast payment to suppliers and subcontrac-
tors, the elimination of the “pay when paid” condition reduces the risk of payment
delays in construction contracts.

2.10 The Creation of a Right to a Lien

By giving contractors, subcontractors, and suppliers a way to protect their payment

rights, the introduction of a right to a lien is a legal mechanism that may be used to
alleviate payment delays in construction contracts [20]. An official claim or encum-
brance placed on real estate as security for the repayment of a debt is known as a lien.
The ability to file for a lien gives contractors, subcontractors, and suppliers a way
to legally stake a claim on the real estate where construction is taking place in order
to collect their payment. This claim acts as collateral and guarantees that they will
get payment for the labor and supplies they have supplied. According to Hitchner
et al. [11], the presence of a lien serves as a compelling incentive for landowners
or developers to make payments on time in order to avoid any legal repercussions.
A significant strategy for reducing payment delays for construction contracts is the
development of a right to a lien.
Mitigating Delay in Construction Contract Payment: A South African … 389

3 Methodology

Only one hundred and two (102) people answered to a set of one hundred (120)
well-structured questions. This research is thus focused on the 85% of responders.
The primary goal of the study presented in this research paper was to investigate
the many aspects that the South African construction sector uses to reduce payment
delays for building contracts. Primary and secondary data from two sources were
used to get the information. According to Adekunle et al. [2], a well-structured ques-
tionnaire for the main data was created and distributed to a variety of construction
industry experts, including architects, quantity surveyors, construction managers,
civil engineers, mechanical, electrical, and industrial engineers. The criteria utilized
to gauge the causes reducing payment delays for construction contracts were taken
into account using secondary data, which was gathered from a variety of published
sources including books, reports, journal articles, and more. The random sampling
approach was utilized to conduct this study because it gives every component and
group of people an equal chance of being included in the sample. Exploratory factor
analysis (EFA), mean item score (MIS), and standard deviation (SD) were used
to analyze the factors that reduce payment delays for construction contracts in the
South African construction sector. By first establishing their normalcy using the
Shapiro–Wilk test and the reliability of the exploration instrument using the Cron-
bach’s alpha test, the gathered data were deconstructed. Cronbach’s alpha provides
a number between 0 and 1, and the greater the value, the more reliable the data
was collected. The instrument’s dependability is demonstrated by the 10 mitigation
measures’ achieved alpha values of 0.890. Kaiser–Meyer–Olkin (KMO) and Bartlett
test analyses were also used to assess the structural validity of the estimated scale that
was used. Outcome had a KMO value of 0.843 while the Bartlett test had a significant
p-value of 0.000 and an estimated chi-square of 1,7004.19 at a degree of freedom of
300. This result implies that the scale used is appropriate for the assessment it was
designed to make, given the acceptable range for a KMO value is 0.60 or greater and
a p-value for the Bartlett test is less than 0.05.

4 Discussion of Findings

According to the data, men, who accounted for 80.2% of the respondents, were the
ones who received more replies than women, who made up 19.8% of the respondents.
4.5% of respondents were project managers for construction, 15% were managers
of construction, 14.2% of respondents were civil engineers, 13.3% were mechanical
and electrical engineers, 24.5% were quantity surveyors. Furthermore, 49.4% of
responders were consultants and 38.2% worked for contracting organizations. In
total, 12.4% of them were employed by the government as well. Furthermore, while
just 18% of the respondents said they had worked on six or fewer projects, over 82%
of the respondents stated they had completed seven or more projects. He replies were
390 P. Adekunle et al.

reliable and credible since, on average, over 85% of respondents had over five years
of experience in the South African construction industry, very high percentage.
The strategies ranked by respondents for mitigating payment delays in building
contracts in South Africa are presented in Table 1. The first-placed option was “reme-
dies for securing debt payment,” with a mean score of 4.11 and a standard deviation
of 0.764; the second-place option was “payment of stipulated interest,” with a mean
score of 4.03 and a standard deviation of 0.695; the third-place option was “the
creation of a right to a lien,” with a mean score of 3.90 and a standard deviation of
0.797; the fourth-place option was “payment default insurance,” with a mean score
of 3.87 and a standard deviation of 0.942; the fifth-place option was “eradication
of pay when paid clause,” with a mean score of 3.86 and a standard deviation of
0.780. Additionally, the least mitigating factor for the delay in construction contract
payment was “bonds and guarantees,” which ranked sixth with a mean score of 3.81
and a standard deviation of 0.780, “right to slow down work by contractor,” which
ranked seventh with a mean score of 3.63 and a standard deviation of 1.095, “sus-
pension of work,” which ranked eighth with a mean score of 3.59 and a standard
deviation of 0.909, “pre-qualification of construction parties,” which ranked ninth
with a mean score of 3.56 and a standard deviation of 1.147, and “bankruptcy notice
and liquidation proceedings,” which ranked tenth with a mean score of 3.51 and a
standard deviation of 1.091.
According to the report, the most important action that can be taken to reduce
payment delays in construction contracts is remedies for securing payment debt.
The legal steps and actions that can be taken to secure the recovery of unpaid
invoices owing to contractors, subcontractors, or suppliers in the construction sector
are referred to as remedies for obtaining payment debt [24]. By giving parties that
are having payment issues or non-payment recourse, these remedies help to reduce
payment delays in construction contracts. It is significant to note that depending on
the jurisdiction and the particular contractual agreements, the accessibility and effi-
cacy of these remedies may differ. When thinking about and pursuing these remedies,

Table 1 Mitigating measures

Measures MIS SD R
Remedies for securing payment debt 4.11 0.764 1
Payment of stipulated interest 4.03 0.695 2
The creation of a right to a lien 3.90 0.797 3
Payment default insurance 3.87 0.942 4
Eradication of “pay when paid” clause 3.86 0.780 5
Bonds and guarantees 3.81 0.780 6
Right to slow down work by contractor 3.63 1.112 7
Suspension of work 3.59 0.909 8
Pre-qualification of construction parties 3.56 1.147 9
Bankruptcy notice and liquidation proceedings 3.51 1.091 10
Mitigating Delay in Construction Contract Payment: A South African … 391

it is essential to comprehend the relevant legal requirements and contractual clauses.

Contractors, subcontractors, and suppliers are given legal options to ensure payment
and manage payment delays thanks to the existence of these remedies as observed
by Oseni [19]. These remedies serve to prevent non-payment and motivate parties to
promptly meet their financial responsibilities. In the end, they support fair payment
procedures, lessen the effects of payment delays, and build a more equitable and
sustainable construction business.
Using exploratory factor analysis, the ten (10) variables identified from the litera-
ture were factored into two (2) clusters that are thus interpreted based on the observed
inherent relationship among the variables in the cluster. A total of six (6) variables
were loaded onto cluster 1, as shown in Table 2. These variables include “Pay-
ment Default Insurance” (82.4%), “Bonds and Guarantees” (71.5%), “Remedies for
securing debt” (68.8%), “Eradication of ‘pay when paid’ clause” (67.3%), “Payment
of Stipulated Interest” (64.5%) and “Bankruptcy notice and liquidation proceedings”
(61.5%). Therefore, this factor cluster can be termed “Payment Related Factors” with
an Eigen value (E.V) of 7.341 and percentage variance (%V) of 39.348%, making it
a major factor mitigating delay in construction contract payment. In cluster 2, there
are four (4) variables loaded onto it. These variables include “Right to slow down
work by contractor” (72.5%), “Suspension of Work” (68.0%), “Pre-qualification of
construction parties” (62.8%), and “The creation of a right to a lien” (53.9%). The
cluster is therefore labeled “Work-Related Factors” with an Eigen value (E.V) of
3.703 and percentage variance (%V) of 9.364%, making the second major factor
mitigating delay in construction contract payment behind the variables in cluster 1.
The study’s exploratory factor analysis (EFA) found that the best way to prevent
delays in building contract payment is to secure debt payments. [37] assert that

Table 2 Exploratory factor analysis of the mitigating measures

Measures 1 2
Factor 1—payment-related factors E.V = 7.341, %V =
39.348
Payment default insurance 0.824
Bonds and guarantees 0.715
Remedies for securing debt 0.688
Eradication of “pay when paid” clause 0.673 –
Payment of stipulated interest 0.645 *
Bankruptcy notice and liquidation 0.615 /
proceedings
Factor 1—work-related factors E.V − 3.703, %V = 19.34
Right to slow down work by contractor 0.725
Suspension of work 0.680
Pre-qualification of construction parties 0.628
The creation of a right to a lien 0.539
392 P. Adekunle et al.

looking for alternative financial sources to sponsor contract payment is one way
to handle late or non-payment issues between customers and contractors that will
benefit both sides. The contractor should fully understand any payment terms or stip-
ulations in the contract, particularly for certain projects where customers may have
specific requirements that contractors must adhere to in order to be paid. According
to Hasmori et al. [10], contractors must ensure that documentation for payment
claims is comprehensive with sufficient papers before presenting it to clients in
order to prevent payment delays. Additionally, contractors must maintain contin-
uous communication with clients on payment in order to keep them updated on the
status of their payments [37]. A timely approval of compensation events and vari-
ation orders guarantees that any modifications to the initial contract are completed
quickly, reducing hiccups and delays. This supports the conclusions made by Gambo
et al. [9] that setting a minimum number of days to sign payment certificates creates
a defined timeframe for payment processing, lowering uncertainty and facilitating
on-time payments. By establishing a deadline for contractors to file claims, you can
keep projects on schedule and avoid the buildup of backdated claims that might
stymie development. By establishing financial penalties for delays and encouraging
prompt payments, the payment of specified interest encourages timely payments.
By reducing human paperwork and facilitating quicker processing and payment of
bills, using an electronic invoicing system accelerates payment procedures [36]. This
would ensure prompt decision-making and administration by enforcing responsibility
and resulting in disciplinary actions for officials who fail to sign or submit papers on
time.
In addition, the study found that giving suppliers and contractors a legal claim on
the property through the formation of a lien promotes fast payment for services
rendered or materials provided, hence reducing payment delays. According to
Ramachandra and Rotimi [24], payment default insurance gives contractors and
subcontractors financial protection by shielding them against non-payment or default
by project owners or other parties. The “Pay When Paid” phrase must be eliminated
to guarantee contractors’ prompt payment regardless of their higher-tier payment
status. Bonds and guarantees, such as payment and performance guarantees, give
project owners and subcontractors financial protection while reducing risks and
payment delays. By giving the contractor the freedom to slow down work, you may
help them deal with problems like late payments, changes in the design, or unre-
solved disagreements, reducing the impact of such problems on the project’s overall
timetable. Work suspension allows for the temporary halting of construction works
in the case of non-payment, disagreements, or unanticipated circumstances, allowing
for the resolution of problems before moving forward. Pre-qualifying construction
partners reduces the possibility of performance problems and delays by ensuring that
reputable and competent parties are hired. In order to resolve insolvency or finan-
cial issues experienced by construction parties and minimize delays brought on by
such situations, bankruptcy notification and liquidation processes are needed. The
payment process is also accelerated by running payments daily rather than weekly,
shortening the period between invoice submission and payment and minimizing
payment delays. Together, these actions encourage accountability, openness, and
Mitigating Delay in Construction Contract Payment: A South African … 393

efficiency in the payment procedures for construction contracts, greatly decreasing

delays and assisting in the timely completion of projects.

5 Conclusion

Payment delays for building contracts are a recurring problem that affects the
construction sector globally. Maintaining cash flow, insuring the continuation of
projects, and preserving successful business relationships all depend on contrac-
tors, subcontractors, and suppliers being paid promptly and effectively. The efficient
execution of building projects is hampered by payment delays, which are caused by
a variety of circumstances and put a burden on finances. The effective completion
of construction projects and the general health of the construction sector depend
critically on mitigating payment delay under construction contracts. This essay has
examined a number of strategies that may be used to solve this problem and advance
prompt and equitable payment processes. Contractors, subcontractors, and suppliers
have a legal framework to pursue their just reimbursement through the remedies
for securing payment debt, ensuring that their financial interests are safeguarded.
Stipulated interest acts as a financial inducement for timely payment, discouraging
payment delays by placing additional expenses on defaulting parties. Eliminating
the “pay when paid” provision creates fair and timely payment responsibilities while
removing the uncertainty and risk brought on by payment delays. All parties partici-
pating in the building project are given financial protection and assurance via bonds
and guarantees, which lowers the possibility of payment failures. Contractors have
the ability to apply pressure to parties who are in default, encourage payment compli-
ance, and assist dialogue and settlement of payment concerns through the authority to
slow down work and the right to suspend work. Pre-qualifying construction partners
reduces the danger of payment delays brought on by unstable finances by ensuring
that only respectable and financially stable companies are involved in the project. In
situations when the party in default risks financial insolvency, bankruptcy notice and
liquidation procedures offer a way to manage payment concerns. These procedures
allow suppliers, subcontractors, and contractors to recover unpaid fees via the use
of legal procedures while also assisting in the protection of their rights. Contractors,
subcontractors, and suppliers can protect their payment rights, order their claims, and
offer a legal defense in the event of payment delays by establishing a right to a lien.
It encourages property owners and developers to swiftly meet their financial respon-
sibilities and acts as a disincentive against non-payment. By putting these strategies
into practice, parties participating in the construction sector may strive toward a
more equitable and effective payment system, cutting down on payment delays and
maintaining the stability of everyone concerned’s finances. However, it is essential to
understand that each measure has its own unique legal and practical implications. As
a result, each measure must be implemented carefully and must conform to all appli-
cable laws and regulations. Therefore, the results of this study will have substantial
ramifications for project stakeholders, politicians, and professionals working in the
394 P. Adekunle et al.

South African construction industry. This study aims to contribute to the development
of comprehensive and useful solutions that can improve the efficiency, transparency,
and financial sustainability of construction contracts in South Africa by illuminating
the underlying causes of payment delays and highlighting effective mitigation strate-
gies. In the end, it is hoped that the research findings will contribute to the creation
of wise regulations, legal frameworks, and business procedures that may success-
fully reduce payment delays for building contracts. By doing this, this research
hopes to strengthen the South African construction sector as a whole and promote
an atmosphere that is more suited for project completion, economic expansion, and
sustainable development.

Acknowledgements The University of Johannesburg, in particular the Centre for Excellence &
Sustainable Construction Management and Leadership in the Built Environment, is acknowledged
by the authors for its assistance throughout the project.

Author Contributions Peter Adekunle involved in conceptualization, methodology, data curation,

draft writing, and formal analysis.
Kenneth Ottasowie contributed to methodology and review.
Clinton Aigbavboa involved in supervision, resources, and validation.
Matthew Ikua be involved in editing.
Ornella Tanga involved in review.
Funding The authors would like to acknowledge the financial support provided by Global
Excellence Scholarship (GES) 4.0 South Africa, to fund this research.

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Mental Health Interventions
and the Productivity of Construction
Workforce

Merly Grace (Meg) Manago Carillo and Funmilayo Ebun Rotimi

1 Introduction

The mental well-being of New Zealanders is a matter of great importance. Unfortu-

nately, the construction industry has high suicide rates, with one worker taking their
own life every week. Research carried out by McArthur in 2020, shows that mental
health conditions account for 53 out of every 100,000 construction workers’ deaths.
Shockingly, almost 75% of all suicides in 2019 were committed by men, as reported
by the Coroner’s Office and presented to MATES in Construction, New Zealand.
These statistics are concerning, and it is worth noting that New Zealand ranked
69th out of 168 countries in suicide rates in 2022 [44]. Therefore, it is important
to prioritise mental health awareness and support in all industries to prevent further
tragic loss of life. Mental health problems are a significant public health concern
that affects a considerable proportion of the population across all age groups and
cultural backgrounds. Approximately one in four young people in New Zealand are
estimated to be affected by mental illness annually. Mental health problems result in
significant social and economic costs, such as reduced productivity, increased health-
care expenses, and a decreased quality of life for individuals and their families [42].
Mental health interventions aim to prevent, treat, or manage mental health disorders
and enhance individuals’ quality of life.
According to recent statistics, the construction industry in New Zealand has been
struggling with a high rate of suicide cases. Despite receiving a funding boost in 2019,
concerns have been raised about the effectiveness of mental health interventions
since then (The Guardian 2021). While various measures have been put in place to
improve the well-being of industry members, their impact on mental health has not
been adequately assessed. In 2016, New Zealand prioritised mental health as part of

M. G. M. Carillo (B) · F. E. Rotimi

Built Environment Engineering, Auckland University of Technology, Auckland, New Zealand
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 397
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_26
398 M. G. M. Carillo and F. E. Rotimi

employer health and safety measures to ensure a safe workplace. However, despite
being aware of the high suicide rates in the industry, programs and actions aimed
at addressing this issue have not been thoroughly evaluated for effectiveness [27].
Consequently, it is imperative to perform a new evaluation of present treatments for
mental health.
MATES in construction is a program established in Australia to provide support
for employers and employees struggling with the high suicide rate in the construction
industry [22]. Despite the program’s launch in 2008, the number of suicide cases has
continued to increase, and the industry has the highest number of suicide cases. It
is projected that the suicide rate will increase by 42% in 2022 [38]. The COVID-19
pandemic has exacerbated the situation, leading to burnout among workers who are
10–20 times more likely to be at risk, pushing every worker to the brink of mental
health [11].
Despite the government’s efforts to improve mental health services, accessing
effective mental health interventions remains a challenge. The shortage of mental
health professionals, coupled with high demand of their services, and inadequate
funding create significant obstacles. It is imperative to address these challenges to
provide effective mental health interventions to construction workers and prevent
further loss of life. To this end, this study aims to investigate the effectiveness of
current mental health interventions in New Zealand. The objective of this study is to
set a benchmark for measuring progress by prioritising mental health.

2 Literature Review

The mental health of construction workers is significantly influenced by substance

abuse, such as drugs and alcohol, often used as a coping mechanism for stress and
personal issues [21]. This maladaptive behaviour exacerbates their mental health
problems and poses serious safety risks on construction sites. Moreover, conflicts
arising from generational differences within the industry further impact mental well-
being. Research conducted in some countries, like the United States and Canada
highlights the challenges faced by different generations working together, including
communication breakdowns, clashes of work values, and resistance to change [41].
All these conflicts can contribute to heightened stress levels and emotional strain,
ultimately affecting mental health outcomes. Gaining access to suitable mental health
care is a challenge faced by many people across various industries around the
world. This includes stigma that discourages workers from seeking help and support.
According to a study conducted in the United Kingdom, construction workers’ poor
mental health can be attributed to shame associated with masculinity and lack of
self-compassion. This is further complicated by the fact that construction workers
are often unaware of the resources available to them and face financial constraints.
The physically demanding nature of construction work, with long hours, intense pres-
sure, and exertion, leaves little time and energy for workers to focus on their mental
Mental Health Interventions and the Productivity of Construction … 399

well-being. Numerous measures have been taken worldwide to tackle these diffi-
culties. Construction companies in New Zealand, Australia, Sweden, and Singapore
have established confidential counselling and support services for their employees
through employee assistance programs [19]. Additionally, partnerships with mental
health organisations have been formed to promote early intervention and provide
personalised services for construction workers. Awareness campaigns are also being
conducted to raise awareness about mental health issues in the industry. New Zealand
has specifically tailored interventions for construction workers, focussing on mental
health literacy, early intervention, and customised services [29]. A healthier and
more supportive work environment can be established by understanding the factors,
removing barriers, and implementing suitable interventions. This review section
will explore the research and evidence related to mental health challenges and
interventions in the construction industry.

2.1 Factors Affecting the Mental Health of Construction

Workers

The mental well-being of construction workers is a significant concern, and substance

abuse is a key factor that affects their health. A report by WorkSafe in 2014 indicates
that as many as one in five employees in the construction industry were found to
be under the influence of drugs and alcohol [4]. This alarming statistic reveals the
prevalence of substance abuse in the field and its potential impact on the safety
of workers and the general public. Further analysis of coroner’s files shows that
individuals who were intoxicated at the time of their deaths accounted for 37.3% of
suicide cases among workers in the industry, with 9.3% under the influence. These
findings suggest that substance abuse and mental health issues are closely linked,
and it highlights the need for intervention and support for workers in the construction
industry. Research by Bryson and Duncan [2] indicates that substance abuse may be
a form of self-medication for construction workers dealing with stress and personal
issues. The high-pressure environment of the construction industry, coupled with long
hours and physical demands, can lead to stress, anxiety, and depression. Without
proper support and resources to manage these mental health issues, workers may
turn to substance abuse as a coping mechanism. Ensuring the well-being and safety
of construction workers and the public is of utmost importance, and addressing
substance abuse and mental health within the industry is a step towards achieving this.
By providing accessible resources and support, it is possible to empower workers to
manage personal issues and stress in healthy ways, thus reducing the risk of substance
abuse and its associated dangers.
Another factor contributing to the mental health challenges is the generation gap,
which leads to differences in opinions and expectations within the field. Reference
stated that intergenerational issues affect the relationship between older and younger
400 M. G. M. Carillo and F. E. Rotimi

workers, potentially causing conflicts or problems in the workplace. Bryson and

Duncan [2] further explained that younger generations tend to be more sensitive,
seeking positive feedback, while older workers are more receptive to direct feed-
back. Substance abuse, including drugs and alcohol, significantly affects the mental
health of young Australian workers in the construction industry, with higher levels of
psychological distress and drug use compared to the norms for their age and gender in
the general Australian population. In the Hong Kong construction industry, trades-
people experience high-stress levels, which can negatively impact mental health,
organisational efficiency, and safety compliance. Therefore, it becomes crucial to
learn effective stress management techniques to prevent mental health issues.
Construction apprentices face various challenges, including workplace bullying,
suicidal behaviour, and suicidal thoughts [36]. The demands associated with
construction work can have detrimental effects on the psychological well-being of
professionals in the field, according to. The construction industry in the United States
has a higher risk of suicides than other industries, with 53.2 suicides per 100,000
construction workers, the highest recorded among all industries, according to Schultz
[37] and the Centers for Disease Control and Prevention. Hashem [12] revealed that
construction workers in the USA experience four times the average suicide rate of the
general population [12]. Recently found that 49.4% of male construction workers
surveyed expressed suicidal ideation, significantly higher than combined reports
from other industries. It is crucial to address these mental health challenges and
learn effective stress management techniques to prevent mental health issues in the
construction industry.

2.2 Barriers to Access to Mental Health

In order to establish good mental health intervention, there are a number of obstacles
to overcome in the country, including insufficient funding, lack of staff, negative
attitudes, and cultural dissimilarities [17]. One of the primary hindrances to effec-
tive mental health intervention in New Zealand is the lack of funding. The mental
health system in the country has historically been underfunded, resulting in a scarcity
of resources and limited access to services for those who require them. While the
government vowed to increase funding for mental health services in 2018, many
experts believe that more needs to be done. Due to inadequate funding, mental health
services frequently lack the resources to provide timely and appropriate care, which
can result in poor patient outcomes.
Another significant barrier to good mental health intervention in New Zealand is
workforce shortages [5]. There is a shortage of mental health professionals in the
country, including psychiatrists, psychologists, and other mental health practitioners
[25]. This shortage can result in long appointment wait times and difficulty accessing
appropriate care. The shortage is particularly acute in rural areas, where fewer mental
health professionals are available to serve the population.
Mental Health Interventions and the Productivity of Construction … 401

Some individuals may lack proper education and awareness to recognise the signs
and symptoms of mental health issues, which can result in the delayed or absent
seeking of assistance until the condition worsens [21]. Insufficient knowledge can
lead to misunderstandings about mental health, such as the belief that it signifies
weakness or that it cannot be treated [24]. Such misunderstandings can hinder people
from obtaining assistance despite it being available.
In New Zealand, mental illness stigma remains a significant obstacle to effective
mental health intervention [26]. Despite efforts to reduce stigma, many people still
hesitate to seek help for mental health issues due to shame or embarrassment. This
reluctance to seek treatment can lead to worsening symptoms and poorer outcomes.
Moreover, stigma can make it more challenging for mental health professionals to
provide care, as patients may be less likely to disclose their symptoms or seek help.
To create a supportive work environment, it is important to reduce the stigma around
mental health, which has been identified as an effective way to lower suicide rates
in the workplace [24]. A study conducted by Harvard Business Review revealed that
mental health concerns have led to a significant increase in attrition rates, with 50% of
voluntary or involuntary resignations occurring due to mental health-related issues.
This highlights the importance of addressing mental health issues in the workplace,
as they can impact various aspects of work and lead to significant financial and project
delays. Construction workers, in particular, are vulnerable to the effects of stigma
in the workplace, as it is a major factor affecting their mental health, according to a
study by Eyllon et al. [7]. Therefore, it is essential for both employees and employers
to understand how to address mental health issues in the workplace. Finally, cultural
differences can also be a barrier to good mental health intervention in New Zealand.
The country has a diverse population, and mental health professionals must be able
to provide care that is sensitive to the needs and beliefs of different cultural groups.
This can be challenging, as mental health professionals may not always have the
necessary cultural competence to provide effective care.

2.3 Addressing Mental Health Challenges

in the Construction Industry: Initiatives
and Interventions

In New Zealand, BRANZ is an organisation that focuses on creating innovative

solutions for building performance. One concern that they addressed was the high
rates of suicide within the construction industry, leading them to conduct a study
to determine the factors that contribute to employees’ mental health. Bryson and
Duncan [2] found that a toxic belief in masculinity, or a “macho” culture, resulted in
bullying, alcohol and drug abuse, and differing ages, all of which negatively impacted
the employees’ mental health. Currently, BRANZ is conducting further research to
identify the demographics in the statistics.
402 M. G. M. Carillo and F. E. Rotimi

Remote work locations can cause difficulties for construction workers seeking
mental health support services, potentially contributing to mental health problems
[19]. Strategies such as promoting a healthy work–life balance, increasing access
to support services, and improving communication between workers and managers
have been shown to reduce mental health issues among construction workers and
improve their overall well-being.
MATES program targets mental health issues among construction workers. The
program provides on-site training and management support to workers, helping them
identify and manage risks to their mental health. These activities aim to build stronger
relationships within construction companies and improve employees’ mental health,
despite the industry being male-dominated. Additionally, Site Safe offers health and
safety programs for construction workers, providing at least 40 credits in Site Safe
programs and recognition from the New Zealand Qualification Authority. Reference
[15] recommends implementing practices such as mental health first aid training,
daily work in the company and community, and access to employee assistance
programs (EAPs) to improve mental health interventions in the construction industry.
Mental health first aid training is crucial in the construction industry to recog-
nise symptoms of mental health issues and address them promptly. Kime [15] also
suggests offering insurance policies that cover mental health. EAPs provide workers
with easy access to the right resources to address their concerns or problems and
manage their mental health issues.
In the construction industry, the L.E.A.R.N., Look for signs, Empathise and listen,
Ask directly about suicide and Reduce the dangers, and Next Steps, is an approach
can be a valuable tool for suicide prevention [43]. According to Kime [15], this
approach helps workers prepare for personal challenges. The University of Wash-
ington [43] provides information on identifying warning signs of suicidal behaviour
and offers a toolkit for prevention. Also, Kime [15] emphasises the importance of
mental health assessment resources for construction employers to identify areas
where employees may need support. The Mental Health Assessment Program offers
diagnoses and evaluations, enabling employers to provide appropriate assistance to
industry workers called the light program in 2017.

2.4 Common Mental Health Interventions in New Zealand

[27]

In New Zealand, various interventions are available to help individuals improve their
mental and emotional well-being. These interventions are commonly used to treat
different mental health conditions. Here are some details about each intervention
(Georgetown Behavioural Hospital 2023):
1. Cognitive-Behavioural Therapy (CBT): This talk therapy helps individuals iden-
tify negative thought patterns and behaviours and replace them with positive
ones. It is often used as a first-line treatment for anxiety and depression.
Mental Health Interventions and the Productivity of Construction … 403

2. Acceptance and Commitment Therapy (ACT): This intervention focuses on

helping individuals accept their thoughts and feelings while also committing to
making positive changes in their behaviour. It is commonly used to treat anxiety
and depression in New Zealand.
3. Mindfulness-Based Stress Reduction (MBSR): This program teaches individuals
to focus on the present moment, reduce stress, and promote relaxation. It is often
used to help individuals manage chronic pain and other physical and mental
health conditions.
4. Dialectical Behaviour Therapy (DBT): This intervention helps individuals
manage their emotions and improve their interpersonal relationships. It is
commonly used to treat borderline personality disorder and other mental health
conditions.
5. Family-Based Therapy (FBT): This intervention involves family members in the
treatment process to help individuals recover from mental health conditions. It is
commonly used to treat eating disorders and other conditions that affect family
dynamics.
Effective and evidence-based treatments are available for different mental health
conditions through these interventions. To identify the most suitable intervention
for individual needs, it is important to seek the guidance of a mental health expert,
keeping in mind that everyone’s mental health journey is distinct, and the most
effective approach will vary based on their situation and requirements. It is always
recommended to consult with a qualified mental health professional to determine the
best intervention.

3 Research Method

The objective of this study is to evaluate the efficacy of existing mental health inter-
ventions in New Zealand. It aims to examine the strengths and weaknesses of these
interventions, with a particular emphasis on their impact on an individual’s mental
health and well-being. The goal is to raise awareness and encourage the development
of better intervention strategies. To accomplish this, an extensive literature review
was first conducted to identify various intervention approaches and the barriers that
hinder their success. Subsequently, in the research process, we conducted a pilot
survey employing a semi-structured questionnaire. This survey targeted a diverse
group of professionals in the construction industry, encompassing architects, site
managers, project managers, quantity surveyors, designers, office managers, and
workers. The participants were selected through a randomised process facilitated
by MS Excel. The pool of potential respondents was drawn from a comprehensive
database of individuals who had either undergone mental health interventions or had
direct experiences with and observations of mental health issues in New Zealand
from 2018 to 2023.
404 M. G. M. Carillo and F. E. Rotimi

In total, eight (8) questionnaires were deemed usable and formed the basis of our
pilot survey. This preliminary investigation aimed to refine and validate our survey
instrument, ensuring its effectiveness in capturing valuable insights from a broader
sample in subsequent phases of the study. The small initial sample size allowed for
critical adjustments to be made to the survey tool, enhancing its suitability for the
larger-scale data collection that followed.
A mixed-method approach that employed both quantitative and qualitative tech-
niques was adopted. This aimed to understand the experiences of individuals with
mental health issues and the effectiveness of the interventions they received. Statis-
tical methods were used to identify any significant differences in outcomes between
different types of interventions, barriers to good mental health, and thoughts on
mental health. Both descriptive and statistical analyses were employed.
Descriptive analysis was used to better understand the characteristics and distribu-
tion of data and describe datasets, such as identifying anomalies. This study collected
data on the participants’ height and thoughts, with measures of central tendency,
measure variability, frequency distribution, and percentiles. Statistical analysis was
used to summarise the data and offer a clear presentation of essential elements,
creating a diagram that represented components and the relationships between them.
This was then used to analyse the behaviour of the system to identify any poten-
tial problems or inefficiencies and to design improvements or modifications to the
system. The data were coded and entered into Excel accordingly [39]. This study aims
to determine the level of awareness of mental health intervention in New Zealand.
By doing so, it seeks to educate the public and enhance their understanding of the
availability, barriers, and effectiveness of mental health interventions.

4 Data Analysis

The semi-structured survey questionnaire contained five sections, with four being
the main sections. These sections covered demographic information, identifying
current mental health interventions, identifying the effectiveness of mental health
interventions, barriers to good mental health treatment, and recommendations for
improvement. The questionnaire also touched on other topics that are not relevant to
the current paper. Respondents were asked to rate their responses on a Likert scale
ranging from strongly disagree (5) to agree (1) strongly.
Demographic Data
Demographic data were collected from survey participants, including age, identity,
years of experience in the New Zealand construction industry, employment status,
location, highest qualification, and the job title. From this data, participant profiles
were created. The survey results showed that feedback was provided by project engi-
neers (25%), quantity surveyors (12.5%), office managers (25%), and construction
workers (37.5%). The majority of participants (62.5%) had 6–10 years of experience
Mental Health Interventions and the Productivity of Construction … 405

in the industry, while 37.5% had less than five years of experience. All of them are
currently staying and working in full-time employment in Auckland. The majority
of the participants (62.5%) are male and 37.5% are female. Lastly, the majority of
the participants (62.5%) have a degree level of education, while 25% are diploma
holders and 12.5% have the highest level of education (postgraduate).

4.1 Thoughts on Mental Health Intervention

Participants were presented with four mental health interventions identified from the
literature and indicated their agreement on a five-point scale (1 being strongly agree
and 5 being strongly disagree). The survey found that the belief of the respondents
to the mental health intervention and the activeness of the currently available inter-
vention are both sitting in the median. It shows that people are just relying on what
they are aware to be available in their environment. While more people agree that
companies should be held accountable and allocate a budget for mental health inter-
ventions for their employees as part of their responsibilities and to protect employee’s
well-being (Fig. 1).

Fig. 1 Survey on thoughts on the mental health intervention

406 M. G. M. Carillo and F. E. Rotimi

Fig. 2 Survey on the availability of the types of mental health intervention

4.2 Availability of the Types of Mental Health Intervention

According to this survey, many common types of mental health interventions are
not readily available or openly discussed within the community. This is problematic,
as these interventions can become a waste of resources and funding if they are not
accessible to those who need them (Fig. 2).

4.3 Effectiveness of Mental Health Intervention

According to this graph, a growing number of individuals are facing mental health
challenges, and their recovery process is slow. As a result, there is a general consensus
that mental health interventions are helpful, but currently available interventions are
only moderately effective. This indicates that there is still a long way to go if we
want to make significant progress in addressing mental health concerns (Fig. 3).
Mental Health Interventions and the Productivity of Construction … 407

Fig. 3 Survey on the effectiveness of mental health intervention

4.4 Barriers to Having Good Mental Health Intervention

The results indicate that most people believe mental health interventions should be
prioritised despite many individuals having limited knowledge or feeling ashamed
to discuss the topic, particularly within culturally diverse communities (Fig. 4).

4.5 Improvement of Mental Health Intervention

This graph illustrates the eight factors that can enhance mental health interventions.
These factors include opportunities for improvement, raising awareness, mandating
employee education, reviewing government policies and implementation, providing
government support, promoting better employment, creating a healthy environment,
and tailoring interventions to meet individual needs (Fig. 5).
408 M. G. M. Carillo and F. E. Rotimi

Fig. 4 Survey on the barriers on having good mental health intervention

Fig. 5 Graph on the factors

that help to improve mental
health intervention

5 Discussion

This research is valuable in identifying the specific requirements of the community

and proposing solutions to enhance mental health and well-being. By tackling factors
that cause poor mental health or even suicide in workplaces and environments, it aims
Mental Health Interventions and the Productivity of Construction … 409

to improve the quality of life for individuals. Previous literature has also stressed the
significance of addressing cultural and social aspects that contribute to mental health
issues [31]. This study supports the previous research by emphasising the importance
of enhancing existing interventions and implementing targeted solutions backed by
empirical evidence [31].
There are several cultural and social factors that contribute to poor mental health
in the industry. These include excessive workload, cultural norms of working over-
time, tight deadlines, work superiors’ communication styles, sexism, discrimina-
tion, lack of freedom, language barriers, misjudgement, suicidal thoughts, igno-
rance, fear, and the influence of religion or family background. However, effective
mental health support services in New Zealand have been identified. These include
internet portals or websites, government promotion of work–life balance, government
hotlines, companies offering flexible working hours and events, private organisations
offering mental health support, local GPs or clinics, employee assistance profes-
sional services (EAP), non-government campaigns on mental health awareness, and
school-based mental health programs.
In addition, several factors were discovered that hinder people from accessing
mental health support or services. These include budget constraints, reluctance to
acknowledge personal issues, conflicting thoughts and emotions, time constraints
due to work and personal obligations, communication difficulties, negative outlook
on life, and difficulty in identifying or expressing concerns. These hindrances have
consistently been reported as obstacles to mental health services and are in line with
the existing literature on the subject. This study provides empirical evidence that
reinforces the need for targeted interventions to address these issues.
Furthermore, this study aligns with most of the existing literature, highlighting
the importance of creating supportive environments and empowering individuals to
take an active role in their mental well-being. The research confirms and extends
the current knowledge on mental health interventions in New Zealand, identifying
cultural and social factors that affect the effectiveness of support services. Recom-
mended strategies include increased government funding, comprehensive implemen-
tation of interventions in various aspects of society, encouraging open communi-
cation, team-building activities, regular talks that provide confidence or support,
problem-focused solutions, root cause analysis, education on time and emotional
management, lifestyle changes, and fostering a caring environment for self-recovery
or self-care.

6 Conclusion

This research contributes to the current knowledge on mental health interventions

in New Zealand by providing valuable insights into the cultural and social factors
that affect mental health, due to the country’s diversity. Effective support services,
such as internet portals and work–life balance campaigns, are available to promote
awareness of mental health from families, companies, and the government. The study
identifies several barriers that prevent access to good mental health interventions,
410 M. G. M. Carillo and F. E. Rotimi

including inadequate funding, cultural differences, and a shortage of mental health

professionals, resulting in long waiting times for services. This lack of awareness
disrupts the continuity of care for individuals with mental health disorders. Despite
government efforts to improve mental health services, many individuals still struggle
to access effective interventions.
Mental health interventions are essential for improving the well-being of individ-
uals with mental health problems, but addressing these barriers requires a collabo-
rative effort from policymakers, mental health professionals, and the public. There-
fore, this research will help inform policies and practices that enhance the efficiency
and effectiveness of the mental health system, with recommendations for improving
mental health in New Zealand. The findings highlight the need for up-to-date evalua-
tions of existing mental health interventions to ensure their validity and meet the needs
of those who require them. Future interventions should focus on increasing acces-
sibility, implementing evidence-based interventions, addressing cultural considera-
tions, and prioritising prevention. By doing so, mental health services in New Zealand
can effectively provide inclusive care to those in need.
Although this research provides valuable insights into potential barriers to mental
health interventions, the small sample size limits its ability to generalise the effec-
tiveness of these interventions in the construction industry without further investi-
gation in other regions. However, the study’s findings shed light on the effectiveness
of current interventions and their impact on work and well-being. To ensure more
robust generalisations, it may be beneficial to explore other fields of research, such
as health and psychology, which offer more diagnostic approaches than survey data.
To enhance the study’s rigour, future research could include a more extensive
and diverse sample, encompassing construction workers from various ethnic and
cultural backgrounds. Additionally, incorporating open-ended questions to gather
more profound qualitative data and exploring alternative data collection methods
like in-person interviews or focus groups could be considered. Despite its limitations,
this study serves as a significant starting point for investigating the effectiveness of
mental health interventions in New Zealand.

Acknowledgements Not applicable.

Author Contributions Meg Carillo contributes to conceptualisation, methodology, software, vali-

dation, analysis, investigation, data collection, draft preparation, visualisation, and project adminis-
tration. Funmi Rotimi contributes to conceptualisation, methodology, software, validation, analysis,
investigation, data collection, draft preparation, manuscript editing, visualisation, supervision, and
project administration. All authors have read and agreed with the manuscript before its submission
and publication.
Funding This research received no specific financial support from any funding agency.

Ethics Statement Not applicable.

Mental Health Interventions and the Productivity of Construction … 411

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Traditional Architecture: A Natural
Disaster Resilient Alternative

Naomaan Riyaz, Mohamed Elkharboutly, and Suzanne Wilkinson

1 Introduction

Post-disaster reconstruction initiatives face some common hurdles around the world.
Hurdles such as scarcity of materials and financial constraints have been highlighted
in scholarly work [50]. Another critical hurdle arises from the shortage of skilled
labour [43]. Also, other challenges that emerge in post disaster reconstruction are
the neglect and non-involvement of the affected communities. These collective chal-
lenges invariably result in constructing houses that do not fit the geographical or
cultural requirements of the affected communities and these inadequacies lead to
abandonment of these houses [16].
Traditional building methods have been used for thousands of years; the building
system varies according to its surrounding environment, even in the different regions
of a country. The house features, design, material used, and construction techniques
are all influenced by the nature of the surrounding area and the resources avail-
able [32]. Throughout the years, the traditional building methods were subjected
to continuous modifications and improvements to make them adaptable to different
environmental conditions and socio-cultural and livelihood changes, for example,
the traditional Malay house in Malaysia has been progressively changed to create a
modern energy-efficient housing and the traditional house has been entirely replaced
[29].

N. Riyaz (B) · M. Elkharboutly · S. Wilkinson

Massey University, Auckland, New Zealand
e-mail: [email protected]
M. Elkharboutly
e-mail: [email protected]
S. Wilkinson
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 415
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_27
416 N. Riyaz et al.

Some of the traditionally built houses sustained and showed impressive perfor-
mance, surviving natural hazards with either minor or no damages like the Dhajji-
Dewari and Bhatar houses during the Pakistan 2005 earthquake [32], the Himis house
in the Turkey 2011 earthquake [51] and the Rajbanshi & Ghumauro house, the Nepal
earthquake 2015 [22].
However, the traditional houses did not resist natural disasters in other cases, like
the destruction of traditional adobe houses in Iran after the Bam earthquake [38].
But, it is not always the traditional method of building that was to blame. In some
cases, the housing damages were due to a poorly built version of the original design
due to several factors, some of which are the infrequent disasters and poor economic
situations like the case of traditional houses in Alto Mayo, Peru [53].
To achieve the objective of this study, an extensive review has been done of various
traditional building methods in different areas and locations subjected to different
varieties of natural hazards.

2 Traditional Building Methods

As Langenbach [34] described, traditional architecture has evolved from human

observation and experience over hundreds of years. Traditional architecture always
incorporates construction using natural materials that exist in the local area, ensuring
the sustainability of the building [32]. It is also distinguished by reflecting the local
community’s requirements in the housing interior and exterior features and its struc-
tural ability to withstand the most prevalent natural hazard in its geographic location
[53]. After the Kashmir earthquake of 2005, the performance of the traditional houses,
locally known as “Dhajji-Dewari”, was outstanding compared to the modern ones
[34] and other traditional houses in Kashmir, known as the “Bhatar” performed well
during the earthquake [47]. During the 2015 Nepal earthquake, traditional houses’
performance was the same as in Kashmir [8]. In Turkey, after the earthquake in
2006, the traditional house called the “Himis” survived the earthquake with minor
damages compared to the modern concrete houses destroyed in the area affected by
the earthquake [2].

3 Research Method

This paper is about traditional disaster-resilient architecture, which has passed the test
of time worldwide. Previously published research related to traditional architecture in
different parts of the world was reviewed to build the case for this paper. Published
literature on traditional houses representing a specific type of sustainability was
analysed. These research papers on different types of construction were studied for
composition, the material used, technology and the sustainability of the construction.
Traditional Architecture: A Natural Disaster Resilient Alternative 417

Published literature on different construction methods was assessed for the

performance of the construction during disasters like earthquakes, cyclones, and
floods.

4 Findings and Discussion

In this section, traditional houses that have survived different natural hazards will
be discussed with a focus on the building material, the construction method used
and the houses’ unique features that enhanced their performance during the natural
hazard.

4.1 Dhajji-Dewari, Kashmir

On the 8th of October 2005, a 7.6 magnitude earthquake struck Northern Pakistan
and the Kashmir valley, causing widespread havoc and damaging and destroying
over 400,000 houses [18]. The Dhajji-Dewari traditional houses, as shown in Fig. 1,
survived the earthquake with minor or no damages [34]. The houses all are typically
single-storeyed houses with pitched roofs, but also in some areas, the Dhajji-Dewari
would go up to six-storey houses [4].

4.1.1 House Features

The Dhajji-Dewari has unique construction features that make it an earthquake-

resistant house. The Dhajji-Dewari is a timber-brick masonry construction that
consists of a timber frame with diagonal bracing members. The frame is infilled
with brick and mud mortar to create a patchwork masonry that divides the wall into
small panels instead of one large unit, which has performed better in earthquakes
[32].
The construction and relevance of individual components of the construction are
defined below.

Roofs

The roofing system comprises timber trusses enveloped by metal, asbestos, cement,
or plastic corrugated roof sheets. Typically, the roofing system is constructed with
timber A-frame trusses spanning across primary timber columns, although there
are exceptions to this pattern. At times, the timber trusses extend between primary
beams rather than columns. These timber trusses are commonly arranged in a gable
roof configuration. In contrast, hipped roofs are considered even more favourable
418 N. Riyaz et al.

Fig. 1 Dhajji-Dewari house

in Srinagar Kashmir, India
[34]

due to their superior overall rigidity compared to roofs with gable ends, avoiding the
masonry for gable ends. In the traditional approach, rough-cut purlins were employed
to bridge the gaps between the roof trusses, upon which wooden roof tiles known as
shingles were placed as weather-resistant surfaces. However, in more recent times,
the roof covering has transitioned to a variety of sheeting materials such as metal,
asbestos, cement, or plastic corrugated sheets [25, 26].
Dhajji-Dewari roofs are designed to withstand the challenging weather of the
region of Kashmir, especially snowfall. The slanting design of the roof allows the
snow in winter to slide off, preventing excessive accumulation and potential structural
damage [26].

Walls

The most significant feature of the construction method is the walls. These are mainly
responsible for earthquake resistance. The walls are timber braced with stone or brick
masonry infilled with mud as the binding Material [26]. The walls comprise a timber
frame with cross bracings, helping resist the shear force. The cross-bracings provide
Traditional Architecture: A Natural Disaster Resilient Alternative 419

triangular stability to the structure, which means that at the time of the earthquake, the
three forces of compression, tension and shear are distributed evenly by the frame [3],
fulfilling the functional requirements of enclosing and partitioning and the structural
requirements. The gaps in between the timber bracings are filled by mud mortar with
brick or stone. And then, the whole wall is plastered with mud to give it a finished
look [23].
The joints of the wooden frame are created with interlocking joints, creating a
stable and cohesive structure.

Foundation

Typically, Dhajji-Dewari buildings have a shallow foundation as a strip footing just

around the base of the timber frame [26]. This base is made mainly of semi-dressed
or rubble stones. Sometimes, the foundation can be a few feet high, depending on
the slope of the land or the amount of snow that the area receives during winter [26].
The stones used in the foundation also provide damp proofing from the groundwater
seepage, which could make the timber damp, compromising the structural integrity
of the timber frame. Traditionally, no anchorage was used between the foundation,
helping to provide base isolation. But if the building is on a slope, the building is
fixed to the foundation to stop rolling over in case of a seismic event [26].

4.1.2 Building Material

The materials used in the Dhajji-Dewari construction are available locally and
quickly. In the Indian side of Kashmir, the infill is brick because of the abundance
of clay. The mud mortar is sometimes strengthened by adding lime, shredded grass,
or pine needles. This also helps in avoiding shrinkage. The timber for the frame is
traditionally made of the fine-grained wood of the deodar (cedar wood) available
locally. It has a reputation for being resistant to rotting and has tremendous strength.
The longevity of the Dhajji-Dewari construction is based primarily on the strength
and health of the timber, and deodar has been proven to be successful in lasting longer
and healthier [26].
The same destructive earthquake of 2005 also affected the Pakistani-administered
part of Kashmir province. The Pakistani government reported destroying over 80%
of houses in rural areas. According to the report on the Kashmir earthquake by Earth-
quake Reconstruction and Rehabilitation Authority, the EERI, in 2005. The collapsed
structures consisted mainly of earthen walls, unreinforced stone or concrete blocks,
masonry and concrete frames with masonry infills. Among the surviving structures
was the Taq or Bhatar vernacular [28]. The Bhatar, as it is called in Pakistan, is known
as Taq in Kashmir [33]. It is a traditional construction system adopted in some parts
of the Northern Pakistani Areas, including Kashmir. The Bhattar construction is a
different type of Dhajji-Dewari, and it was used in some high-profile heritage sites in
420 N. Riyaz et al.

Fig. 2 Bhatar House in

Pakistan [45]

North Pakistan, like the Baltit and Besham Fort, as well as many other historic houses
and temples that survived the devastating October 2005 earthquake [47] (Fig. 2).

4.1.3 House Features

The Taq or the Bhattar construction has hefty and load-bearing masonry walls divided
horizontally by wood runners that look like ladders. These ladder like structures serve
to connect the walls seamlessly to the floors and the entire structure is bonded together
by the substantial weight of the stone masonry [32].
The construction and relevance of individual components of the construction are
defined below.

Roofs

The Taq has a heavy, pitched roof built on top of the walls, with wooden rafters and
purlins, initially covered with slates or wooden shingles. The trusses used are heavy
and not sawn to add to make the house heavy and hold the walls together. The roof
sits on a timber ring on all the walls around the building, the same as the rest of the
house. The roof in the houses is an individual and isolated element of the construction
that acts as a diaphragm under seismic loads [14].
Traditional Architecture: A Natural Disaster Resilient Alternative 421

Fig. 3 Ghumauro Dhi construction in Nepal [21]

Walls

Its construction involves thick stone walls reinforced by horizontal timber runner
beams that look like ladders, and in some structures, weak mud mortar is used to bind
the stone [47]. The horizontal timber beams are equally spaced vertically, providing
a solid corner connection and forms with the timber lacing a stable structure that is
capable of withstanding seismic activities. The timber beams used in that construction
do not form complete frames like Dhajji-Dewari, instead, these runner beams rest
all along the stone or brick masonry of the house. The weight of the masonry on the
runner beams helps to prestress the walls making them ready for resistance to the
lateral forces of an earthquake [35]. The masonry of the walls is usually limestone,
found in the northern regions of Pakistan. These rocks of different sizes are compacted
together [35].

Foundation

The foundation in the Taq house is the same as Dhajji-Dewari. These houses are
generally built on a shallow strip foundation by hand digging the ground about
100 mm deep [10]. The base of the foundation is made mainly of semi-dressed
or rubble stones, as in Fig. 3. Sometimes the foundation can be a few feet high,
depending on the slope of the land or the amount of snow that the area receives
during winter [26].
422 N. Riyaz et al.

4.1.4 Building Material

All the materials used for constructing the house are collected from the surrounding
local environment. The material used involves timber and stone, and the properties
and strengths of these materials differ depending on the location of the house. The
most commonly used timber is Deodar or Cedar, widely acknowledged for its quality,
strength, and durability. This timber is readily available in the region. The stone
commonly used for the construction are limestone and sandstone [10].

4.2 Ghumauro Dhi, Nepal

In April 2015, a devastating earthquake struck central, eastern and western Nepal.
Around 500,000 houses either collapsed or were partially damaged. According to
the Post Disaster Need Assessment, most of these houses were low-strength masonry
structures, reinforced concrete framed structures [5].
In the Midwestern hills of Nepal, the Kaski area, the traditional housing system
of Ghumaro dhi was founded and developed by the locals. It was reported that
during 1934, 1988 and finally the 2015 earthquakes, the houses did not collapse, and
damages were very minute in these locally developed dwellings [48]. The earthquake
resistance of these house is ensured by the use of struts, timber bands, low ceiling
heights in stories with fewer and small openings in walls [22].
Nepal lies on the boundary of the subduction of the Indian and the Tibetan tectonic
plates, which results in frequent high-intensity earthquakes striking Nepal. The loca-
tion of Nepal on the boundary of these plates puts Nepal in the 11th position on the
list of countries most prone to frequent earthquakes [31].

4.2.1 House Features

The Ghumauro Dhi houses are structures that are rounded with heavy stone masonry.
These houses have vertical timber members that are placed in the masonry on inter-
vals. These houses are usually two stories where the floors are divided by timber
members. Timber is also used for supporting window and door openings [21].
The construction and relevance of individual components of the construction is
defined below:

Roof

Roof in the Ghumauro Dhi houses depends on the availability of materials. Most of
the roofs are made from locally available mud, followed by galvanised iron sheet and
a minority of houses use slate tiles for roofs [22]. Dipendra Gautam in his research
Traditional Architecture: A Natural Disaster Resilient Alternative 423

found about 15 houses with stones tied with iron wires to the purlins to keep them
from falling. Wooden pegs were tied to the rafters [22].

Walls

The Ghumauro Dhi houses are traditionally rounded structures. These rounded struc-
tures are made from stone masonry and have Agrakh (Shorea Robusta) timber
members derived from local forests. These timber members are used as vertical
posts or pegs between stone masonry. The construction of the walls is symmetrical,
and the timber is used as a lintel for openings. The slabs between floors are made of
timber as well. The stone masonry is usually mud bonded, but newer constructions
sometimes use cement [22].

Foundation

The foundation in the Ghumauro Dhi houses is made of stone plinths. These stone
plinths constitute a strapped foundation. These stone plinths are always levelled on
top even if the house is on a slope which is a characteristic practise of building houses
in the hills [22].

4.2.2 Building Material

The materials used in construction come from the surrounding environment. That
includes stone masonry for walls and timber elements for posts and rafters from local
trees. The house has a unique feature: a symmetrically rounded circular structure with
one or two storeys. The roof mainly consisted of slates tied with wires to the wooden
purlins.
As per Gautam, D. et al., the regular circular feature of the house and the
lightweight roofing provided a significant influence in avoiding structural failure
during earthquakes.

4.3 Rajbanshi House, Nepal

Terai is a lowland region in the southern part of Nepal. Due to its low altitude
topography, the area has recursive flooding seasons. In response to this topographic
nature, the locals developed a unique vernacular dwelling with a unique feature.
The houses are built on stilts with an elevated platform supported by stilts, usually
ranging from one to three meters in height [22]. According to [22], the construction
of such a housing system goes back more than 40 years. It was also mentioned that
424 N. Riyaz et al.

Fig. 4 Rajbanshi flood and earthquake resistant house in Nepal [22]

during floods in this area, the inhabitants would stay safe from epidemics and snake
attacks, which are common in the flooding season.
Often referred to as the country’s breadbasket, the Terai region is renowned for
its predominantly flat landscape, gently sloping to the south. Its altitude fluctuates
between 65 and 300 m above sea level, and its breadth ranges between 20 and
45 km. A characteristic subtropical climate graces the Terai, with an average ambient
temperature of 25 °C. The annual precipitation in this area varies, ranging from
1200 mm to 3000 mm, including sporadic rainfall and sudden downpours. The Terai
serves as the endpoint for all Nepalese rivers, originating from the Churia and Siwalik
foothills, providing the region’s water supply for sustenance. The monsoon season,
extending from June to September, often sees these rivers at their maximum capacity,
leading to floods and submergence in various parts of the Terai. Changes in climate,
particularly alterations in rainfall frequency and intensity, exacerbate the flood and
submergence issues in the Terai region [1] (Fig. 4).

4.3.1 House Features

The Rajbanshi houses are built on wooden pillars that prevent flood water from
entering the houses. This helps in creating a sound earthquake-resistant structure as
Traditional Architecture: A Natural Disaster Resilient Alternative 425

well. The house’s living quarters begin from the first floor, which is reachable by
stairs.
The construction and relevance of individual components of the construction are
defined below.

Roof

Most of the roofs in Rajbanshi houses have tapered mud roofs, followed by galvanised
iron sheets and wooden planks. The rafters and purlins are made from timber. Using
mud as the primary roofing material has traditional roots, which serve the purpose
of passive cooling during the burning heat of summers and passive heating during
cold winters. The gable of the roof is isolated from the house by wooden slabs or
bamboo sticks [22].

Walls

The walls mainly consist of bricks or stones bound together with mud. After this, the
second most common practice is making walls made of wood planks. Also, in some
places, walls are made of hand-weaved bamboo ikra nets, This type of wall provides
ventilation for air circulation to regulate heat in the houses during summer and also
to keep the construction of a low weight [22].

Foundation

The Rajbanshi houses are built on a 1–3 m high foundation platform. This platform is
open and has stairs that lead to the first floor, where the families live. The foundation
platform is on wooden pillars that are piled into the ground. This helps to keep the
houses dry in case of floods. Since these timber posts have constant contact with
water, the locally available dampness-resistant wood Shorea Robusta is used [22].

4.3.2 Building Material

The wood used in the construction of Rajbanshi House is Shorea Robusta, derived
from the local Sal forest. The local availability of timber for houses makes the
construction of Rajbanshi house very economical. Dependra Gautam et al. in their
research in 2016 found out that majority of Rajbanshi houses were constructed in
less than $500 [22].
426 N. Riyaz et al.

4.4 Himis, Turkey

It has been observed during the major earthquakes that struck Turkey from the year
1960 till 2001 that the Himis vernacular houses have survived the incidents with
minor or no damages. However, most of the damaged homes in the same area were
masonry, adobe, timber, or concrete framed buildings [2].
Turkey is in a seismically active region known as the Alpide Belt, which is prone
to earthquakes due to the convergence of several tectonic plates. It is the second most
seismically active region of the world after the Pacific Ring of Fire [6].
The country has a long history of seismic activity. The North Anatolian Fault
(NAF) is a major fault line that extends across northern Turkey. It has been responsible
for several large earthquakes, including the 1999 Izmit and 2011 Van earthquakes.
The NAF remains a significant source of seismic activity in the country [55] (Fig. 5).

4.4.1 House Features

The Himis houses fall in the traditional timber-laced masonry. The house is a half-
timbered construction known by different names worldwide. It is a timber-laced
construction with brick-and-mortar infills between the timber members. Timber is
the most critical component of the construction. The walls are 10–12 cms thick [23].
The construction and relevance of individual components of the construction is
defined below:

Fig. 5 Traditional Himis building standing while modern reinforced concrete building collapsed
during 1999 Druze earthquake [15]
Traditional Architecture: A Natural Disaster Resilient Alternative 427

Roof

The roof of the Himis is intentionally made to be a lightweight timbered roof. Tradi-
tionally the roofs had no trusses and had a “post and beam” system [44]. Rafter
systems, spaced closely together with or without a central ridge beam, were laid over
horizontal beams that ran longitudinally at approximately the midpoint or a third
down the length of the rafter. These intermediate beams were supported by angled
posts, or struts, that terminated at a central horizontal beam, known as bedding,
which sat atop the tie beams of the roof. The ridge beam was sustained by vertical
posts arising from the central beam. To bolster the structure further, collar beams
were occasionally employed. Although the resultant configuration mimics a truss-
like appearance, it does not reflect the true structural purpose of the roofing system.
Finally, the entirety of the roof was overlaid with clay or natural stone tiles on boards
directly fastened to the rafters [44].

Walls

Turkey has an abundance of timber available locally, because of which the use of
timber in housing grew [49]. The Himis vernacular is a composite construction
system using timber, adobe, stone, or brick. The upper floor is usually constructed as
timber-framed, with bricks, mud bricks or stones as infills. The walls of the timber
framing consist of vertical posts bound together externally with horizontal timber
lathes called the Baghdadi, all connected through nailed joints. All of those features
provided an outstanding resistance to the lateral stresses that the structure is subjected
to as a result of the seismic loads [51].

Foundation

The foundation of the Himis house is shallow and made of stone masonry [44].

4.4.2 Building Material

The main material used for the construction is Timber and fired bricks. The houses
also include stone masonry for the foundation. The masonry is held together by clay.
All of the material for the houses is available locally [44].

4.5 Bure Houses, Fiji

Fiji experiences recurring seasons of tropical cyclones. In February 2016, Tropical

cyclone Winston, categorised as level 5, struck Fiji, resulting in destruction of nearly
428 N. Riyaz et al.

Fig. 6 Navala village, Fiji [17]

30,000 homes affecting 62% of the Fijian population [42]. Most of the destroyed
houses were made with timber frames and had pitched roofs with steel sheets on top.
The damage primarily resulted from powerful wind gusts destroying the roof.
The Traditional Village of Navala is located on the Viti Levu island of Fiji. The
Village consisted of 130 houses, 99 of which were constructed as traditional bures.
After the cyclone, 26 dwellings were reported to be damaged, with no fatalities [20].
Fiji, located in the South Pacific, faces a significant threat from tropical cyclones.
The country experiences an average of two to three cyclones yearly, with the peak
season typically occurring between December and March. These cyclones bring
powerful winds, heavy rainfall, storm surges, and potential flooding, posing a consid-
erable risk to the islands. The impact of cyclones can be devastating, resulting in
infrastructure damage and, most importantly, damage to houses (Fig. 6)

4.5.1 House Features

According to Fujieda [41] Bure house is of a rectangular plan constructed over an

elevated rubble foundation. The Bure is mainly a timber-framed structure with two
main designs. One design has a middle king post, with wall posts spaced equally, the
other model is smaller without the king post. Bamboo mats are used for the external
walls. The roof rafters are made from timber, and bamboo is used for purlins. The
roofing material consists of a thick layer of thatching tied down to the purlins. All the
structural components are tied together using ropes with tap joints. All the materials
Traditional Architecture: A Natural Disaster Resilient Alternative 429

used for constructing the Bure house are from the surrounding environment, making
it easy to build, repair and maintain.
The construction and relevance of individual components of the construction is
defined below:

Roofs

The hipped roof provides an outstanding dispersion of wind loads on the roof frame-
work. Extensive research spanning decades has substantiated that a hipped roof
surpasses a gabled roof in the event of hurricanes. The critical negative pressure
exerted on the roofs diminishes as the inclination angle increases. Regarding the
roof support system, reports indicate the pressure exerted on the entire span of the
gabled roof structure is twice as substantial as that experienced by the span of a hip
roof when subjected to comparable wind velocities. Consequently, hipped roofs are
deemed superior to gabled roofs in withstanding high wind conditions [17].

Walls

The walls in the Bure houses are short and have a low centre of gravity achieved by
making the bottom part of the walls heavier than the top part. As the cyclone blows
against a wall and exerts positive pressure on the face wall and negative pressure on
the leeward side, the short walls mean the wind has a smaller area to act upon. The
location of the building also governs the regulation of wind pressure with respect
to valleys and hills. The openings on the walls are kept to a minimum with wooden
shutters on top [17].

Foundation

Continuous foundation under the houses was found to be problematic, causing

uplifting, and overturning in some cases. Elevated stone foundations proved to be
effective, along with timber posts that are treated with preservatives and piled deep
into the ground [17].

4.5.2 Building Material

In Fiji, traditional Bure houses are typically constructed using natural and locally
sourced materials. The primary Material used for the framework is wood, often
obtained from indigenous timber species such as vesi (Intsia bijuga) or dakua
(Dysoxylum richii). These timbers are known for their strength and durability.
The walls of Bure houses are commonly made from woven or woven bamboo
430 N. Riyaz et al.

panels, which provide ventilation while maintaining structural integrity. The roofs
are traditionally thatched with sago palm leaves or sugarcane leaves [17].

4.6 Gaiola Pombalina, Lisbon Portugal

Portugal is an earthquake-prone country. One of the biggest earthquakes in the history

of Portugal was in November 1755, registering 8.7 on the Richter scale, destroying
Lisbon city almost entirely [39].
The earthquake was followed by a tsunami which in turn was followed by a
massive fire that kept burning for weeks [39], causing havoc to an already destroyed
city. Downtown Lisbon was most affected by the earthquake.
Immediately after those incidents, a new urban policy was established, which led
to the enforcement of new construction rules aimed at making the new construction
resistant to hazards like earthquakes, fire, and flood [39].
The new construction that was done based on this newly established urban policy
is called “Pombalino” construction which enforced a maximum of three stories per
construction.
The floors are made of timber boards on timber joists, which act as diaphragms
[7]. The roof has a timber truss covered by ceramic tiles. Another necessary provision
is a thick masonry wall between adjacent buildings higher than the roof to stop a fire
from propagating.
Lisbon is an area where tectonic plates meet, making it prone to seismic activity.
The region lies on the boundary between the Eurasian Plate and the African Plate,
known as the Azores–Gibraltar Transform Fault. This fault line is responsible for
the movement and interaction between these two plates, leading to frequent seismic
events. The other threat to Lisbon is the presence of the Tagus River, which has
caused a lot of flooding in Lisbon and keeps the water table high, making moisture
another threat to the housing (Fig. 7).

4.6.1 House Features

The Gaiola construction is called the cage construction [23]. It is a three-dimensional

timber-framed construction with horizontal and vertical members forming small
squares with internal x-shaped braces. The frame is wrapped in masonry which is
made of stone rubble and broken bricks [23]. The timber frame is only above the
ground frame to prevent fire from the fire places in the ground floor [7]. Another
feature is a wall that goes over the roof surface to prevent fires from propagating
between buildings [7, 12]
The construction and relevance of individual components of the construction are
defined below.
Traditional Architecture: A Natural Disaster Resilient Alternative 431

Fig. 7 Gaiola Pombalina

framework [36]

Roofs

Roofs are constructed using wooden frameworks and clay tiles and might incorporate
window openings. The Roofing consists of timber trusses that work as a diaphragm.
One of the measures involves incorporating substantial stone walls that surpass the
height of the roof’s wooden framework between adjacent structures. This precau-
tionary step aims to impede the spread of fire between buildings. This masonry wall
has no opening. A steel ring beam is attached to the roof along the eves as a measure
for seismic strengthening. The roof typically has openings that can be both doors
and windows to the attic under the roof.

Walls

The most critical feature of these Pombalina housing is the 3-dimensional interior
wall timber structure known as Gaiola, which looks like a cage with horizontal
and vertical members laced together by diagonals (called Gaiola; hence the name
Pombalina Gaiola) which resists the horizontal force during an earthquake.
The timber members are usually notched together or braced with nails. The
masonry infills on these interior walls are usually stone rubble (initially taken from
the earthquake rubble) [7].
The other walls, including façade and partition walls, are single-leaf masonry
and can be distinguished from the Gaiola walls by the thickness, which is between
432 N. Riyaz et al.

18–25 cm on Gaiola walls and 10–15 cms on the others. These walls do not have
any structural function [12].

Foundation

This construction developed has short and small dimension timber piles in the foun-
dation laced together by a timber frame. The ground floor had ribbed ceramic vaults
with stone masonry arches. These served multiple purposes. The ground floor was
mails used for commercial establishments like shops which often had fireplaces. The
stone masonry would prevent that fire from reaching to the upper floors in case of
a breakout. These masonry vaults also prevented the damping of the timber in the
upper floors in case of a flood or the moisture from the high water table due to the
Tagus river [7].

4.6.2 Building Material

The materials used in the construction include wooden panels for internal walls. The
roofs are made from timber, and the tiles are made from ceramic. The ground floor
is made of masonry of ceramic and stone. The exterior walls are made of calcareous
stone and lime mortar. The infill is usually stone rubble or clay bricks and broken
roman bricks [7].

4.7 Taquezal and Bahareque, South America

In several countries of Central America, there exists a distinct variation of the infilled
timber-frame system. This system, known as Taquezal in Nicaragua and Bahareque in
El Salvador, is believed to have originated from a combination of indigenous Native
American construction techniques and the incorporation of timber and masonry infill-
frame practices observed in parts of Europe, including Spain. These types of build-
ings, once predominant in the Nicaraguan capital of Managua, constituted around
85% of the city’s structures in 1932. Following the earthquake of 1931, American
engineer J. R. Freeman noted the similarity between Taquezal construction and the
Baraccata style developed in Southern Italy a century ago, highlighting its resilience
against collapse and the protection it provides to occupants [19] (Fig. 8).
In the 1971, earthquake there was a substantial transformation. More than half of
the Taquezal buildings in and around Managua either collapsed or sustained heavy
damages contributing significantly to the elevated mortality rates and as a result the
Earthquake Engineering Research Institute (EERI) advocated for the prohibition of
Taquezal construction [30].
A crucial observation was made while examining damage caused by the October
10, 1986, earthquake in El Salvador. The analysis revealed that structural failures in
Traditional Architecture: A Natural Disaster Resilient Alternative 433

Fig. 8 Plaster shaken off a Bahreque house [27]

bahareque buildings were predominantly due to wood decay or termite infestation.

The structures with the most significant damage exhibited the highest level of rot or
infestation.
Interestingly, as early as 1932, Freeman had foreseen the challenge of wood
decay expressing concern about the climate of Managgua progressively weakening
the structures and the infiltration of termites [19]. By 1972, the Taquezal buildings in
Managua were considerably older than in 1931. Less resilient softwoods from North
America had replaced the tropical hardwoods used initially. Therefore the indications
imply that the predominant factor contributing to the failures in this system was not an
inherent flaw within the structure but rather environmental influences and inadequate
maintenance [32].

4.7.1 House Features

In these houses, a sturdy timber frame featuring post-and-beam construction is assem-

bled, with the walls positioned within this frame made up of studs roughly 25 inches
apart. This solid timber framework comprises hardwood posts positioned at wall
intersections and corners. Wood lath or bamboo is subsequently fastened across
these studs, creating a basket-like formation and filling pockets with multiple layers
of small stones. The wall is typically completed with a finishing coat of either mud
or lime plaster [32].
434 N. Riyaz et al.

The construction and relevance of individual components of the construction are

defined below.

Roof

Typically, the roof is made of palm tree strands, laying on top of wood frames. This
practice was changed in the colonial period by replacing the palm tree fronds with
clay tiles on wooden frames, but this resulted in lessening the seismic resistance
capability of the structure because the clay tiles made the roof heavier and thus
resulted in it digging into the mud on the walls thereby making the structure rigid
and compromising the earthquake resistance capability [46].

Walls

Taquezal and Bahareque structures are characterised by the assembly of a robust

post-and-beam timber frame, wherein the walls are comprised of uniformly spaced
studs. This substantial timber framework incorporates hardwood posts strategically
placed at corners and intersections of walls. Over the studs, a lattice-like structure is
fashioned by affixing wood lath or bamboo. The ensuring spaces are subsequently
filled with layers of small stones, identified as Taquezal con piedra, or adobe, known
as Taquezal con barro terra. To complete the wall surface, a final layer of mud or
lime plaster is typically applied [32, 37].

Foundation

One of the essential features of earthen earthquake-resistant housing is the founda-

tion, which is true for Bahareque and Taquezal. In the case of Bahareque, shallow
ditches are dug around the boundary walls, and the posts are placed in them; the
ditches are filled with rocks. Although low cost, This type of foundation helps keep
the structure dry by not allowing surface water to seep up [46].

4.7.2 Building Materials

The material used for the construction is readily available in the dry forests of South
America [40]. All the timber for frames and roofs, stones for foundations, bamboo
for the walls, clay for the adobe and the palm tree branches are all obtained from
locally available resources.
Traditional Architecture: A Natural Disaster Resilient Alternative 435

4.8 Quincha Houses, Peru

Peru is yet another dangerously earthquake-prone country. With at least 10 seismic

events causing minor damages and one major seismic event causing destruction every
10 years. In 1912, Earthquake in Peru destroyed 99% of the building in Piura in Peru
[9].
So a variation of Taquezal and Bahareque was developed in Peru called Quincha,
a form of Wattle and daub construction. This construction method is very common
in the south American belt of earthquake-vulnerable countries with proof of its tradi-
tional existence [9] and development in Peru by the Portuguese architect Constantino
de Vasconcelos. But the construction method varies with each country in the region
depending mainly on the types of local Material available. But the fundamental
principals of the construction remain primarily the same [9] (Fig. 9).

4.8.1 House Features

The construction features of the Quincha house are the same as other construction
methods in Central and South America, like Taquezal and Bhareque. The construction
process is different in all countries depending on locally available materials.

Fig. 9 Under construction Quincha house with wood and clay walls [11]
436 N. Riyaz et al.

The fundamental construction method has bamboo or tree branches set up into a
mesh of horizontal and vertical members, plastered on top with mud. The plaster on
top varies with the location [11].

Roof

The roofing framework of the quincha house is crafted from the branches of the
locally available carob trees. These branches, that are used as beams, provide the
foundation for a covering on top made from slender branches and twigs of the same
tree. This structure is then enveloped by a composite material of clay and straw, cut
into small pieces. Sometimes, people use baked clay tiles or corrugated metal sheets
instead of the clay and straw mat [9].

Walls

Quincha walls have a foundational framework. Wooden posts, that are made of trunks
of locally available carob or cherry trees are embedded in to the ground. Beams made
of the branches of the same tress with smaller diameters tied on top of the posts using
wire, ropes or nails depending on availability in the region. The open space is filled
vertically with small branches that are tied to the horizontal beams in the frame. The
wall frame is then covered with a mixture of mud and straw called daub [11].

Foundation

Traditional Quincha foundation did not have a specially prepared foundation and it
does not require a foundation because of the light weight of the structure. Recently,
a shallow concrete slab has been put in place for a foundation [11].

4.8.2 Building Material

The material used in Quincha houses varies from region to region based on what
materials are locally available but, the basic idea behind using materials remains
constant. A mesh with horizontal and vertical members made of cane, tree limbs or
small branches. This mesh is plastered with mud in a combination of earth and water.
The mesh and the plaster have different variants depending on the location in Central
America, but the principle remains the same [11].
Traditional Architecture: A Natural Disaster Resilient Alternative 437

Fig. 10 Traditional Bhunga house [56]

4.9 Bhunga Houses, Gujrat

Bhunga houses are traditional homes made of clay and bamboo, which are prevalent
in the Kutch region of India. These houses have been in use for several centuries
and have proven to be highly resistant to natural disasters such as earthquakes and
high-speed winds [54].
The design of the Bhunga house is unique. It is a perfect example of how traditional
construction methods can be used to build sustainable and disaster-resistant homes.
The Bhunga house’s natural hazard resistance capabilities have been tested several
times and emerged unscathed every time. In 2001, a massive earthquake measuring
7.7 on the Richter scale hit the Kutch region, and many modern concrete houses
collapsed. However, the traditional Bhunga houses remained standing with minimal
damage [13] (Fig. 10).

4.9.1 House Features

The Bhunga house is an excellent example of how traditional construction methods

can be used to build sustainable, eco-friendly homes resistant to natural hazards.
The circular shape, dome-like structure, mud and clay walls, bamboo framework,
thatched or tiled roofs, natural ventilation system, raised platform foundation, and
proper door and window placement make it a highly resilient and durable structure.
438 N. Riyaz et al.

These houses are an excellent alternative to modern concrete structures that are
expensive, environmentally harmful, and prone to collapse during natural disasters.
The construction and relevance of individual components of the construction are
defined below.
The roof of the Bhunga house is the most crucial part of the structure, as it must
bear the brunt of the strong winds and rain. The traditional Bhunga house’s roof is
made of thatch, a natural material that can withstand strong winds. However, modern
Bhunga houses now have tiled roofs, which offer better protection against cyclones
and heavy rain. The roofs of the Bhunga house have a conical shape making the
ceiling high, and the roof is low at the periphery. Its made of thatch, making it
lightweight and helps against the lateral forces of earthquakes [13].

Walls

The Bhunga house’s circular shape and dome-like structure are the primary reasons
for its durability and resistance to natural hazards. No stones or aggregates are avail-
able in this region; therefore, the main material for the construction of the walls is
mud and thatch, both of which are available locally, along with bamboo for the frame-
work [24]. The mud walls are made of rammed earth put on a bamboo framework
plastered by lime and painted on top with decorative cultural patterns [49].
The height of the walls in a Bhunga house is low to help it stay stable during an
earthquake. The Bhunga house walls are made without any connection to any other
adjacent structures and have no common wall system, so no transfer of load from
one wall to another occurs during an earthquake [13].

Foundation

The Bhunga house’s foundation is built on a raised platform made of mud, which
keeps the house above ground level, reducing the risk of waterlogging during floods
[24].

4.9.2 Building Material

The area in Gujarat where the Bhunga house is found is an arid desert, and no stones
and aggregates are available in this region for the construction of houses; therefore,
only thatch, mud, and bamboo are used for construction because of being readily
available [24].
Traditional Architecture: A Natural Disaster Resilient Alternative 439

5 Discussion

All the reviewed traditional architectures comprise composite structures that utilise
different materials to construct the house. Timber was the most commonly used
material among all the different architectures. Timber frames in the walls and roofing
were used in constructing the Dhajji-Dewari [4], the Bhatar [43], for the roofing
structure in the Ghumauro Dhi, and the stilts and the whole structure of the Rajbanshi
house [22]. Furthermore, the traditional Bure houses used different types of timber for
the walls and the roof structures [20]. Timber framing was the most common practice
in the natural hazard-resilient vernaculars discussed above. The use of timber framing
in most of the above-discussed vernaculars indicates that timber-framed construction
subdivides the walls into smaller units with horizontal and vertical members mixed
with weak mud mortar, preventing large cracks from happening under seismic loads.
The essential idea behind this frail yet adaptive construction is its lack of rigid,
robust components that would otherwise draw the complete brunt of the earthquake.
Hence, these buildings endure seismic events by not interacting with them entirely.
Put differently, even though the brickwork and mortar used in some structures are
prone to breaking, the overall system exhibits ductile behaviour.
The quality and safety of traditional structures are not solely determined by tech-
nical expertise but rather by factors such as the local economy, availability of labour
and materials, accessibility to specialised traditional knowledge, and the meticulous-
ness of inspections. This holds especially true for traditional timber frame structures
requiring frequent and scrutinised inspections to prevent collapse from concealed
defects. In most cities affected by earthquakes implementing stricter engineering
standards won’t suffice. In numerous developing nations, advanced engineering tech-
niques and consistent material quality are beyond reach for most ongoing construc-
tion projects. We can foster a more durable and sustainable link with our cultural
heritage by appreciating the strengths of simpler, hand-built structures that were
more resilient even before modern machinery and materials. This is a more valuable
perspective than viewing these pre-modern examples simply as outdated remnants.
The vernaculars were subjected to different types of hazards; however, timber
was still the commonly used construction material, which points out the importance
of timber as a versatile construction material. Another common aspect for all the
reviewed vernaculars was that all used resources were locally available.
The locally available Material was mixed with the indigenous house-building
knowledge to form houses that responded to local hazards. In the Dhajji-Dewari [4]
and the Bhatar [47], the timber lacings used for either adobe or stone walls provided
seismic resistance. In the Ghumauro dhi, the cylindrical feature of the house provided
the required seismic resistance in addition to the light weighted roofing structure. The
Rajbanshi vernacular, located in a flood-prone area, was built on stilts up to three
meters high, preventing the house from floods [22]. The Himis vernaculars with
the vertical timber wall posts interconnected horizontally and diagonally provided a
unique seismic resistance in addition to the stone foundation and the light, superstruc-
ture and roofing Material [2]. As mentioned by the residents of the Navala village
440 N. Riyaz et al.

[17], the Fijian Bures are designed to provide slight movement when subjected to
strong wind gusts resulting from tropical cyclones. This feature was implemented
using rope-tied connections. Also, these are designed to facilitate house rebuilding
using the same material in case of being damaged by a cyclone.

6 Conclusion and Further Research

Traditional building methods are being developed and used over a long period.
Throughout the years, the traditional buildings were constructed in a way that made
them adaptable to different environmental conditions. To create resilient communi-
ties, we must use locally available materials best and adopt traditional knowledge
that has stood the proof of time and its concept’s validity.
The study reviewed traditionally built houses that showed impressible perfor-
mance, surviving different natural hazards with either minor or no damages. The
Dhajji-Dewari and Bhatar vernaculars that survived the Pakistan 2005 earthquake.
The Himis traditional house construction survived many earthquakes, and the Fijian
Bure showed resiliency after the TC Winston of 2016.
As per the review, most of the traditional houses in this study were constructed
using indigenous knowledge to respond to the typical natural hazard in its area; all
of the vernaculars have survived over the years with minor or no damage. Also,
most of the construction materials used were provided locally as naturally available
materials, which proves the sustainability of the concept.
The study suggests considering the indigenous knowledge existing in the disas-
trous areas and adopting or incorporating the traditional local expertise in the
post-disaster reconstruction projects as a superior option to the contemporary designs.
Further investigation will be carried out to study post-disaster reconstruction
projects that used traditional building methods, analyse the material used for any
structural modifications, and measure its resilience compared to reconstruction using
modern construction methods.

Author Contributions Naomaan Riyaz has contributed to the conceptualisation and methodology
of the paper, along with literature review and manuscript writing. Mohamed Elkharboutly has
contributed to the conceptualisation and methodology, literature review, manuscript editing, and
supervision. Prof. Suzanne Wilkinson has contributed to methodology, draft preparation, literature
review, and supervision.

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A Bibliometric Analysis of Early
Contractor Involvement (ECI) Research
in the Construction Industry

Iresha Dilhani Jayasinghe, Niluka Domingo, An Le, and Regan Potangaroa

1 Introduction

The procurement method plays a significant role in construction projects and enti-
tles over 80% of the contract value [17]. Naoum and Egbu [19] explained that
procurement systematically links and coordinates the construction team members,
including contractual and functional elements. Therefore, selecting the appropriate
procurement method has contributed to the project’s success [3, 24]. Boton and
Forgues [4] mentioned that the outstanding characteristics of a construction project
are the involvement of diverse stakeholders from different organizations and working
together for a common goal. There is a developing trend in the construction industry
to move toward collaborative approaches and engage the parties early to identify
the most impactful solutions in the preconstruction stage [18]. According to [6], the
key advantages of increased collaboration are reduced project costs and schedules
and better buildability. Moreover, a similar study by Atkinson et al. [3] has proven
that cost and time savings, enhanced innovation, stakeholder satisfaction and the
prospect of pipeline projects/long-standing relationships are the most cited benefits
of collaborative working in construction as in selected studies by the author. Thus,
both Bresnen and Mashall [6] and Atkinson et al. [3] studies agreed that there is

I. D. Jayasinghe (B) · N. Domingo · A. Le · R. Potangaroa

School of Built Environment, Massey University, Auckland, New Zealand
e-mail: [email protected]
N. Domingo
e-mail: [email protected]
A. Le
e-mail: [email protected]
R. Potangaroa
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 445
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_28
446 I. D. Jayasinghe et al.

a relationship between the benefits of collaboration and the selected procurement

method.
As a result of this scenario, ECI has been introduced to procure construction
projects, which have become more prevalent in infrastructure projects [24]. It allows
the utilization of the contractor’s knowledge of construction and experience in design
[28] and establishes long-term relationships among participants. However, Scheep-
bouwer and Humphries [26] argued that ECI is a hybrid of traditional and collabo-
rative delivery methods. Thus, ECI is a relatively new technique in the construction
sector, and it has been introduced as the best alternative with minimal study or testing,
with decisions on selecting ECI for a project mainly being judgmental and depen-
dent on decision-makers biases [24]. Therefore, this paper focused on the latest
comprehensive literature review in ECI for existing projects to investigate world-
wide development, knowledge structure, and research gaps in the ECI in order to
gain a comprehensive understanding of various ECI models and their applications.
ECI could effectively manage the uncertainty and risk challenges in the construction
industry [23], thus, it is worth doing a literature review to identify how ECI helps
solve these issues. Accordingly, the following research questions are the focus of
this study.
1. What are ECI and ECI approaches?
2. What are the benefits and challenges of the use of ECI?
3. What are the future research trends and implications?
This study is conducting bibliometric analysis in evaluating the ECI research
area. Therefore, it follows a structured approach to investigate ECI. The introduc-
tion provides a broader picture with scientific context, practical application, existing
research contributions, and the paper’s objectives. Section 2 then details the research
methodology used, which focused on the selection of the literature. Section 3 presents
results obtained through science mapping and the key findings are further analyzed
in Sect. 4 to identify the leading research focuses. Existing gaps in the literature,
together with the potential future directions, conclude in Sect. 5.

2 Method

Uncovering the depth of knowledge within any research topic is very important.
Therefore, a bibliometric analysis offers a great opportunity to look at the research
front and reveal the intricate connections within the research community [11].
Oraee et al. [22] recommended bibliometric analysis for construction industry-related
research in order to recognize certain construction-related concepts. As a result,
science mapping was used for visualization and analysis of bibliometric networks,
while findings were discussed in detail, and interpretation of the research topic
was done using qualitative analysis [5]. To construct and visualize the bibliometric
networks, VOS viewer, where VOS stands for “Visualization of Similarities”, is a
A Bibliometric Analysis of Early Contractor Involvement (ECI) … 447

Table 1 Keywords list used in the literature search

String Group Keyword
1 Obligatory (O) “Early contractor involvement” OR “early involvement” OR “early
contractor”
2 People “Contractor*”
3 Civil construction “Construct*” OR “building” OR “infrastructure”

free text mining software that offers basic operations [29]. Further, it has the char-
acteristic of clustering similar and related knowledge from different disciplines [8],
thus mapping the knowledge acceptably [29].
While many databases offer comprehensive literature analysis of the literature,
focusing on simple reproduction of the findings tends to use a single database
[7]. Scopus, a well-established, multi-disciplinary citation repository [36], has been
chosen to include more recently published articles in this regard than other online
resources, such as the Web of Science. The literature search was conducted on 31
July 2023. Table 1 shows the three separated search strings connected by the Boolean
connector, “AND”, which are complete enough to provide a comprehensive overview
of the topic of the study.
Considered publications on this subject were from the last decade to demon-
strate the latest trends of the ECI. The terms were applied across titles, abstracts and
keywords to achieve the maximum amount of literature in the database. Figure 1
illustrates the application of the exclusion criteria to the initial retrieved 165 publica-
tions. This process enables the review process to focus on the most relevant literature
and ultimately enhance the quality of the analysis, as shown in Fig. 1. The snowball
approach was applied to extend the search from the references and key authors of
the already found literature and to avoid omitting the relevant studies.

3 Result

3.1 Keywords Co-Occurrence Analysis

A keywords network was generated to illustrate the facts and rationale of the research
studies. In order to acquire a holistic view of the existing research in VOSviewer,
“All keyword” and “Full counting” options were selected. The co-occurrence anal-
ysis of keywords is done using the 85 selected papers, and the minimum number of
occurrences of a keyword selected was 4, and 35 out of 714 keywords with 308 links
were generated after adjusting the duplicates such as “early involvement”, “early
contractor involvement”, “integrated project deliveries”, and “integrated project
delivery”. Further, in VOSviewer, the network is divided into clusters where the
same studies might fall in the same cluster. Each keyword stands as a circular node
and different clusters of words, each marked by a distinct color. The biggest nodes
448 I. D. Jayasinghe et al.

Identification Records removed before screening:

Language (n = 2),
Records identified from Document type (i.e., article and conference
Database (n = 165) paper) (n = 8),
Source type (i.e., journal articles, conference
papers) (n = 11)

Records screened on title and

abstract (n = 144) Records excluded (n = 28)
Screening

Studies sought for retrieval (n Studies not retrieved

= 116) Full-text not available (n = 33)

Recorded identified for review

Snowball approach (n = 2)
(n = 83)
Included

Studies included in review (n

= 85)

Fig. 1 Methodology approach

are the most frequent keywords of the research area and the arcs represent the rela-
tionship between the keywords. The thickness of each arc indicates the strength of
the relationship between connected words.
The network is divided into five clusters. Most studies have been focused on
project management, early contractor involvement, contractors, the construction
industry (invisible yellow node) and integrated project delivery. Cluster 1 contained
10 items focusing on decision-making, cost–benefit analysis, supply chain, project
performance and project delivery. Cluster 2 (9 items) focuses on early contractor
involvement, design and construction, collaboration, lean production, and contrac-
tors. Next, cluster 3 included eight items relating to buildings, construction manage-
ment, procurement and critical success factors. Cluster 4 comprised six items
addressing the construction industry and ECI models, including integrated project
delivery (IPD) and partnering. Finally, cluster 5 (2 items) focused on architectural
design and building information modeling (BIM). Figure 2 indicates the connection
of keywords and their co-relationship.

3.2 Country Analysis

The world collaboration map is a way to measure the global influence on scientific
research. Commenting on Fig. 3, Australia and the United Kingdom are the countries
A Bibliometric Analysis of Early Contractor Involvement (ECI) … 449

Fig. 2 Keyword analysis

that contributed the most. Next, the United States, Norway, and Sweden contributed
potently to the research. Sweden and Finland are the next-level countries passionate
about this field. Finally, as per the results, there is a trend in Hong Kong, China,
Malaysia, New Zealand, and the Netherlands on ECI. This graph summarizes that
most publications are distributed among developed countries with the capacities and
capabilities to adapt to the new challenges faced by their construction industries.

3.3 Time Series Analysis

Figure 4 timeline shows the number of Articles between 2013 and 2022. The most
significant factor that emerges from the graph is that between 2016 and 2018, there
was a boom in the number of publications. Moving to a more detailed analysis,
despite the fluctuations, since 2013, there has been a gradual increment, followed by
a peak of 15 journals in 2018. This increase implies that researchers have been more
interested in this subject during the last decade. During the COVID-19 pandemic,
in 2020 and 2021, there was a slight fall in publications. The year 2022 could be
450 I. D. Jayasinghe et al.

Netherlands
Malaysia
New Zealand
Hong Kong
Countries

China
Finland
Sweden Number of Publications
Norway
United States
United Kingdom
Australia

0 2 4 6 8 10 12 14 16
Number of Publications

Fig. 3 Country analysis

identified as a year of scientific rehabilitation as the number of publications has again

hit 14; thus, 2023 has a trend to increase.

16

14 15
14
NUMBER OF DOCUMENTS

12 13

10
10
8 9

6
6 6
4
4 4
2
2 2
0
2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023
YEAR

Fig. 4 Number of relevant papers published in each year

A Bibliometric Analysis of Early Contractor Involvement (ECI) … 451

Table 2 Sources of the journal papers

Journal title Number of selected papers
Journal of construction engineering and management 4
Architectural engineering and design management 4
Buildings 4
International journal of construction management 4
International journal of managing projects in business 4
Engineering construction and architectural management 3
Construction management and economics 3
Journal of management in engineering 2
Procedia engineering 2
Construction innovation 2
International journal of construction education and research 2
International journal of project management 2
Journal of facilities management 2
Journal of financial management of property and construction 2
Proceedings of the institution of civil engineers municipal engineer 2
Other journals (One article published in each journal) 21

3.4 Journal Analysis

Table 2 includes the sources of research publications on early contractor involvement

published in various journals, disregarding conference papers. The journals span
various fields, including construction management, economics, civil engineering,
design management, innovation, and facilities management. This concludes that the
ECI has extended over the facilities management and innovation other than as a
project delivery method.

3.5 ECI Approaches

Wondimu et al. [33] conducted a study that identified and classified twenty-five ECI
approaches in infrastructure projects. The study found seven groups for infrastructure
projects in Norwegian public projects, as in Table 3. Many countries have adopted
ECI differently according to their regulations and cultural aspects. For instance, in
2012, the United Kingdom’s (UK) construction industry was encouraged by the UK
government to use novel approaches by introducing new models of construction
procurement (NMCP) [3]. Cost-led procurement (CLP) and two-stage open book
are the two models introduced in order to engage supply teams at an early phase of
the project and integrated project insurance (IPI) is a pain/gain sharing mechanism
452 I. D. Jayasinghe et al.

Table 3 ECI approaches in infrastructure projects

Classification ECI Method
Basic Indirect approaches, information meetings, workshops, direct contracts with
approaches to specialist contractors, contractors promoting their ideas and front-end
ECI partnering
Project delivery The framework agreement, public–private–partnership (PPP), partnering,
arrangements integrated project delivery (IPD) and alliance
Selection Based on qualifications and prices and based on only qualifications
method
Procurement The negotiated procedure, competitive dialogue (CD) and innovation
procedures partnership
Alternative Announced with alternative technical solutions, allowing variant solutions
solutions and Idea competition
Target cost Single-stage, two-stage and multiple-stage
contracts
Contract Design-bid-build (DBB), construction management at risk (CMR),
structures design-build (DB) and novated design and construct contract

where the proposal developed by the alliance team insured under a single insur-
ance product [3]. The integrated project delivery (IPD) approach is a solution for
rapidly developing complex and large infrastructure projects that reduce engineering
changes [35]. Moreover, Salim and Mahjoob [25] described that clients’ demands
had generated the use of IPD with BIM, facilitating the substantial benefits of BIM.
Furthermore, best value procurement (BVP) practices in complex projects where
the complex parameters defined by the European (EU) public procurement rules in the
European and it has been described as an ECI approach to select the suitable vendor
for construction projects in the Norwegian construction industry [21]. Public–private
partnerships (PPP) have been combined with ECI to promote risk sharing and build
long-term relationships within a trustworthy environment [27]. Another procurement
procedure introduced by the EU parliament in 2004 was competitive dialogue (CD)
to engage retailers in the early stage of a construction project to stimulate innova-
tions [34]. Project partnering (PP) is another concept that brings relationship-based
procurement into the design phases of high-risk construction projects by involving
the contractor in the early stages [32].
Figure 5 summarizes how ECI has been demonstrated in different countries. From
the graph, Norway has practiced many alternative ECI methods more than other
countries. Despite involving the contractor in the early stages, in the workshop proce-
dure, the contractor is involved before the plan approval stage but after the design
stage in Germany [33]. Alliance was initially established in Australia and named a
pure alliance because selecting the contractors was only based on non-price criteria.
However, due to the influence of the EU public regulations, it changed to a compet-
itive alliance where the procurement is done through the CD approach and the most
economically advantageous tender (MEAT) is used for selecting the contractors.
A Bibliometric Analysis of Early Contractor Involvement (ECI) … 453

Fig. 5 Distribution of ECI Worldwide based on [15, 16, 18, 32, 33]

ECI has been introduced to procure construction projects, which have become
more prevalent in infrastructure projects [23]. For instance, as per the findings,
alliance, BVP, DB, indirect approach, information meetings, partnering and PPP
have been used in building projects [33], and other balance approaches have been
used in infrastructure projects.

4 Discussion

4.1 Usage of ECI

Most studies have evidence that the collaborative environment of the ECI has been
adopted mainly on infrastructure projects [10, 14, 31, 34]. This is due to the oppor-
tunity to develop design and construction methods early to minimize the cost and
delivery risks [12]. The innovative solutions also shed the complexity of infrastruc-
ture projects [35]. Notwithstanding the trends of using ECI on complex projects,
454 I. D. Jayasinghe et al.

Nigeria has practiced ECI as an effective cost management tool on low-cost housing
projects (LHPs) to enhance the pre-design, design and construction phases of LHPs.
Recently, emerging research areas such as green buildings (GBs), BIM, digital
fabrication (DFAB), waste management and off-site manufacturing (OSM) have
driven the attention of ECI. A study by ref. [9] identified the early involvement of
project participants as a critical success factor for promoting GBs. Green construction
projects necessitate collaboration and early participant engagement because of the
several designs, extensive simulation and analysis, and novel materials [30]. Next,
when considering the DFAB, ECI enables the incorporation of design information for
fabrication on the BIM platform in the design stage [20]. Further, ECI is a significant
BIM implementation factor recognized by ref. [2]. Ajayi and Oyedele [1] clarified that
ECI is not only a procurement method but also a tool for waste management. Freezing
the design before execution starts and developing flexible and adaptable designs
assist in reducing waste generated from the replacing materials, refurbishment and
maintenance activities, respectively [1]. In addition, ECI shrinks the design failures
and helps to overcome the cultural confrontation of unfamiliar OSM technologies
[13].
There are discrepancies in using the ECI in the construction industry. It challenges
scholars to understand the reality of the ECI, as there are discrepancies in using the
ECI in the construction industry [23]. Furthermore, ECI is an emerging method in
the construction sector, so it has been chosen as a favored alternative without any
research or examination. Decisions to use ECI for a project have primarily been
based on judgment and decision-maker biases [24].

4.2 Benefits of ECI

ECI has become more prominent due to its benefits throughout the life cycle of the
projects. For example, Farrell and Sunindijo [12] state that a competent contractor
could positively influence the quality of the outcomes of the construction projects as
the contractor gets involved in the early stage. Laryea and Watermeyer [16] express
that through ECI, there are opportunities to integrate the design and the construction,
leading to an improved schedule. However, the authors argue that this success will
depend on the knowledge of the ECI client, the contract type, the flexibility of the
team and the contractor’s commitment. Adding this, Rahmani [23] mentioned that
the joint risk management mechanism helps to improve certainty in the price and the
scope of the construction project. Furthermore, ECI enables the primary contractor
and sub-contractors to collaborate directly with other stakeholders to ensure the
project’s success [18].
Further, the integration process of the design and the construction leads to a step up
in the collaboration between the project participants as they have to achieve common
goals [16]. Rahmani et al. [24] stated that the high certainty and good understanding
of the risks positively influenced the relationships, trust, and reliability, reducing
A Bibliometric Analysis of Early Contractor Involvement (ECI) … 455

mindreading and inaccurate assumptions of the project participants. The collabo-

ration environment enables constructability and innovation as the team players can
develop the design and planning together [24].

4.3 Challenges of ECI

However, the contracting practice and teamwork changes make ECI challenging for
the construction sector. Rahmani [23] has identified cultural barriers as the most
significant challenge because implementing ECI is affected by the contractors’ and
clients’ different cultural expectations. Moreover, the main barriers are the lack
of knowledge regarding the ECI and guidance for managing the client–contractor
relationship [12]. The result of a study conducted by Rahmani [23] has identified
that ensuring value for money, altering the relationship parameters, and inadequate
contractor compensation for early-phase involvement were experienced by the stake-
holders in the majority of their ECI contracts. Furthermore, Rahmani [23] indicated
that negative attitudes spread broadly due to difficulty developing good relationships
and trust without previous work relations. In addition, the lack of adequate training
for the ECI creates a misunderstanding of critical strategic decisions and degrades
the confidence and knowledge of the delivery team in adopting ECI [23]. It is also
important to highlight that behaviors and communication protocol in the first stage
are inappropriate for the second stage of the ECI process [12].

5 Conclusion

The study contributes a niche contribution to an updated systematic literature review

in ECI for existing infrastructure projects and little on buildings. The science mapping
reveals that ECI is mainly focused on utilizing ECI on infrastructure projects, public
clients and characteristics of ECI. For the last five years, the industry has experienced
growth in the ECI approaches as little research has covered the studied area. The
United States has taken the lead in the research while the UK and Australia have
the growth trend, but other countries are on their way to the ECI research. Studies
highlighted that the contractor’s local regulations and selection method significantly
impact the ECI approaches and result in many directions with other aspects. ECI is not
a procurement method and plays vital roles in GB, BIM, DFAB, waste management,
and OSM.
There are no further studies on these approaches to define the best process for
each project. Significantly, there is a lack of studies on utilizing ECI in building
construction projects, which will be more challenging than infrastructure projects.
In addition, the right time to enter the ECI contracts and the clearly defined respon-
sibilities of ECI parties are little discussed in the selected articles. Finally, a few
456 I. D. Jayasinghe et al.

recent studies discussed mitigating risks in construction projects by involving the

contractor early.
Therefore, these findings suggest the need for a decision-making framework for
ECI projects for infrastructure and building projects. Moreover, future studies could
be done to identify the trends of ECI around the world and conduct more case studies
on each approach to define how ECI has been supporting construction projects to
overcome risks and achieve the goals of each construction project. As the construc-
tion industry’s future is under pressure to act effectively with modern technologies,
the green building concept has been becoming a trend in the era; therefore, ECI
could change with these approaches timely. Further research would also support
the industry by effectively studying the adoption of ECI on building projects. These
trends accommodate researchers to identify and make ECI more effective. As a result,
the study’s criteria for selection limit its capacity to offer a new light on future ECI
advancements.

Acknowledgements The authors would like to thank the Department of Building Economics and
Ph.D. candidates at the School of Built Environment for supporting this study.

Author Contributions Iresha Jayasinghe conceived and designed the research study, collected
and analyzed data and then wrote the initial draft paper with guidance from Niluka Domingo and
An Le Thi Hoai. Niluka Domingo contributed to the supervision and funding acquisition. Both
Niluka Domingo and An Le Thi Hoi reviewed and revised the draft paper for clarity and coherence
to ensure the quality of the writing. All authors have read and agreed with the manuscript before its
submission and publication.
Funding The paper acknowledges the funding of the New Zealand Ministry of Business, Innova-
tion and Employment, Endeavor Programme Research Grant. Contract Number: MAUX2005.

Ethics Statement Not applicable.

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A Review of Barriers to Safety Incentives
Design and Implementation
in the Construction Industry

Kunle E. Ogundipe, Babatunde F. Ogunbayo, and Clinton O. Aigbavboa

1 Introduction

The construction industry has notably contributed to economic growth in developed

and developing countries due to increased demand for infrastructural development
[36, 43, 44, 48]. The involvement of government and private clients in construction
activities has increased worker recruitment within the construction industry with little
or no implementation of health and safety practices [38, 40, 42, 51]. Unfortunately,
construction industry activities harm the lives and safety of the employees due to the
complexities of its operations [2, 4, 51]. As a result, thousands of reported and unre-
ported work-related fatalities, deaths, and injuries occur in construction operations
annually [3, 27, 30]. The problems of health and safety practices in the construction
industry are attributed to unsafe acts and working conditions. Nonetheless, existing
studies attributed the problem of health and safety practices in developing countries,
including Nigeria, Ghana, and South Africa, to ineffective safety policies, weak
enforcement frameworks, skills shortage of the enforcement personnel, inadequate
incentives, lack of safety incentives regulations and policies, ineffective sanctions of
offenders, and delay justice delivery [12, 13, 20, 41, 45].

K. E. Ogundipe (B) · B. F. Ogunbayo · C. O. Aigbavboa

cidb Centre of Excellence, Faculty of Engineering and the Built Environment, University of
Johannesburg, Johannesburg, South Africa
e-mail: [email protected]
B. F. Ogunbayo
e-mail: [email protected]
C. O. Aigbavboa
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 459
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_29
460 K. E. Ogundipe et al.

Moreover, stakeholders in the construction industry use different motivations,

including safety incentives to align the construction workforce with performance-
related goals such as safety, quality, cost, and productivity [9, 18, 19, 47]. Nordgren-
Selar [39] maintained that human beings require social, economic, and psycholog-
ical measures of safety incentives to stimulate performance and productivity in the
workplace. Shui et al. [54] described safety incentives as a strategy to improve
existing safety management systems, eliminate the possibility of occupational acci-
dents, improve productivity, and ensure smooth construction activities. Gerhart [21]
mentioned that safety incentives are used to induce safe behaviours that can improve
performance among workers and check destructive behaviours that are detrimental
to attaining projects, clients and organisational goals. Alfandi and Alkahsawney [9]
described safety incentive schemes as organisational tools to promote team spirit and
increase morale due to external persuading factors that motivate individuals to work
harder to meet organisational goals and get rewarded. Safety incentive payments are
made to workers outside their wages or salary in line with the organisation’s set stan-
dards for group or individual workers, allowing them to accomplish extra output [11,
60]. Hence, safety incentives drive workers beyond their actual performance to earn
extra pay or recognition in meeting organisation goals and personal actualisation
[49].
Despite efforts made by construction firms to design and implement safety incen-
tives to improve HandS practices in the construction industry, the process faced
different issues and challenges. Nonetheless, there is continuous research on the
effective design and implementation of safety incentives in the construction industry.
Zulkefli et al. [64] contend that the safety incentive scheme is becoming standard
practice among construction firms in motivating contractors and workers to achieve
project goals and improve workplace safety and performance. Unfortunately, this
is not without various barriers, as described by Choi et al. [16] and Aina and
Akinyemi [8], the success of safety incentive schemes largely depends on construc-
tion managers choosing an appropriate scheme for the right situation. Also, fewer
studies have established the barriers to designing and implementing safety incentive
schemes within the construction industry, especially in developing countries like
Nigeria, Ghana, and South Africa. However, the knowledge of barriers to safety
incentive schemes design and implementation in the construction industry is in frag-
ments and does not seem to provide consolidated information [7, 14, 28, 53, 62].
Hence, in addressing this gap in knowledge in designing and implementing safety
incentives in the construction industry, this study aims to identify and understand
barriers to the design and implementation of safety incentive schemes to abate the
problems encountered in project delivery. This study seeks to answer the following
research questions:
• What concept underpins safety incentives design and implementation in the
construction industry?
• What barriers influence safety incentives design and implementation in the
construction industry?
A Review of Barriers to Safety Incentives Design and Implementation … 461

Hence, through critical reviews of the extant literature, this study reviewed barriers
to safety incentives design and implementation in the delivery of construction projects
to enrich further the knowledge gap about its application in the construction industry.

2 Material and Methods

In addressing and understanding the concept underpinning safety incentives and the
likely barriers to safety incentive schemes design and implementation in the construc-
tion industry. This was achieved by carefully reviewing peer-reviewed journal arti-
cles and conference papers on safety incentives applicable in construction contracts
and organisations within the construction industry. Figure 1 explains two stages in
this study’s search and selection of peer-reviewed academic publications. Determi-
nation of the relevant online databases was identified and established in the first
stage. These include Scopus, Emerald, PubMed, Google Scholar, Science Direct,
ASCE Library and JSTOR because of their wider coverage of quality peer-reviewed
academic publications in the research field of the construction industry, particu-
larly in the safety incentives. The literature search process was conducted in the
second stage using the following keywords: (“safety incentives, “incentive concept”,
“incentive schemes design”, “incentives implementation”, “barriers to safety incen-
tives”, and “construction industry”). Keywords are engaged to search in the aforemen-
tioned online databases, while the retrieved literature was restricted to peer-reviewed
journal articles and conference papers written in English. Additionally, the abstracts
of the papers retrieved were read through to determine their relevance to this study.
The preliminary search identified one hundred and twenty-two papers from various
online databases. However, the exclusion criteria for this study ensure that sixty-
three invalid papers were excluded due to overlapping literature coverage, author(s)
details absence, missing year of publications and papers written in language order
than English on safety incentives within the online databases. Nonetheless, fifty-nine
articles related to the study were retrieved and retained for further analysis. Thus, the
fifty-nine articles were found relevant to the study theme, justifying a representative
sampling of existing studies on the safety incentives for the construction industry.
The selected papers were further discussed under the theme of the safety incentives
concept, barriers to safety incentives design and implementation in the construc-
tion industry, the implication of the study, and conclusions and recommendations.
The reviewed papers are used to understand the literature gap on barriers to safety
incentive design and implementation in the construction industry.

2.1 Safety Incentives Concept in the Construction Industry

The term “incentives” could be traced to the Latin word “incentivus”, meaning the
act of singing and enchanting [15]. Bruni et al. [15], citing Pianigiani [65], noted that
462 K. E. Ogundipe et al.

Fig. 1 Systematic research design adopted for the study

the modern meaning of stimulate or arouse comes from a musical instrument called
incentivus, like flute and pitch pipes used to conduct orchestras and choirs, and also
to dictate the running pace of soldiers in battle. Nonetheless, as described by Singh
[55], citing Taylor [58], the incentives concept could be credited to the scientific
management principles by applying the division of work and responsibility. Singh
[55], citing Taylor [57], and Taylor [58], found that scientific management principles
significantly improve employees’ productivity, performance, motivation and sense of
active participation and involvement. Scientific management principles contributions
have become organisational incentivisation tools for improving productivity and
performance. Hence, Taylor [58] noted that scientific management paved the way
for the “initiatives and incentives” concept based on four principles, namely:
(i) Development of science for workers to replace the rule of thumb;
(ii) Scientifically selection and training of workers based on their job needs;
(iii) Support workers and managers to facilitate and improve work in line with the
principles of sciences developed;
(iv) Division of work and responsibility between workers and management.
The competitive business conditions in the twenty-first century make employee
safety incentives/motivation in the construction industry more crucial than before.
This is due to stiff competition and economic uncertainties, which require organisa-
tions to establish and maintain a motivated workforce [6]. Ahiabor [6] maintained that
the principal objective of the safety incentive concept is to incite or intend to incite
more outstanding efforts from employees by the manager, giving employees what
they want (improved wages and working conditions) to achieve what employers want
(low labour cost, accidents, death, and productive output). The scientific management
principles propound that workers respond to inducement, especially money when the
employers want them to perform more than the expected target. The use of money for
motivation has been criticised by social scientists starting from Hawthorne’s studies
till today. Thus, criticism of the scientific management principles led to different
A Review of Barriers to Safety Incentives Design and Implementation … 463

approaches, theories, and models to design and implement safety incentive schemes
in the construction industry [55].
According to the Australian Constructors Association. (ACA), [10], Hughes et al.
[26], and Tang et al. 56], the safety incentives concept in construction contracts
aims to transfer or share the project’s risks with contractors. The safety incentive
schemes in construction contracts involve rewards and penalties on the contracting
firms to ensure the safe completion of projects to prevent all barriers that affect safety,
schedule, technical and cost performance, among others [23–25]. Contracting firms
are incentivised when such projects are completed within the set scopes of quality,
safety performance, productivity, technological progress, innovation, and manage-
ment [47, 56]. Mohammadfam et al. [37] and Saracino et al. [53] affirmed that safety
incentives significantly improve the construction industry’s communication systems
and workplace safety conditions. Rose and Manley [52] posited that the practical
application of safety incentive schemes in construction contracts could stimulate
contractors to align with the client’s objectives. Using safety incentive schemes in
construction projects aligns the client’s project goals with the motivations of contrac-
tors to ensure the safe completion of projects by including penalties for any unsafe or
accidents on sites, and incentives for excellent safety and project performance [24].
Safety incentives concept in construction contracts could also lead to excellent safety
practices, reduced accident rates, and improved project performance [24]. Appropri-
ately applying safety incentives in construction contracts can stimulate contractors
to align with client objectives and improve project performance [36, 46, 47].

2.2 Barriers to Designing and Implementing Safety

Incentives in the Construction Industry

Researchers expressed different views on the effectiveness of safety incentive

schemes and how they improve health and safety practices and performance-related
goals in the construction industry [7, 14, 28, 53, 62]. Choi et al. [16] argued
that the construction industry might face three significant barriers in designing
and implementing safety incentive schemes. These are (i) barriers associated with
workers, (ii) barriers associated with organisations or contracting firms, and (iii) the
prevailing barriers to subcontracting practices. The barriers associated with workers,
as described by Choi et al. [16], citing Koehn et al. [33], include the difficulty
of training illiterate workers and the low safety attitude of front-line construction
workers to understand safety incentive schemes. According to Kheni [32], Poon
et al. [ 50], and Choi et al. [16], the construction industry has difficulty in designing
and implementing effective safety incentive schemes because of the high turnover
rate of workers, high mobility of workers, and workers are less familiar with the
workplace environment. Thus, Abas et al. [1] added that inadequate communication
between workers and managers and unsatisfactory safety awareness are barriers to
safety incentive implementation in the construction industry. It is noteworthy to state
464 K. E. Ogundipe et al.

that the execution of construction projects requires the input of professional, skilled,
semi-skilled and unskilled employees with or without formal education. This makes
communication barriers peculiar to the success of safety incentive scheme imple-
mentation [1, 16]. Jiang et al. [29] showed that setting unclear goals, low awareness,
complex manual operations, and inconsistent performance indicators standards are
barriers to safety incentives in the construction industry. Moreover, Karakhan and
Gambatese [31] highlighted that safety incentives should design rewards with the
magnitude and importance of workers’ incentive drives. Safety incentive schemes
could become ineffective if the performance goals conflict with workplace safety and
create tension in organisational profitability [14]. Thus, Brandhorst and Kluge [14]
contend that employees will make a choice between safe and mandatory activities
(less productive) procedure and unsafe and forbidden activities (more productive).
Consequently, Aina and Akinyemi [8] study showed that construction firms use
safety incentives to motivate workers to be more productive. However, the study
shows that the methods and process of selecting appropriate safety incentive schemes
constitute a significant barrier to its effectiveness for construction operations [8].
Cox et al. [17] postulated that most selection processes and methods of designing
and implementing safety incentive schemes in the construction industry neglected
psychological factors. Aina and Akinyemi [8] maintained that the construction
industry often based safety incentive scheme selection methods majorly on discretion,
tradition, study-based, and performance-based measurement. Aina and Akinyemi
[8], citing Kohn [34], maintained that construction organisations often select safety
incentive schemes without investigating the relationship between job performance
and employee incentive drives. Nonetheless, the traditional methods of selecting
safety incentive schemes are influenced by the construction firms’ safety culture, job
complexities, and the capacity to pay. Also, the discretional method of selecting a
safety incentive scheme is influenced by fluctuation in production, timing, and system
of governance. Performance-based selection of safety incentive schemes is influenced
by the availability of standardised work measurement techniques, adequacy of work
and cost–benefit analysis [8]. The study-based selection was influenced by the system
of governance and strategy, cost and benefit analysis and adequacy of work-study.
Nevertheless, Goodrum and Gangwar [22] posited that construction managers’ focus
on the selection process and methods of designing safety incentive schemes should
avoid employees’ loss of confidence and inequity perception towards the safety incen-
tive schemes. Ahassan [5] and Choi et al. [16] added that most contracting firms in
the construction industry operate as small and medium enterprises in SMEs, making
it challenging to implement safety incentives. Contracting firms in this category have
limited budgets, human resources, poor design and implementation of safety incen-
tive schemes, and inadequate attitude of top managers towards safety practices [16].
Goodrum and Gangwar [22], and Shui et al. [54] attributed the barriers to safety
incentive schemes among construction firms to the lack of existing health and safety
policies that address training, culture, financial plan safety incentives, inadequate
record-keeping, and other critical elements.
A Review of Barriers to Safety Incentives Design and Implementation … 465

Fig. 2 Barriers to safety

incentives design and Conflicting
implementation in the SI selection
process
construction industry.
Absent of Lack of
Source: Authors Review national safety incentive
2023 incentive funding
policy planning
Barriers to
safety
incentives
Employees design
Conflicting
inadequate performance
knowledge of goals setting
SI
Construction
firms' systems
of governance

The prevailing barriers to subcontracting practices in the construction industry,

according to Choi et al. [16], Wong and So [61], Yik and Lai [63], are due to
the absence of regulatory systems for standardised subcontracting practices. Choi
et al. [16] added that ineffective communication between clients, contracting and
subcontracting firms, and implementation of safety measures are prevailing barriers
to subcontracting practice in the construction industry. Therefore, the success of
safety incentive schemes largely depends on construction firms choosing an appro-
priate scheme for the right situation [8, 35]. Ji et al. [28] concurred that while the
safety incentive scheme greatly benefits construction organisations, poorly designed
and implemented could deteriorate the quality of production output, affect organ-
isational goals, and increase clerical work calculating incentive earnings. Hence,
overcoming the barriers of perceived fairness preference, risk preference, and the
ability of safety incentive schemes to motivate safety behaviours and meet organi-
sational goals is critical to the safety incentives success in the construction industry
[28] (Fig. 2).

3 Implication of the Study

Designing and implementing safety incentive schemes in the construction industry

generates controversial and divisive opinions among safety professionals and stake-
holders on how effectively it improves construction health and safety practices. This
is due to different barriers affecting the construction industry’s design and imple-
mentation of effective safety incentives. Nonetheless, construction firms face many
difficulties with the types of safety incentives, period of the schemes, management
commitment, worker’s willingness, and process and selection methods of designing
466 K. E. Ogundipe et al.

and implementing safety incentive schemes. The significant barriers to safety incen-
tives scheme design and implementation are linked to workers’ factors, organisa-
tion or construction firms’ factors, and prevailing subcontracting practices in the
construction industry. Understanding these barriers informs construction with various
performance indicators to design and implement safety incentive schemes towards
improving construction industry health and safety practices. Therefore, in developing
effective safety incentive schemes, models, and policies for the construction industry,
it is essential to understand different barriers, which are vital to identify attributes of
safety incentive schemes. This will help to address the following:
• Setting clear goals;
• Understand effective safety incentives selection methods;
• Understanding performance measurement;
• Improvement management commitment to health and safety practices;
• Financial planning for safety incentive schemes;
• Stir workplace behavioural change towards safety practices;
• Develop effective safety incentives policy;
• Improved construction firm safety programme;
• Promote positive peer supervision and feedback;
• Adherence to safety guidelines and regulations;
• Reduced workers’ compensation claims; and
• Encourage collaborative planning for safety incentive schemes.

4 Conclusion and Recommendation

The study reviewed the barriers to safety incentive scheme design and implementation
in construction firms in developing countries. The literature review established that
safety incentive scheme design and implementation barriers are linked to workers’
factors, organisation or construction firms’ factors, and prevailing subcontracting
practices in the construction industry. The study adds to the existing knowledge of
safety incentive scheme barriers to help understand and identify variables and perfor-
mance indicators affecting safety incentive schemes in the construction industry. The
study recommends that having consistent safety incentive schemes in the construction
industry will increase health and safety practices, reduce incident rates and project
delays and ensure that specific performance-related goals are met. It will also help
to understand and improve the administrative processes of safety incentive design
and implementation in the construction industry. Further research is suggested to
survey the perception of stakeholders on the identified barriers to enrich further the
knowledge of safety incentives about its application in the construction industry.
A Review of Barriers to Safety Incentives Design and Implementation … 467

5 Ethics Statement

Not applicable.

Acknowledgements The authors acknowledge the reviewers’ contributions in putting the

manuscript in context. Also, the director of cidb Centre of Excellence and Sustainable Human Settle-
ment and Construction Research Centre, University of Johannesburg, South Africa, for securing
open access to this article.

Author Contributions Kunle E. Ogundipe contributes to conceptualisation, methodology, data

collection, draft preparation, manuscript editing, and visualisation. Babatunde Ogunbayo and
Clinton O. Aigbavboa contribute to manuscript conceptualisation, proofreading, visualisation and
supervision.
Funding This research received no specific financial support from any funding agency.

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Eliminating Building Quality Issues:
A Theoretical Framework Using
the Theory of Planned Behaviour

Fei Ying, Grace Y. Wang, and Matthew Curtis

1 Introduction

Quality issues are one of the primary causes of inferior performance in construction
work, which cause project cost and schedule overruns, reduce labour productivity
and the profitability of construction firms, and undermine clients’ and stakeholders’
satisfaction. It is estimated that the economic cost of quality defects in New Zealand’s
residential construction is $2.5 billion per year [6]. If the quality issues are eliminated,
residential construction output could increase by $112 million annually. The produc-
tivity improvement could lead to a 1.3% wage increase throughout the economy [6].
Previous research observed common defects [38], identified the causes of quality
defects [21], developed frameworks for correlated causes [25] and suggested the
use of technology for classifying, auditing and inspecting the quality defects [39,
43]. However, despite these contributions, quality issues continue to be a widespread
problem in the residential sector [13, 14], as evident in the quality surveys across
various new building types [9, 10].
The key recommendations for raising the quality are education and training in
the workforce, utilising technologies to contain and reduce errors and improving
the construction process [16, 36, 41]. Recently, the focus of quality management
has shifted from post-control to in-process control and pre-control. Factors such

F. Ying (B)
School of Built Environment, Massey University, Auckland, New Zealand
e-mail: [email protected]
G. Y. Wang
School of Psychology and Wellbeing, University of Southern Queensland, Ipswich, Australia
e-mail: [email protected]
M. Curtis
BRANZ, Judgeford, Porirua, New Zealand
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 471
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_30
472 F. Ying et al.

as workers’ motivation, awareness, attitude, emotion, and ability are considered

to determine their behaviour and affect the quality of the product [28]. If work
quality meets standards or specifications in each process, there is a high probability
that the final product will meet acceptable quality. However, it is found that the
current measures, including regulations and technologies, have limited influence at
the operational level. Furthermore, the emergence of Industry 5.0 leads to a shift
from technology-driven progress to a thoroughly human-centric and society-centric
approach [42]. This calls for an innovative idea to facilitate behavioural change in
industry professionals towards eliminating quality issues.
While behaviour change is a complex process, many psychology theories try to
explain why and how individuals or groups change their behaviour. Various factors,
including personal and psychological (individual) characteristics and environmental,
sociological, and cultural context, influence the propensity toward behavioural
change. Sometimes, small changes could lead to long-term impacts. Multiple strate-
gies derived from these psychology theories have shown their effectiveness in health
prevention, such as substance use, gambling, and diet control [18].
In response, the present study proposes a new scheme to investigate the under-
lying issues in quality management and develop a systematic framework for forming
desirable attitudes and behaviours. The framework is built on the theory of planned
behaviour (TPB). In doing this, a literature review maps the causes of defects. The
theory of planned behaviour is explained with examples in the context of quality
management. A systematic framework for forming desirable attitudes and behaviours
to eliminate quality issues proactively is then presented.

2 Quality Issues in the Construction Industry

In New Zealand, the government, industry-leading firms, and research develop

measures to address building quality issues, including the regulatory environment,
the workforce, materials, construction process and knowledge and information [11].
Legislation such as the Building Act 2004 consolidated and reformed the law relating
to building for better regulation and control of buildings [30]. It also provides the
incentives to deliver a building free from defects. The construction industry and
government agencies developed a construction sector workforce plan after the 2011
Canterbury Earthquake to address the skills shortages in the construction workforce.
The Building and Construction Industry Training Organisation (BCITO) was set
up to develop and implement industry qualifications for the sector. However, the
construction industry still needs more skilled people to respond to the industry’s
needs successfully [32]. Material testing conducted independently by the Building
Research Association of New Zealand (BRANZ) provides the industry with confi-
dence regarding material quality [7]. Promoting lean construction and prefabrication
is implemented to address the quality issues in construction processes [8, 26, 40].
Eliminating Building Quality Issues: A Theoretical Framework Using … 473

Nevertheless, most construction firms do business in a traditional format, which

can be reflected in their logistics management performance [44]. Significant invest-
ment has been deposited to accelerate the use of technologies in the growing knowl-
edge and information-rich construction industry. Digital technologies, such as BIM
and simulation, are considered the powerhouse for improving quality in construction
due to the potential to improve the construction process planning [1].

2.1 Causes of Quality Defects

Researchers have categorised the causes of quality issues into single and interacting
factors. Single factors are those direct causes of a defect, such as poor workmanship.
Interacting factors focus on the conditions that allow a defect to occur, such as in the
circumstance that the fundamental objective is timeliness over quality [17]. In New
Zealand, the most common single causes are poor workmanship, build error (work in
the wrong location), material faults and failures, poor coordination between trades,
poor design (difficult to build or incomplete design), procedural errors (including
construction methods and sequencing) [37]. Jingmond and Agren [21] classify the
defect causes as either endogenous or exogenous. Endogenous factors are those
ascribed to the organisational level (such as lack of holistic approach), while exoge-
nous factors are primarily related to materials, technologies and markets (such as
material behaviour).
Further studies explore alternative approaches to classify the causes. Considering
that a root cause is the most fundamental reason for an undesirable condition or
problem [12], studies fundamentally divide defect causes into the root and direct
causes. Root causes are seen as pre-existing and dormant conditions inherited in
defects, while direct causes are related to human actions that trigger these dormant
conditions [22]. Through the lens of the Swiss Cheese model, Aljassmi et al. [4]
further illustrate that defects originate from different levels of the organisation,
namely organisational influence (OI), defective supervision (DS), and preconditions
for defective acts (PDA). Here, PDA is the bottom layer of the root causes, including
the conditions of the worker and environmental and personal factors. These factors
are usually the most immediate cause of defective acts. DS denotes that supervisors
can influence the worker’s conditions. OI comprise decisions made by upper-level
management that can directly affect supervisors’ practices. Correlations and inter-
causalities analysis indicate that defects’ causes are at personal, operational and
organisational levels [21, 25]. Defects are produced and handled in the social prac-
tices of construction projects [24]. Thus, it could be argued that root causes will be
attended to only when studying defects in the social context. Proactively eliminating
defects and quality issues are only possible if the beliefs and attitude of defective
acts are addressed and positively influenced.
474 F. Ying et al.

Behavioural
Behavioural Beliefs
Attitude

Behavioural
Normative Beliefs Subjective Norm Behaviour
Intention

Perceived
Control Beliefs
Behavioural Control

Fig. 1 Structural diagram of the theory of planned behaviour [2]

3 The Theory of Planned Behaviour (TPB)

The TPB was developed by [2] as a general predictive model explaining behavioural
intention across many contexts, from physical activity to drug use, from recycling
to choice of travel model [3]. The TPB is also increasingly used as a framework for
designing and evaluating the effects of behaviour change interventions [19].
As illustrated in Fig. 1, intentions are the most proximal determinant of behaviour,
which are influenced by behavioural attitude, subjective norm, and perceived
behavioural control, each with its own determinants [23]. In TPB, intentions are
defined as the indication of an individual’s willingness to perform a given behaviour
[20]. Behavioural attitude refers to an individual’s evaluation toward performing a
specific behaviour, be it favourable or unfavourable [20]. This attitude is determined
by a person’s belief of whether this behaviour will lead to a particular outcome (their
behavioural belief). Subjective norms refer to the general perception of the prevailing
opinion held by society and significant others about them performing a behaviour.
In the context of construction quality management, that is, a person’s perception
of whether those closest to them think they should or should not manage quality
proactively. Subjective norms are a product of normative beliefs and the motivation
to comply with a particular referent. Normative beliefs refer to the perception of
an individual’s thoughts towards performing a particular behaviour. The importance
of this referent to the individual will determine the value given to this belief. The
more pertinent the referent is, the more likely the behaviour will reflect what they
believe the referent expects from them. Perceived behavioural control (PBC) refers
to the perceived difficulty level in performing the target behaviour. PBC is the only
determinant with the potential to influence behaviour both directly and indirectly via
its influence on behavioural intentions, and directly.

4 Research Method

We used a theory-building research method to guide the development of the theoretic

framework. While a theory is often described as a well-substantiated and scientifically
tested explanation and representation of observed phenomena in the natural world
Eliminating Building Quality Issues: A Theoretical Framework Using … 475

[15], theory building is the ongoing process that lead to production, confirmation
and application of theory. It is considered that applied theory-building research is
an important and useful method in developing and expanding our understanding of
challenging phenomena and problems, as a theory becomes explicitly observable
through the interactive processes of theory construction and empirical inquiry [29].
The inductive–deductive natural aspect of his theory-to-research strategy is well
suited to the applied nature of the behavioural and human sciences.
Thus, five distinct phases are involved in the roadmap in theory-building research,
namely development of the core concept and operational protocols, application of
concept and methods, and testing for confirmation or disconfirmation, and refine-
ment and development of the theory [29]. In the phase of conceptual development,
initial ideas depict the up-to date and most informed understanding and explanation
of the research problem which provides. The purpose a conceptual framework that
addresses the focus of the theory. The operationalisation of a theory needs to be
confirmed or tested in its real-world context. The confirmation or disconfirmation
phase falls within the practice component of applied theory building, while the appli-
cation phase enables further study, inquiry and understanding of the theory in action.
The continuous refinement and development phase marks a further overlap between
the practice and theorising components of the applied theory-building research [29].
This paper reports the findings of the conceptual development by providing
the initial understanding and explanation of proactive quality management in the
construction context.

5 Theory of Planned Behaviour and Proactive Quality

Management

It has long been recognised that quality management is required by all actors in
the construction process and by a change in attitudes and culture [27]. To be able to
proactively manage quality, the behaviour to be promoted is “right-first-time” (RFT).
Originating from the well-known quality management philosophy Total Quality
Management, the right-first-time approach is believed to strive for zero defects [34].
Considering the advocation of addressing the root causes of quality defects in the
social context [24], we suggest that TPB can be used to understand the workforce’s
intentions to support right-first-time as the behaviour of interest. From a practical
point of view, factors related to behaviour change including attitudes, perceived social
norms, and self-efficacy are worth to investigate in construction quality management
because they are all characteristics that can conceivably be changed or influenced.
When these characteristics relevant to proactive quality management are clearly iden-
tified, efforts and resources would be better strategically allocated for intervention
programs development.
476 F. Ying et al.

Beliefs that RFT lead to

certain outcomes
H4 H1
Communication
Gap
1
Attitude toward
undertake RFT
Evaluation of the
outcomes

H5
Beliefs that referents
Participation H2
advocate RFT
Subjective Norm Intention to undertake RFT Undertake RFT
Gap
2

Motivation to comply H3
with referents
Perceived Behavioural
Control
Gap
3

Actual Behavioural
Control

Fig. 2 The framework of utilising TPB in quality management

Hence, we propose a framework of TPB and moderating variables as applied

to a person’s decision to support right-first-time, as shown in Fig. 2. The frame-
work illustrates how the attitude toward RFT, normative support, and perceived
behavioural control lead to the intention to accomplish RFT, which subsequently
leads to behaviour change.
In the context of this research, an individual’s attitude toward the behaviour of RFT
is a function of their positive or negative evaluation of complying with RFT. Under-
lying these attitudes are the individual’s beliefs about the outcome of complying
with RFT. If they believe many positive outcomes are highly likely, they will have
a positive attitude toward it. Thus, attitude toward RFT may be described as the
extent to which the workers feel positively or negatively that doing things right the
first time will lead to specific outcomes. Workers may believe that doing RFT will
save their time and costs, improve the quality of work life, etc. These outcomes can
relate to tangible things, such as financial profit and intangible ones, such as personal
and company reputation. This would lead to a more favourable attitude toward RFT,
despite the concerns about thin profit margin, low productivity, and the vast impact of
mental health issues in the construction industry [5, 31, 35]. Hence, we hypothesise
the following:
H1 Workers’ positive perception of RFT (worker attitude) will be positively
associated with their intention to comply with RFT.
The second determinant of behavioural intervention is subjective norm, which is a
person’s perception that most people who are important to them think they should or
should not perform the behaviour in question. In the context of this research, the refer-
ents can be clients, co-workers, supervisors, competitors and suppliers. It is hence
essential to appreciate these referents’ perceptions of right-first-time whether product
functionality, aesthetics, or information reliability. However, this perception may or
may not reflect what the significant others actually think. Normative beliefs deter-
mine individuals’ perception of norms and their motivation to follow with specific
Eliminating Building Quality Issues: A Theoretical Framework Using … 477

referents. Normative support influences the social aspects of decision-making that

entails the workers’ belief whether others in their support network want them to
support or oppose the RFT initiation and whether motivation to comply is in line
the wishes of those persons. TPB suggests that the perceived support of significant
others will influence workers’ decisions regarding RFT. The perspectives of peers
are critical in shaping the views of workers due to the effects of the organisational
culture of the quality control [21], the need for quality defective supervision [25] and
the impact that peers have on the work environment where workers learn problem-
solving for quality issues [24]. Together the focal person’s work peers, clients and
community expectations for quality build motivate workers to comply with RFT.
Accordingly, the second hypothesis is as follows:
H2 Increases in work perception of normative support for RFT will lead to enhanced
intention to comply with RFT.
Control beliefs are beliefs related to the key factors that facilitate or hinder the
performance of a behaviour. Suppose workers believe that they have the required
resources and opportunities that enable them, as well as the lack of obstacles that
impede the implementation of doing things right the first time. In that case, they
should have greater levels of perceived behaviour control. This control belief can be
enhanced by their past experiences or by observation of others proactively managing
the quality. This reflects the importance of company culture and the general attitude
of the workforce. Perceived behavioural control refers to the workers’ assumption
of the barriers individuals are facing and their ability to overcome them. Previous
literature found that the dominant cause of quality defects lies within organisational
shortcomings [21]. Existing research probed in depth for the actual behavioural
control, including the required opportunities and resources to manage quality, such
as training, skills and technologies. Anecdotal evidence suggests that workers believe
they have limited control of the construction process and the quality of others’ work
[33]. Hence, we expect the following:
H3 Workers’ perceived behavioural control will be positively associated with their
intention to support RFT.
Indeed, TPB typically focuses on attitude, subjective norm, and perceived
behavioural control to target an individual’s respective underlying beliefs. It also
suggests that some of the most potent ways to change behaviours are through persua-
sive communications, information provision, newsletters, face-to-face meetings and
discussions, and observational modelling. By providing information and participative
opportunities for workers to develop beliefs about the likely consequences (attitude)
of RFT, the normative expectations of others regarding support undertaking RFT
(subjective norm) and potential facilitators and barriers to performance (perceived
behaviour control), workers can foster readiness to support the RFT initiative. Thus,
the following main and mediating relationships are proposed:
H4 Workers who report receiving accurate and purposeful communication about
proactive quality management are likely to exhibit higher levels of intentions
478 F. Ying et al.

to engage in RFT, and this relationship will be mediated by attitude, subjective

norm, and perceived behavioural control.
H5 Workers with better opportunities to participate in the RFT initiative will show
greater levels of intentions to engage in RFT, and this will be mediated by
attitude, subjective norm, and perceived behavioural control.

6 Conclusions and Further Research

Developing an effective intervention for preferred/targeted behaviour would require

identifying all influencing factors and their associations as the first step. A summary
of the working hypotheses is depicted in Fig. 2. First, it was hypothesised that attitude,
subjective norm, and perceived behavioural control would be positively associated
with intentions to engage in RFT (Hypotheses 1 to 3, respectively). Also, commu-
nication and involvement of the knowledge, impact and process of proactive quality
management are hypothesised to be positively related to intentions (Hypotheses 4
and 5). Drawing from literature findings, this paper demonstrated the potential of
applying the TPB in the context of quality control and proposed hypotheses for future
research. Answering these hypotheses would solidify the design and evaluation of
the interventional programme.
Three research gaps were identified while developing the TPB framework for
proactive quality management. The first research gap is quality management’s social
and environmental outcomes and its impact on individual workers or construction
firms. While the economic outcomes of quality management have been widely
discussed, limited research dwells on this, which is critical to identify and shape
the beliefs of individual and social norms.
The second research gap concerns referents and their thoughts about proactive
quality management. To address this gap, further research will determine the referent
groups that have valuable social impacts on construction workers in quality issues
and referents’ expectations of RFT. Considering the fragment of the construction
industry, it is crucial to depict each trader’s perception of what is right the first time.
For example, for plumbers, right the first time is about more than just getting their
work done without defects. It also includes leaving workable space for downstream
traders if space is constrained. Further, research can start with the trades having the
most recurrent defects to understand the expectations in various scenarios.
The third research gap exists the link between actual and perceived behavioural
control. In situations where one’s perceived behavioural control is inaccurate in
predicting actual behaviour control, then perceived behavioural control would be
unlikely to predict actual behaviour directly. Worse, perceived behavioural control
becomes an erroneous prediction of actual behavioural control when the individual
has little information about the behaviour, when requirements or available resources
have changed, or when new and unfamiliar elements have entered the situation.
Therefore, aligning perceived and actual behavioural control is essential to support
behaviour change. Further research is to establish the perceived behaviour control
Eliminating Building Quality Issues: A Theoretical Framework Using … 479

according to different trades and stakeholders, to provide actual behavioural control

matching the perceived behaviour control.
In sum, human behaviour is complex and influenced by multiple interrelated vari-
ables. Some variables are related to individual characteristics, while others are associ-
ated with a wide range of social and environmental factors. The TPB offers a holistic
approach to understanding the mechanisms underlying human behaviours. This
framework itself does not appear simple but provides a clear structure for an improved
understanding of human behaviours and intervention design for behavioural change.

7 Ethics Statement

Not applicable.

Author Contributions Fei Ying contributes to conceptualization, investigation, draft preparation,

and manuscript editing. Grace Wang contributes to conceptualization, framework development, and
draft preparation. Matthew contributes to conceptualization and manuscript editing. All authors have
read and agreed with the manuscript before its submission and publication.
Funding This project has been enabled through BRANZ Research Levy funding. We would like
to acknowledge the funding made by BRANZ Inc under the contract LR16868.

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Organisational Leadership as a Driver
for the Delivery of Sustainable
Construction in South Africa

Matthew Ikuabe, Clinton Aigbavboa, Samuel Adekunle,

Murendeni Liphadzi, and Peter Adekunle

1 Introduction

Sustainability has been a topic of germane concern for various individuals of different
countries, of varying professions and diverse disciplines. The United Nations (UN)
has set goals and objectives towards the attainment of sustainability in terms of the
social, economic and environmental concepts [4, 13]. In construction, there have
been challenges in the design of buildings resulting from a variety of impacts to
the environment such as the utilisation of energy and water, the loss of biodiversity
from raw material extraction, deforestation for new infrastructure and waste resulting
from construction processes and facilities usage [14]. Sustainability in the construc-
tion industry accounts for economic, social and environmental factors to effectively
reduce the construction industry’s impact on the environment. This includes the use
of sustainable policies and practices when dealing with the design, material and
methods of construction projects. The entire construction industry is regarded as a
vital sector for achieving sustainable development in society, but the change towards
adopting the process of sustainable practice has been termed to have a “lazy view”
[1]. Furthermore, it has been seen to be inhibited by leadership challenges, as Opoku
and Ahmed [15] noted that the much-desired change needed in the construction
industry is demanded from its leaders.
Construction has been characterised to be largely a key contributor to the cause
of environmental problems which spans from a high volume of consumption of
resources across the globe both in terms of construction projects and operations

M. Ikuabe (B) · C. Aigbavboa · S. Adekunle · M. Liphadzi · P. Adekunle

Sustainable Human Settlement and Construction Research Centre, Faculty of Engineering and the
Built Environment, University of Johannesburg, Johannesburg, South Africa
e-mail: [email protected]
M. Liphadzi
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 483
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_31
484 M. Ikuabe et al.

of buildings to the polluting of the environment [14]. The construction industry in

South Africa is one of the largest employers who make provision for infrastructure
and support for local economic activities; it, therefore, plays a vital role in the social,
economic and environmental development of the nation. Due to South Africa’s past,
the construction industry faces a number of developmental and transformational chal-
lenges such as the inability to access opportunity, finance and training with regards
to leadership [11]. The construction industry in South Africa focuses more on the
management aspect of construction rather than in the leadership towards sustain-
ability. This orientation by the construction industry results from a short supply of
skilful project leaders. There is a lack of output with regards to research on lead-
ership in the South African construction industry due to the inadequate knowledge
with regards to social engineering within the industry. However, there has been an
increase in the consciousness among construction industry stakeholders for the need
to reposition leadership so as to enhance project delivery and performance. The
need for leadership and its development is extremely important in South Africa [11].
Also, Velsor [21] highlighted the significance of instituting the relationship between
sustainability and leadership.
Sustainable construction is important in the sense that it is a holistic process which
aims at the maintenance and re-establishment of the harmonious relationship between
nature and the built environment, by creating spaces which encourages economic
quality and upholds human dignity. Therefore, the delivery of sustainable construc-
tion projects through organisations should be supported by the commitment and
inspiration of leadership, which has a clear understanding of the sustainability chal-
lenge [16]. Leadership and sustainability have been studied separately over the years
in the context of the built environment but have yet to be further explored together.
The construction industry needs intra-organisational leadership which is poised for
a sustainable outcome, and which provides “the collective vision, strategy and direc-
tion towards a sustainable future”, as Songer et al. [19] indicates that the industry is
plagued by numerous problems, and one of it is leadership. Sustainable construction
project delivery demands the active support of leadership that is committed, willed
and inspired with a clear understanding of sustainability and its implementation [16].
Based on the aforementioned, this study seeks to evaluate the roles of organisational
leadership in the delivery of sustainable construction. The study gives professionals
and construction industry stakeholders the knowledge on the roles of organisational
leadership in delivering sustainable construction and the various sustainable practices
that can be adopted and the benefits of delivering sustainable construction.
Organisational Leadership as a Driver for the Delivery of Sustainable … 485

2 Literature Review

2.1 Contextualising Sustainable Development in South

Africa

The aim of sustainable development is to enhance the social and economic conditions
whilst minimising and preventing the negative environmental impacts. However, the
attainment of sustainable development comes with a lot of challenges. It needs a
comprehensive and integrated approach, whereas the construction industry predom-
inantly functions in a disjointed system. Sustainable development application in the
industry has faced challenges to be understood and which has not been sufficiently
interpreted into practical implementation [7]. The construction and built environment
contribute tremendously towards global warming, and it has a vital role to play in the
world’s economies. The impacts of the concepts of sustainability on the built envi-
ronment on an aggregate scale are energy use (40%), freshwater use (17%), wood
harvest (25%), material use (40%), world workforce (10%) and erection of buildings
on productive land [7].
In the environmental perspective, scenario modelling and legislation indicates the
importance of the built environment to encourage the adoption of sustainable devel-
opment. For the adoption of sustainable development, its measures and applications
need to be easily understood. Objectives can be set for achieving sustainable devel-
opment in the built environment. These objectives should ensure the adherence of
the built environment in the drive for sustainable development within the tenets of
its framework. Department of Environment Affairs [3] proposed sustainable devel-
opment objectives for the built environment, which includes the integrated land use
and development with prevailing and future planned infrastructure, for the certainty
of a well-encompassing deployment of land use and efficient systems. The develop-
ment of water, sewage and storm water runoff should minimise the use of municipal
water which is potable as well as minimise the disposal of sewage into municipal
systems. Materials used in construction developments should aim to curtail the nega-
tive impacts of construction projects on the environment and further bring about a
reduction of resources consumption. Construction project’s economic and social
impacts ought to bring about maximised positivity. Local economies which create
work and sustainable enterprises in diverse production lines should be supported by
development. Transport development must aim to reduce the use of cars in order to
ensure energy efficiency; transportation which is environmentally friendly should be
encouraged. Housing developments should support the inclusion of people to reduce
travelling times and distances as well as affordable housing. Developments should
also support social cohesion and inclusion. Targets which resonances the context of
South Africa ought to be established for developments and the correct administration
and monitoring of developments should be carried out to ensure success [7].
486 M. Ikuabe et al.

2.2 Organisational Leadership and Sustainable Construction

An organisation’s pursuit of its strategic direction, desired outcomes, sustainable

success and survival is essentially hinged on its organisational leadership [18]. It
is a vital component in the construction industry and a key factor in the direction
towards a sustainable built environment. Reference [2, 20] outlined the importance
of leadership in the provision of a supportive working environment for stakeholders.
Leadership is needed to provide a united vision, common goal and strategy in an effort
to creating a sustainable future for the construction industry and society. This is perti-
nent to the construction industry considering its large and complex nature coupled
with its involvement in the fusion of specialised and multidisciplinary skills [12]. The
sustainable approach taken by leadership should be embedded in the organisation’s
activities and sustainable development as well as be a part of the business strategy
[16]. Leadership entails the mindset, knowledge, talents, skills and abilities to lead
people and organisations coupled with the ability to positively bring change towards
a sustainable future through the perspectives and reflections of reality. Leadership is
about creating success for other people and ensuring that they have the means and
mechanisms for achieving success. Good leaders have a solid core of precepts and
beliefs that gives direction in their leadership; these are essential elements [18].
According to Opoku et al. [16], the role of organisational leadership is diverse
and includes giving direction while outlining the vision and driving the organisation
towards sustainability. Strategic procedures for the adoption and implementation of
sustainable practices can put the organisation on the path of sustainable development.
These include driving forward the sustainability agenda within the organisation by
providing guidance notes, training and awareness courses for staff. Furthermore,
top management cadre engages in cascading managerial decisions down as a result
of the impacts of sustainability are often localised [5]. Also, Paraschiy et al. [17]
portrayed the significance of visionary management in the projection of sustainability
among responding organisations. Others are marketing and promoting the benefits of
sustainability to potential clients and other project-related stakeholders and lobbying
government for legislation to promote sustainable change, also, by acting as sustain-
ability integrator across all sections and departments of the organisation as well as
developing, utilising and maintaining an environmental management system across
the organisation. Equally, by promoting a culture of compliance with statutory and
related legislation, setting and monitoring sustainability targets, and performance.
Project players have particular roles to play in the course of project execution, and
the guarantee of a successful project depends on the work diligence of the project
players [9, 10].
Organisational Leadership as a Driver for the Delivery of Sustainable … 487

3 Methodology

The study focussed on assessing the roles of organisational leadership in the delivery
of sustainable construction in South Africa. A questionnaire survey was adopted
for the study with Gauteng Province, South Africa, as the study area. Construc-
tion professionals, namely architects, quantity surveyors, engineers, construction
managers and project managers, made up the population of the study. The question-
naire was made up of two divisions, the first elicited the demographic information of
the respondents while the other entailed respondents being asked to rank the roles of
organisational leadership in the delivery of sustainable construction; also they were
asked to rank the internal and external factors affecting organisational leadership on
the delivery of sustainable construction based on the level of their agreement. A total
of eighty-six questionnaires were distributed to the respondents, while fifty-five were
retrieved for analysis. The methods of data analysis deployed are percentages, mean
item score, standard deviation, and Kruskal–Wallis h-test. The Mean item score was
used in ranking the identified roles of organisational leadership in the delivery of
sustainable construction, and also the internal and external factors affecting organi-
sational leadership in sustainable construction delivery. Also, Kruskal–Wallis h-test
was deployed in ascertaining if there is a difference in opinions of the sampled
professionals with respect to the roles of organisational leadership in the delivery
of sustainable construction. On this basis, any variable with p-value greater than
0.05 implies that there is no significant difference in the responses provided by the
professionals, while a variable having a p-value less than 0.05 implies that there is a
significant difference in the responses provided by the professionals. Furthermore,
Cronbach’s Alpha test was conducted to determine the reliability of the question-
naire. Alpha value of 0.911, 0.926 and 0.899 were derived thus indicating a high
reliability of the research instrument.

4 Results

4.1 Demographic Information of Respondents

The result of the background information of the respondents shows that 36% of the
respondents are architects, 28% construction managers, 20% quantity surveyors, 12%
engineers and 4% project managers. Also, 79% of the respondents work in private
organisations while 21% work in public organisations. Respondents’ information
on the highest educational qualification indicates that 44% of the respondents have
a bachelor’s degree, 36% have a diploma, 16% have master’s degree and 4% have
Doctoral degree. Based on years of working experience, respondents with 4–6 years
was the highest with 48%, 1–3 years with 20%, 7–10 years with 12% and 11 years
and above 20%.
488 M. Ikuabe et al.

4.2 Roles of Organisational Leadership in the Delivery

of Sustainable Construction

Table 1 reveals the respondents ranking of the roles of organisational leadership in

the delivery of sustainable construction in the South African construction industry.
According to the respondents, the top roles are act as sustainability integrators, and
providing direction and setting vision which is ranked first with a mean item score
(MIS) of 4.00, respectively; closely followed and ranked third is leading, encouraging
and supporting employees and departments on sustainability rank with MIS of 3.96.
Fourthly ranked is creating awareness on sustainability with MIS of 3.80. The least
ranked among the roles in developing sustainability strategies having MIS of 3.52.
Results from the Kruskal–Wallis H-test conducted shows that all the identified roles
all have a p-values greater than 0.05, thus indicating that there is no significant
difference in the responses provided by the respondents with respect to professional
affiliation.

Table 1 Roles of organisational leadership in sustainable construction delivery

Roles MIS R K-W
X2 Sig
Act as sustainability integrators 4 1 5.298 0.339
Providing direction and setting vision 4 1 3.882 0.521
Leading, encouraging and supporting 3.96 3 11.391 0.072
employees and departments on
sustainability
Monitoring sustainability targets and 3.84 4 3.092 0.936
performance
Creating awareness on sustainability 3.8 5 4.228 0.452
Driving the sustainability agenda 3.76 6 9.925 0.444
Formulating policies and influencing 3.76 6 1.207 0.395
implementation
Providing and leading training on 3.72 8 6.839 0.649
sustainability
Lobbying government for 3.56 9 5.915 0.487
sustainable change
Developing sustainable guidance 3.52 10 10.229 0.329
notes and policies
Developing sustainability strategies 3.52 10 9.321 0.551
N.B: MIS Mean Item Score, R Rank, K-W Kruskal–Wallis H-test
Organisational Leadership as a Driver for the Delivery of Sustainable … 489

Table 2 Internal factors

Internal factors MIS SD Rank
affecting organisational
leadership in the delivery of Organisational policy 4.20 0.866 1
sustainable construction Opportunities for learning 4.16 0.688 2
Organisational mission 4.16 0.800 2
Organisational culture 4.08 0.997 4
Organisational goals 4.04 1.060 5
Fostering of innovation 4.00 1.041 6
Communication methods 4.00 1.080 6
Team interactions 3.96 1.098 8
Organisational Structure 3.88 0.927 9
Leadership 3.88 1.092 9
Hierarchical systems 3.76 0.926 11
N.B: MIS mean item score, SD standard deviation

4.3 Internal Factors Affecting Organisational Leadership

in the Delivery of Sustainable Construction

Table 2 shows the respondents ranking of the internal factors affecting organisa-
tional leadership in the delivery of sustainable construction in the South African
construction industry. Accordingly, the topmost ranked factors are organisational
policy ranked first with MIS of 4.20 and SD of 0.866; two factors are ranked second
which are opportunities for learning and organisational mission with MIS of 4.16 and
SD of 0.688 and 0.800, respectively. The least ranked factor is hierarchical systems
having MIS of 3.76 and SD of 0.926.

4.4 External Factors Affecting Organisational Leadership

in the Delivery of Sustainable Construction

Table 3 reveals the respondents ranking of the external factors affecting organisa-
tional leadership in the delivery of sustainable construction in the South African
construction industry. Based on the response gotten, the top factors were technology
ranked first with MIS of 4.16 and SD of 0.943, client ranked second with MIS of
4.12 and SD of 0.971, industry demands and economy both ranked third having MIS
of 4.08 and having SD of 0.812 and 0.909 respectively. The least ranked factor is
suppliers having MIS of 3.72 and SD of 1.021.
490 M. Ikuabe et al.

Table 3 External factors

External factors MIS SD Rank
affecting organisational
leadership in the delivery of Technology 4.16 0.943 1
sustainable construction Clients 4.12 0.971 2
Industry demands 4.08 0.812 3
Economy 4.08 0.909 3
Availability of manpower 4.00 0.913 5
Physical resources 4.00 1.041 5
Society 4.00 0.866 5
Communal values 3.96 0.889 8
Competitors 3.88 1.013 9
Politics 3.88 0.971 9
Legislation 3.88 1.013 9
Investors 3.80 1.323 12
Suppliers 3.72 1.021 13
N.B: MIS mean item score, SD standard deviation

5 Discussion

The roles of organisational leadership in delivering sustainable construction in the

South African construction industry were analysed in the study. Based on the find-
ings, prominent among the roles are acting as sustainability integrators and providing
direction and setting vision. This is in consonance with the study of Opoku et al. [16]
which stated that the leadership of organisations should serve as drivers of sustain-
ability by steering the organisation towards attaining modern ideas that meet up with
keeping up with sustainability concepts. Also, Rainey [18] and Ofori and Toor [12]
noted that strategic direction is a paramount value of leadership. Hence, in actual-
ising the dream of attaining sustainable construction, the leadership of organisations
ought to have a clear strategy devoid of impairments which yield the desired outcome.
Thus, for the South African construction industry to attain the lofty heights of sustain-
able development, it is imperative that the leadership of construction organisations
inculcate the tenets of sustainability its core vision and policy statements.
As indicated in the study, a variety of factors affect organisational leadership
in the delivery of sustainable construction. Top among the internal and external
factors are organisational policy and technology, respectively. This is corroborated
by Gleeson [8] stating that an organisation is clearly influenced by its adopted aim
and purpose which influences decisions taken by the top hierarchy of the organi-
sation. This reinforces the notion that the policies enacted by the top management
of organisations gives a direction as to the chances and possibilities of delivering
construction projects within the ambits of sustainable construction. Also, Finch [6]
stated that technological innovations at the disposal of top management of organisa-
tions affect decision making. Hence, the drive towards sustainable construction by
Organisational Leadership as a Driver for the Delivery of Sustainable … 491

organisational leadership is highly influenced by the availability and technicalities

behind the use of technology in achieving such a purpose. Technological innovations
would go a long way in aiding sustainable construction, hence, when readily avail-
able, project delivery using sustainable construction would be highly encouraged by
top management.

6 Conclusion

A scrutiny of the roles of organisational leadership towards delivering sustainable

construction was carried out by the study. Revealed from the study are the most
important roles for organisational leadership in attaining the pursuit of sustainable
construction, and these include acting as sustainability integrators and providing
direction and setting a vision. The top management of organisations has prominent
roles to play in delivering the much-desired goal of sustainable construction; hence
they act as key players by providing the necessary direction and formulating poli-
cies that adequately inculcates the tenets of sustainability. The major factors that
affect organisational leadership in delivering sustainable construction are organisa-
tional policy and technology. On this premise, the study recommends that leaders in
organisations and policy formulators should be acquainted with the demands driving
sustainability in construction processes. Hence, in steering the organisation towards
attaining its core mandates, sustainability principles should be incorporated to allow
for the coherent pursuit of achieving organisational goals in line with sustainable
construction.

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Post-disaster Recovery: A Critical
Assessment of Housing Reconstruction
Types and Features in Fiji

Mohamed Elkharboutly and Suzanne Wilkinson

1 Introduction

Fiji, situated in the Pacific Ocean, is a collection of 322 islands covering an expansive
area of 1.3 million square kilometres. Out of these islands, only 110 are presently
inhabited. The overall land area of Fiji is 18,274 square kilometres. Notably, and as
shown in Fig. 1, more than 85% of this land area is concentrated in the two largest
islands, Viti Levu and Vanua Levu, constituting 87% of Fiji’s total land area [38]
The capital of Fiji is Suva, located on the southeast coast of Viti Levu, the most
developed and densely populated island. Additionally, three out of the five main
cities are situated in Viti Levu: Lautoka, known for its significance in the sugarcane
industry; Nadi, housing the primary international airport; and Ba, recognised as a
prominent cultural centre in the country [25].
Fiji’s total population stands at 884,887, with nearly 44% residing in rural commu-
nities. The distribution of the population among the Fijian Islands is depicted through
divisions [18].
Fiji is administratively divided into Northern, Central, Eastern, and Western divi-
sions, further subdivided into provinces, totalling 15 provinces, including Rotuma
Island. Each province is composed of multiple villages, amounting to a total of 1193
villages, according to the Fiji Islands Bureau of Statistics [17]
The country is frequently affected by cyclones and flooding, resulting in loss of
lives, homelessness, and the destruction of homes and livelihoods. These recurrent
events impose a significant social and financial burden on the government, as reported
by the Office for the Coordination of Humanitarian Affairs [31]. Between 1972 and

M. Elkharboutly (B) · S. Wilkinson

Massey University, Palmerston North, New Zealand
e-mail: [email protected]
S. Wilkinson
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 493
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_32
494 M. Elkharboutly and S. Wilkinson

Fig. 1 Map showing the population distribution in Fiji. Source Elkharboutly [13]

1982, cyclones led to the destruction of over 17,000 homes and 700 schools [9].
The United Nations situation reports on Fiji revealed that from 1993 to 2012, the
country incurred nearly 1 billion Fijian dollars in damages due to tropical cyclones.
The tropical cyclone season spans from early November to late April, as outlined by
the Fiji Meteorological Service [40].
In February 2016, Fiji experienced the impact of tropical cyclone (TC) Winston,
with the Western Region and Koro Islands identified as the areas most severely
affected, as reported by the United Nations Office for the Coordination of Humani-
tarian Affairs in Fiji OCHA [31]. The devastation caused by the cyclone had reper-
cussions for 540,000 individuals, equivalent to 67% of the nation’s total population,
as noted by Esler in 2016. The Fijian Ministry of Economy estimated the recovery
costs from TC Winston’s aftermath to be 1.69 billion Fijian dollars, according to
Cirikiyasawa [11].
In the aftermath of the cyclone, the Fijian government introduced the Help for
Homes scheme (HFH), characterised as an owner-driven, government-assisted initia-
tive, as outlined by the Government of Fiji in 2016. This study centres on the primary
natural hazards in Fiji, specifically cyclones and their impact on housing, considering
it the most vulnerable sector in the country due to tropical cyclones. The recurrence
of cyclones necessitates the construction of houses with specific features to effec-
tively withstand cyclone damage. The paper undertakes an analysis of the prevalent
construction types in Fiji and evaluates their features in comparison to internationally
recognised standards for cyclone-resistant housing.
Post-disaster Recovery: A Critical Assessment of Housing … 495

2 Literature Review

2.1 Tropical Cyclones in Fiji

Tropical cyclones represent a common threat to communities in the South Pacific,

bringing about significant challenges. The formidable winds accompanying these
cyclones, coupled with heavy rainfall, high tides, and flash floods, result in the loss
of lives and widespread property destruction [10]. The impact of tropical cyclones on
Fijian communities has been profound, marked by centuries of recurring devastation.
These recurrent destructive events not only cause considerable social distress but also
impose a substantial financial burden on the government [31].
Historical records reveal the severity of the impact, with statistics indicating that
between 1972 and 1982, over 17,000 homes and 700 schools succumbed to destruc-
tion caused by cyclones [9]. Additionally, as outlined in Table 1, the period from
1993 to 2012 witnessed frequent cyclones resulting in a staggering loss of nearly
1 billion Fijian dollars in damages due to tropical cyclone events. In Fiji, the trop-
ical cyclone season spans from early November to late April, as outlined by the Fiji
Meteorological Service [40].
Moreover, tropical cyclones are deemed multifaceted hazards, giving rise to
various detrimental effects such as flash floods, landslides, coastal erosion, strong
winds, airborne debris, and salinization [35].
As indicated in Table 1, the repetitive occurrence of tropical cyclones has inflicted
substantial damage on Fiji’s housing inventory, in addition to causing harm to infras-
tructure, agriculture, and livelihoods. The primary factor contributing to the destruc-
tion and impairment of houses is the development of strong wind gusts during tropical
cyclones.

2.2 Post-disaster Housing in Fiji

For generations, native Fijians adhered to the traditional practice of self-recovery

following each natural disaster, encompassing activities like food redistribution,
house reconstruction, and even the relocation of entire villages [36]. The govern-
ment’s involvement in house rebuilding activities only commenced in late March
1910, prompted by a severe cyclone that damaged all houses on Bau Island. This led
to a government initiative to construct 80 homes in the affected region, providing
assistance in the form of traditional building materials and grants for the victims. The
traditional bure, a prominent housing type, played a crucial role in Fiji’s self-recovery
until the 1940s [4, 6].
In 1960, the Emergency Services Committee (EMSEC) was established as an
ad-hoc national committee under the Ministry of Finance, primarily tasked with
issuing warnings and providing short-term relief and rehabilitation during disasters
[7]. However, limited budget allocations hindered the development of the intended
496 M. Elkharboutly and S. Wilkinson

Table 1 Fiji’s major cyclones over 23 years

Date Natural Cyclone Houses Houses Amount of References
hazard category destroyed damaged loss, in
millions
(FJD)
02/01/ Tropical 4 Value (110 FJD) 110 UN-DHA situation report
1993 cyclone [32]
Kina
1998 Tropical 4 Value (18.3 FJD) 18.3 UN-DHA situation report
cyclone no. 4 [30]
Gavin
14/01/ Tropical 3 2662 5890 3.0 UN-DHA report no. 5 [1]
2003 cyclone
Ami
04/04/ Tropical 1 18 92 6.25 NDMO Report on TC
2007 cyclone Cliff [27]
Cliff
28/01/ Tropical 3 Value (5.187 FJD) 5.19 APCEDI Report
2008 cyclone [2]
Gene
16/12/ Tropical 2 Value Value 19.9 NDMO Report on TC
2009 cyclone (7.04 (12.85 Mick, National disaster
Mick million million Management Office [28]
FJD) FJD)
11/03/ Tropical 4 649 1387 10.2 NDMO report on TC
2010 cyclone Tomas [29]
Tomas
17/12/ Tropical 4 2094 6403 27.83 PDNA [16]
2012 cyclone
Evan
20/02/ Tropical 5 Over 751 PDNA (2016)
2016 cyclone 30,000
Winston
Source Elkharboutly [13]

services and efforts to provide housing capable of withstanding natural hazards were
redirected towards offering temporary shelters and tents for affected communities
[7].
The Prime Minister’s Hurricane Relief Committee (PMHRC) was established
after Cyclone Bebe in 1972, responding to the crisis that left 60,000 people without
shelter [24]. Despite facing challenges, such as purchasing and distributing over 5000
tents, the committee initiated a housing program after Cyclones Bebe, Lottie, and Val.
Due to insufficient funds, the PMHRC shifted its focus to rebuilding schools, offering
soft loans for house reconstruction to individuals providing securities against the
loans. In 1974, with foreign financial aid, a housing program commenced, adopting
Post-disaster Recovery: A Critical Assessment of Housing … 497

different models like the Woodtex house in Kadavu island and the Union Marketing
model in the outer islands [9].
Tropical cyclone Bebe in 1972, considered one of Fiji’s most devastating cyclones
[42]. The damages prompted the PMHRC to introduce various housing models
between 1972 and 1982 under the Hurricane Relief Homes program. These included
concrete block walls with corrugated iron roofing in Rotuma and parts of the Yasawa
group, traditional bure houses with concrete foundations in Lau Island, timber-framed
houses in Lau, Yasawa, and Kadavu Islands, and the Woodtex house model origi-
nating from a New Zealand government donation. However, the Woodtex house had
limitations, such as plywood’s vulnerability to water, necessitating additional layers
of mortar. Moreover, its construction required substantial water, impacting its feasi-
bility in remote villages, and a shortage of skilled labour affected the houses’ cyclone
resistance [9, 37].

2.3 Damages to Housing Resulting from TC Winston

In February 2016, tropical cyclone Winston struck the Fiji Islands, with its impact
notably felt in the Western Region and the Koro Islands, as reported by the United
Nations Office for the Coordination of Humanitarian Affairs in Fiji. TC Winston’s
effects reached 540,000 people, equivalent to 67% of the country’s entire population,
according to Esler [15]
The devastation caused by tropical cyclone Winston was extensive, leaving resi-
dents in the impacted areas as shown in the path of the cyclone Fig. 2, without essen-
tial necessities such as food and shelter. The affected communities faced disrup-
tions in their livelihoods due to crop loss, damage to homes, public services, and
infrastructure, including roads, affecting transportation to and from villages [21].
Following tropical cyclone Winston, the Fijian government conducted an assess-
ment to gauge the extent of regional damage. This evaluation aimed to appropriately
allocate assistance to the affected communities based on their specific needs [15].
According to the Post-Disaster Needs Assessment (PDNA), 57% of Fiji’s housing
stock was reasonably well-constructed, comprising timber-framed houses with corru-
gated iron or timber cladding, while 40% consisted of concrete or masonry struc-
tures. Despite this, the estimated value of damage to the housing sector exceeded
750 million Fijian dollars [11]. The Fijian government reported that the anticipated
costs for recovery and reconstruction after TC Winston in 2016 surpassed 0.9 billion
USD, representing over 20% of the country’s GDP in 2016 [22].
The havoc caused by tropical cyclone Winston was massive, leaving inhabitants in
the affected areas without food or shelter. The livelihood of the affected communities
was disturbed due to the loss of crops and damage to homes and public services, in
addition to destroyed roads and infrastructure, which affected commuting to and
from the villages.
498 M. Elkharboutly and S. Wilkinson

Fig. 2 Tropical cyclone Winston 2016’s path. Source Elkharboutly [13]

2.4 Village Damage After Tropical Cyclone Winston

Tropical cyclone Winston struck the village during the night and owing to its
geographical position and the confluence of high tide and heavy rainfall, the entire
village was inundated. Combined with the intense winds, this made it one of the most
severely affected areas in Fiji. The village faced extensive flooding, and out of its 98
houses, 54 suffered irreparable damage, while 33 sustained partial damage. Seeking
refuge, the village community sought shelter in two concrete houses and the village
church. The extent of damage to housing, stored food, and crops cultivated in the
village is depicted in Fig. 3.

2.5 The HFH Scheme in Post-TC Winston

In the post-Tropical cyclone Winston reconstruction efforts, the Fijian government

implemented the Help for Homes scheme (HFH) as a government-assisted, owner-
driven initiative [19]. Under this scheme, homeowners were eligible to receive hard-
ware assistance valued up to 7000 Fijian dollars for the reconstruction or repair
of their damaged homes. To determine eligibility and the allocated amount, the
government established specific criteria for homeowners to meet.
Post-disaster Recovery: A Critical Assessment of Housing … 499

Fig. 3 Damage to Namuaimada village after Cyclone Winston. Source Elkharboutly [13]

The implementation of HFH occurred in three phases, targeting 12 districts signif-

icantly impacted by TC Winston, and the final phase concluded on July 24, 2017 [33].
The project followed an electronic-voucher-based system, where vouchers could only
be redeemed for the purchase of house-building materials from designated hardware
stores, as outlined in the flowchart of activities presented in Fig. 4 [19, 39].
To participate in the program, beneficiaries underwent an application process
and were assessed by a representative from the Ministry of Women, Children, and
Poverty Alleviation (MWCPA) to determine their eligibility and the approved finan-
cial assistance amount. Beneficiaries received 1500 Fijian dollars for minor damage,
3000 Fijian dollars for significant damage, or 7000 Fijian dollars for a complete house
rebuild. Eligible beneficiaries were issued a voucher card loaded with the approved
cash amount.
The program encountered challenges related to material availability, often necessi-
tating imports. Another issue involved the logistical difficulty of delivering materials
to individuals, particularly in maritime and rural communities. Additionally, a lack
of construction expertise within the communities had a detrimental impact on the
quality of houses, consequently heightening the vulnerability of these communities.
500 M. Elkharboutly and S. Wilkinson

Fig. 4 Flowchart of HFH Help for Homes initiative

process. Source Elkharboutly (HFH) admin by Dept. of
[13] Social Welfare

Affected
individual applies
Criteria not
& house
met
inspection

Approval
granted

1,500 FJD
3,000 FJD
7,000 FJD

Hardware
stores/ Material not
material available
purchase

Wait/
Material
refund if
available
built
Proper training/
skilled labour

Transport to Material not

village delivered
No training/no
Resilient skilled labour/
house incomplete
material

Vulnerable
house

3 Research Method

3.1 Overview

This research examined the homes constructed through the Fijian government’s HFH
scheme, focussing on Namuaimada village, which was devastated by TC Winston.
The housing reconstruction in this village served as a case study for the investigation.
The qualitative research approach involved analysing documentation, conducting
semi structured interviews with various stakeholders. The study also included field
observations in the village to gather housing related comprehensive data. The inter-
views and field observations were conducted between August 2017 and July 2018.
Post-disaster Recovery: A Critical Assessment of Housing … 501

The chosen methods align with recommended practices for qualitative research as
outlined by Becker et al. [5], Creswell and Poth [12].

3.2 Data Collection Process

The study commenced with establishing the objectives for assessing post-disaster
housing construction in Fiji after TC Winston. Desktop analysis of various documents
was undertaken to assess the situation related to post-disaster housing in Fiji and the
best practices for cyclone-resistant homes. Based on the literature review findings
and the study objectives, interview questions were developed for each group of
respondents. For government officials, the questions centred around legislative issues,
codes, logistics, and process timelines. For not-for-profit organisations, the questions
were developed to capture their overall role in the reconstruction process. For the
community, the questions were formulated to uncover their experience from the day
the disaster struck to the accomplishment of village reconstruction. All questions
were open-ended to capture the respondents’ thoughts surrounding the reconstruction
process.

3.2.1 Interviews with Various Stakeholders

The chief of Namuaimada village was interviewed by the researcher, providing

a comprehensive account of the village’s condition before, during, and after TC
Winston. Additionally, government officials from the Rural Housing Unit (RHU)
at the National Disaster Management Office (NDMO) were interviewed. Further-
more, discussions were held with shelter specialists from both Habitat for Humanity
Fiji (HFHF) and Fiji Red Cross Society (FRCS) to elucidate the roles played by
governmental and non-governmental organisations in the implementation of the HFH
scheme.

3.2.2 Site Observations

In this research, alongside semi-structured interviews, site observations were carried

out to gather information regarding the reconstructed houses in the investigated case.
Transect walks were conducted throughout the village, involving visual inspections
and measurements of each house. Data were documented through note-taking and
digital photography. The descriptive notes and digital images were subsequently
organised based on identified features aimed at enhancing the cyclone resistance of
houses. A summary of categorised findings was then compared to conclusions drawn
from the reviewed literature to evaluate the resilience of the reconstructed houses in
the village under study.
502 M. Elkharboutly and S. Wilkinson

3.3 Study Area and Demographics

Namuaimada is a sizable village situated along the northern coast of Viti Levu, one of
Fiji’s primary islands. It is part of the Rakiraki district in the Ra province, consisting
of five villages. Geographically, Namuaimada is positioned on a level plain nestled
between the coastline and the elevated hills of Rakiraki. The village is home to a
population of 447 individuals residing in 98 houses. Location as shown in Fig. 5.

4 Study Findings

In this section, study findings are analysed and categorised. The first subsection
discusses how the houses were reconstructed in Namuaimada village post-TC
Winston. In the second, the types of houses and their physical features are discussed.
In the third, the results relating to the house features are categorised under roofs,
structural connections, roof extensions, walls, and foundations and discussed.

Fig. 5 Map of Fiji showing the location of Namuaimada. Source Logistics Capacity Assessment
home page, https://dlca.logcluster.org). Source Elkharboutly [13]
Post-disaster Recovery: A Critical Assessment of Housing … 503

4.1 Village Damage After Tropical Cyclone Winston

During the night, tropical cyclone Winston struck the village, causing extensive
damage. The village’s geographical location, coupled with a combination of high
tide and heavy rainfall, led to severe flooding. Alongside the intense winds, Koko
experienced one of the most severe impacts in Fiji. The entire village suffered signif-
icant destruction, with 54 out of its 98 houses rendered irreparable and 33 partially
damaged. To seek refuge, the village community sought shelter in two concrete
houses and the village church.

4.2 The HFH Scheme and Technical Support

Carpentry training is an important aspect of ensuring the adequacy of the reconstruc-

tion of houses. Participants N1&N2 mentioned that they provided house-building
training for the affected communities using the build back safer guidelines. N1
mentioned that they constructed more than 115 transitional houses and used the
construction of those houses as practical carpentry training on house building. The
training included about 1400 trainees from 261 rural communities. Participant N4
mentioned that 35 model houses were constructed and were voluntarily meant to
complement the HFH scheme by providing a model for what can be included in a
house worth 7000 FJD and using the house construction for training the commu-
nities. According to participant N4, the house materials cost escalation affected the
house’s estimated cost. The cost of the house constructed reached 30,000 FJD. Partic-
ipants N1, N2, N3, and N4 indicated that the training was not coordinated with the
HFH scheme as some villages were trained while they did not have the required
house-building material.
In contrast, other villages had the training after completing the village recon-
struction. Participant G1 identified that the NDMO’s role in the HFH was confined
to providing help to other government organisations in the villages’ damage assess-
ments, but the NDMO was never consulted on the HFH scheme. Training rural
communities is one of the main activities G2 & G3 participants mentioned they
performed regularly after TC Winston. They provided Four regional carpentry
training covering the four Fijian main regions with an allocated budget of 231,000
FJD. The training was also based on the Build Back Safer techniques. The program
managed to train 150 rural carpenters and provided the trainees with a complete
toolbox and a certificate. As G2 and G3 participants stated, it was meant to raise the
local capacity; nevertheless, it was not coordinated with the HFH scheme.
504 M. Elkharboutly and S. Wilkinson

4.3 Houses in Namuaimada After Tropical Cyclone Winston

Following the disaster, the village chief convened the villagers to construct temporary
shelters using materials salvaged from the damaged houses. Within two weeks post-
disaster, the community managed to build 16 such shelters, providing some imme-
diate relief. However, recognising the necessity for permanent housing to restore
normalcy, the villagers embarked on a six-month recovery journey.
During this period, the village chief led the reconstruction efforts, leveraging the
government’s HFH scheme, which aimed to assist in rebuilding damaged houses.
The scheme provided a credit of up to 7000 FJD for housing materials. The village
chief was a former employee of a prominent local hardware store, took charge of
collecting HFH voucher cards from the village community. Skilfully, he procured
the required building materials—including timber pine poles, corrugated iron sheets,
cement, and concrete blocks—promptly bringing them into the village.
To expedite the reconstruction process, the village chief organised the adults into
six groups, each supervised by one of the village’s four carpenters, who lacked formal
qualifications in carpentry. In just six months, the concerted effort of these groups
resulted in the complete rebuilding of the village. Remarkably, they even constructed
10 new houses for individuals in the village who had never owned a house before.
The village chief noted that the role of NGOs in the village was limited to providing
technical advice, with an international construction firm donating two houses and
a missionary group building one. The village houses exhibited diverse designs, as
some residents purchased designs from the Rural Housing Unit, while others opted
to create their own. The housing typology in the village, based on field observations,
will be further explored in the next subsection.

4.4 Types of the Reconstructed Houses

Various types of houses were observed in the reconstructed village. The houses in
general were timber framed houses and concrete block houses. All the roofs where
constructed out of corrugated iron sheets and where either flat roofs or gabled roofs.

4.4.1 Timber Frame Houses with Raised Concrete Floor

Prior to the cyclone, a prevalent architectural element in houses was the elevated
timber platform supported by short stilts. Originally, this platform served as the
foundation, with the house structure subsequently erected on it. However, this design
proved ineffective during the cyclone, leading to the complete destruction of the house
structure and partial damage to the timber platform, as shown in Fig. 6 (left). In the
aftermath of the cyclone, a significant shift occurred in the reconstruction of houses,
with the majority adopting a raised concrete foundation. The house perimeter was
Post-disaster Recovery: A Critical Assessment of Housing … 505

Fig. 6 Concrete foundation with timber corner post embedded into the foundation (left); damaged
raised timber platform (right). Source Elkharboutly [13]

defined by concrete blocks, positioned approximately three blocks above ground

level, with two blocks embedded, and the space between filled with earth. The top
of the foundation featured a 5 cm concrete screed. In the case of new timber-framed
houses, corner posts were embedded in the house backfill using poured concrete.
The elevated concrete floor with corner post embedment is depicted in Fig. 6 (right).

4.4.2 Timber-Framed Houses

The predominant architectural model adopted for new constructions in the village
was the timber frame. These houses exhibited variations in size and the materials
utilised for wall claddings. Some featured timber weatherboard, while others utilised
corrugated iron sheets for wall cladding. The construction styles also differed, with
certain houses built on a raised concrete floor (Fig. 7, right), while others were
elevated on stilts (Fig. 7, left). Regardless of the construction method, all timber-
framed houses shared a common design with corrugated iron roofing material placed
on a gabled timber roof structure.

Fig. 7 Timber-framed houses on stilts (left) and a concrete foundation (right). Source Elkharboutly
[13]
506 M. Elkharboutly and S. Wilkinson

Fig. 8 Concrete-block house with reinforced columns (left); a concrete-block house without steel
reinforcement (right). Source Elkharboutly [13]

4.4.3 Concrete-Block Houses

In the midst of tropical cyclone Winston, villagers sought shelter in two concrete
houses and the church, emphasising their trust in the resilience of concrete struc-
tures against powerful winds and flooding. Notably, certain concrete-block houses
in the village featured reinforced concrete columns, while others lacked steel rein-
forcements. Figure 8 illustrates both variations, with corrugated iron roofing sheets
adorning either a gabled or nearly flat timber-framed roof structure.
However, uniformity in the construction of concrete houses throughout the village
was notably absent. While some structures showcased high-quality professional
construction, others were of inferior quality. This discrepancy is clearly illustrated
in Fig. 8 (left), where a red arrow draws attention to deterioration in the reinforced
concrete structure.

4.5 Physical Features of the Houses

(1) Roof Pitch, Eaves, and Overhangs

It was found that most of the roofs had zero pitch meaning completely flat (Fig. 9,
top left) or gabled with pitch varies between 5 and 15° (Fig. 9, top right). The
majority of village houses featured eaves extending up to 800 mm in width, as
depicted in Fig. 9 (bottom right). Additionally, certain houses boasted a substantial,
wide, exposed overhang utilised as either a veranda or patio, as illustrated in Fig. 9
(bottom left).

(2) Structural Connections

In the village, the houses inspected showed a lack of use of metal straps, as in
Fig. 10 (right). The house floor is seen as connected to the stilts with no straps.
Post-disaster Recovery: A Critical Assessment of Housing … 507

Wide overhangs

Fig. 9 Flat roof (top left); gabled roof with exposed eaves (top right); large roof overhang (bottom
left); flat roof with wide eaves (bottom right). Source Elkharboutly [13]

The photo in Fig. 10, (left) shows a house owner attempting to strengthen the roof
structure by strapping it to the sides of the house. In the case of one stilt-supported
house, the floor beams were affixed to the side of the stilts without any indication of
metal strapping to secure the floor structure to the stilts, as depicted in Fig. 10 (right).
It was also observed that most of the iron roofing was connected to the purlins using
nails, and there was no sign of using screws to hold down the roof material.
(3) House foundation
In Namuaimada, the rebuilt houses featured various foundation types. Following
tropical cyclone Winston, the village community firmly embraced the belief that a

Fig. 10 Locals attempting to strengthen the roof structure (left); a house’s structural connection
with no metal straps (right). Source Elkharboutly [13]
508 M. Elkharboutly and S. Wilkinson

Fig. 11 A house on raised timber platform (left); a house on an elevated platform (right). Source
Elkharboutly [13]

sturdy foundation was integral to constructing a resilient house. Without the presence
of building codes, it was noted that there were two primary categories of house
foundations in the village: timber and concrete.
i. Timber Foundation
Certain houses, particularly those situated along the shoreline, were constructed
on timber pine posts, resembling stilts, as illustrated in Fig. 10 (right). This innovative
approach by homeowners aimed to mitigate the risk of flooding during extremely
high tides, a concern heightened by the village’s experience during tropical cyclone
Winston. The raised timber foundation was specifically observed in only two houses
near the shoreline.
Conversely, timber platform house foundations, exemplified by the one depicted
in Fig. 11 (right), were still in use, despite being one of the features susceptible to
damage during the cyclone, as previously shown in Fig. 11 (left).

ii. Concrete Foundation

The predominant foundation type in Namuaimada is the concrete block founda-

tion, as illustrated in Fig. 12. This foundation design incorporates concrete blocks
along the house perimeter, complemented by an earth backfill and a 50 mm concrete
screed atop the backfill. Notably, the use of a concrete foundation was widespread for
both concrete-block houses and timber-framed houses. The exact number of courses
embedded below ground level was not explicitly determined. Nevertheless, observa-
tions revealed a consistent pattern, indicating that all village houses with a concrete
foundation had a uniform configuration of only two courses above ground level.
(4) House Walls

As depicted in Fig. 13, the village residences generally follow a rectangular layout.
The houses exhibit varying lengths, ranging from 7200 mm to 9000 mm, and widths
spanning from 4000 mm to 5600 mm. A characteristic feature of these houses is their
Post-disaster Recovery: A Critical Assessment of Housing … 509

Fig. 12 Concrete houses on a concrete foundation, with two courses above the ground being
common practice. Source Elkharboutly [13]

elevated walls, with heights ranging from 2400 mm on the eave sides to 3400 mm
on the ridge sides.
The majority of houses in the villages featured wide louvred glass windows and
sizable doors, a characteristic observed in both timber-framed and concrete houses.
Residents explained that adequate ventilation was essential to regulate indoor air
temperature, especially considering the heat generated by the iron roofing. Some
houses incorporated protective measures for windows, including wooden storm shut-
ters, while others utilised steel mesh installed outside the window openings. Figure 14
depicts the three distinct types of windows found in the village.

Fig. 13 Plan for a typical house in Namuaimada. Source Elkharboutly [13]

510 M. Elkharboutly and S. Wilkinson

Fig. 14 Windows protected with timber shutters (left); unprotected louvred glass windows
(middle); steel-mesh-protected glass windows (right). Source Elkharboutly [13]

5 Discussion

The Help for Homes (HFH) scheme provided affected individuals with credit for
materials to repair or reconstruct their damaged houses. The scheme lacked the
provision of technical support, and it was found that in Namuaimada, the houses
constructed under the HFH scheme lacked the basic internationally accepted cyclone-
resistant house features. Post Topical cyclones Winston, the villages damage ques-
tions the resilience of the constructed houses in the Fijian villages, which mostly
featured timber frames and corrugated iron roofing. This study focussed on gath-
ering information related to housing reconstruction schemes and methods following
TC Winston.
Namuaimada, situated as one of the coastal villages, endured substantial devas-
tation from tropical cyclone Winston in 2016. Post-cyclone, a staggering 80% of
the houses were damaged, significantly impacting the lives of all 447 village resi-
dents. Undeterred, the villagers undertook the reconstruction of 64 new houses and
the repair of 33 more through the HFH scheme. Spearheading the recovery efforts,
the village chief assumed the responsibility of procuring building materials from
the hardware store and orchestrated the entire village reconstruction. Remarkably,
this initiative occurred without any external technical support or training in resilient
house-building techniques.
There was no evidence that the village community was trained on carpentry or
housing construction best practices. The trainings provided by the various NGOs and
the RHU were all based on the best practices summarised in the Build Back Safer
(BBS) handbook published by the shelter cluster. What was included in the BBS will
not be discussed in this study. However, it became clear from the findings that all
training efforts undertaken by the NGOs and the RHU were not coordinated with the
HFH scheme.
As asserted by the village chief, the houses reconstructed after the cyclone are
considered to be stronger than those in place before the cyclone. The study findings,
however, identified the vulnerability of the reconstructed houses under the HFH
scheme in Namuaimada regarding cyclone resistance. This was clearly observed
in the houses’ details, especially the full-size windows that was observed in most
of the constructed houses. The wide windows deemed necessary due to the use of
Post-disaster Recovery: A Critical Assessment of Housing … 511

corrugated iron sheets for roofing and some houses with Iron sheet wall cladding.
The Iron sheeting raises the house’s internal temperature, rendering it necessary to
have wide windows for ventilation. However, comparing the timber frame houses to
traditional Fijian houses, the thatching roof material in the traditional houses provided
good heat insulation, and the breathable walls from bamboo reeds or mats allowed
for house ventilation without the need for wide windows [8]. In addition, very few
window protection like timber shutters were found. As highlighted by Elkharboutly
[13], Arya and Agarwal [3] and Minor [26], during heavy wind, wide glass windows
with no protection can easily break and damage the building envelope in due to
pressure build-up inside the house. Another finding was the average wall height of
the houses in Namuaimada is close to 3 m. This wall height is not recommended in
cyclone-prone areas, as the wall elevations must be kept low [14, 41]
Contrary to the recommended foundations for cyclone-resistant houses, research
emphasises the necessity of secure anchorage of the building to the ground for
enhanced cyclone resistance [14, 20, 23]. Additionally, studies advise against the
construction of houses on stilts in cyclone prone areas (Taher 2007). In Namuaimada,
it was observed that certain houses were erected on raised platforms or stilts, devi-
ating from the suggested guidelines for cyclone-resistant housing. However, a more
effective approach was evident in some timber-framed houses in the village, where
direct posts with secured anchorage to the foundations were utilised.
In Namuaimada, most reconstructed houses differ from the recommended
cyclone-resistant design, featuring flat or slightly sloped roofs and gabled roofs with
pitches below 30°. Contrary to international guidelines, these houses also commonly
incorporate wide roof overhangs. This deviates from the recommended practices to
prevent roof failure under heavy wind conditions as highlighted by Elkharboutly and
Wilkinson [14]. This proves the vulnerability of houses constructed post-TC Winston
2016 in Namuaimada, particularly in terms of their gabled or flat roofs, despite the
overall strength of the concrete-block house structures.
Finally, the structural connections of the houses also did not produce the desired
strength for a cyclone-resistant structure. For concrete houses, the connection
between the wall and the roof beams could be considered the weakest connection in
the structure. It was also observed that there was a lack of use of hurricane straps in
the connections of the timber frame houses where hurricane straps were proven, in
experiments by Riley and Sadek [34], to be efficient in preventing the failure of the
connections under heavy wind conditions.
The study recommends that future housing schemes, especially those restricted to
providing cash or material credits, be complemented with a technical support aspect
that is well coordinated with the construction activities.
The study also recommends the implementation of some technical features to
increase the resilience of the constructed homes, including metal strapping in the
structural joint connection and screws for the attachment of roof sheets.
Given Fiji’s climate, it is advisable to incorporate roof insulation with iron roofing.
This approach helps to regulate the indoor climate without relying on full windows,
a practice discouraged in cyclone-prone areas. Also, the recommended roof config-
uration is a hipped design with an incline from all four sides, featuring a steep pitch
512 M. Elkharboutly and S. Wilkinson

of approximately 30°. Opting for a roof structure with trestles is preferred over a
simpler design with beams and purlins. Beyond roof material, shape, and struc-
ture, it is recommended to eliminate overhangs and keep eaves to a minimum, not
exceeding 30 cm, with the roof edge attached to a perimeter beam.
For the house foundation, the study recommends an elevated foundation to protect
the houses from flood threats. Adding to this, the structural columns carrying the
house roof should be “direct posts”, which was noticed in some of the houses and it
is recommended to be a standard practice. It is not recommended for houses to be
constructed on a timber platform foundation, as from observation, it failed as a result
of the cyclone.
The study analysed the houses in Namuaimada village constructed after TC
Winston under the HFH scheme. Further study can take place to assess houses in
other villages, especially those reconstructed by the NGO or the RHU.

6 Conclusion

The study has analysed the houses constructed in Namuaimada village under the
HFH scheme. The studied case provided a comprehensive picture of post disaster
self-recovery supported by the government. The constructed houses were mainly
concrete block and timber frame houses with corrugated iron roofing and unprotected
wide glass windows.
Cyclones are the most prevalent natural hazard in Fiji, and the research showed
that the paucity of cyclone-resistant house features in the reconstructed houses
seems to point to a short-term solution being provided for an ongoing problem,
ultimately negatively affecting the community and increasing its vulnerability for
being damaged due to heavy winds.
This paper demonstrated the importance of providing coordinated technical
support with the post-disaster housing schemes that provide house-building mate-
rials. Almost all the houses studied in Namuaimada were not constructed to a suffi-
cient level that protects houses during cyclones. The houses’ features did not comply
with the internationally accepted cyclone-resistant features. It is recommended that
technical support should be provided at the core of owner-built housing schemes.
The constructed houses, however, should include cyclone-resistant features to assist
resilience building in the affected communities.

7 Ethics Statement

The authors confirm that all research involving human participants in this study was
conducted in accordance with relevant ethical standards and regulations. Ethical
approval for this study was obtained from the University of Auckland ethics
Committee.
Post-disaster Recovery: A Critical Assessment of Housing … 513

Funding This research received no specific financial support from any funding agency.

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Theme: Innovation
A New Approach Toward Hazard
Mitigation by Designing Moveable
Architectural Space

Seyedehfatemeh Kamali and Han-Hsiang Wang

1 Introduction

Due to global warming, scarce resources, and environmental degradation natural

disasters have been occurring with increasing frequency and effects in recent decades
around the world [9]. Particularly in underdeveloped nations, they have taken a
disproportionately severe toll in terms of human losses and physical damages [9]. It is
undeniable that construction is an essential part of human beings’ lives, and the impact
of the modern construction industry on the Earth’s ecosystem and humans’ quality
of life cannot be ignored [12]. Clearly, as the population grows and rural–urban
immigration rates rise up since urban development cannot cope with the demands,
a salient portion of each community has to live in sub-urban hazard-prone areas
[2, 12].
Nowadays, more than one billion people reside in marginal and informal settle-
ments, many of whom have lack access to basic services, usually dwelling in high-
risk areas and this number will continue increasing [2]. Accordingly, it is of great
significance for human societies to seek building environmental resiliency in order
to equip people for disaster management, particularly in developing countries that
are less able to deal with natural disasters’ causes and impacts [9, 12].
As most countries have widespread and increasing concerns about the growing
population, sustainable development of society, land shortage crisis, and inevitable
natural disasters the requirement for making more lands habitable in order to respond
to the demands has been continuously posing challenges for the architecture, engi-
neering, and construction (AEC) industry, as did the need to take an action for
effective disaster management in many countries at the international level [8].

S. Kamali (B) · H.-H. Wang

Contruction Engineering and Management Program, Department of Civil Engineering, National
Central University, Taoyuan, Taiwan
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 517
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_33
518 S. Kamali and H.-H. Wang

However, since structures are mostly static and non-adjustable to either climate
changes or inhabitants’ requirements, the construction industry has fallen far behind
to achieve the goal through traditional immoveable architectural styles [5]. Although
we live in a dynamic universe filled with movement, the design approach that has been
given to architecture is obviously static since buildings are still and their configura-
tion doesn’t change either [4]. Struggling to find constructional substitutions over the
years, many approaches and methods have been developed, from which kinetic archi-
tecture satisfies the scientists’ and engineers’ expectations as a modern innovation
[1]. In the world of growing and changing demands on buildings, moveable elements
help to increase the responsibility for inhabitants’ needs and requirements [11]. The
idea of portable architecture that can react effectively to environmental demands or
reply to specific user requests, is the one that grabs the imagination of both designers
and users simultaneously [10]. The utilization of kinetics started from moveable
building components emersions such as sun shades, windows, stages, and turntables,
then continued to buildings that revolve as a whole [6]. Moveable systems vary in
their complexity assessed by the level of applying embedded controlling systems,
advanced materials, and high technologies [6]. Movability actually used to be added
as a feature through mechanical means; however, nowadays, it can be the construc-
tion nature using artificial intelligence (AI), and computation in construction [6].
Creating moveable buildings can serve different purposes including responsibility
for users’ needs, space efficiency, adaptation, and interaction with climate changes
as well as hazard mitigation in danger-prone environments [5] that is the focus of
this study.

2 Proposed Methods and Current Findings

In order to better meet current and future needs, this study is focused on how build-
ings or their components must integrate with their surroundings. In order for this to
happen, the idea of mobility is employed as a design strategy to develop efficient
novel building forms that are flexible, displaceable, and adaptable to a variety of
purposes [7]. To put it another way, this research considers movability as a tech-
nical design framework and approaches hazard mitigation as a design challenge. The
kinetic function of a structure in the context of architecture depends on included
mechanical elements that are capable of motion. As a result, a whole new design
methodology is required evidently, in which the architectural form may be innately
adjustable, deformable, expandable, or in some other manner able to move [7].
The research methodology begins with a thorough literature review including
case studies, during which the facing problems while building the simulated models
are discussed, and the solutions with the help of kinematic methods are offered.
The reason for preferring this method is to prove the applicability of kinetics in
the architecture field toward natural hazard mitigation. The key elements of kinetic
design and its actual components are determined after the detailed literature review
is done.
A New Approach Toward Hazard Mitigation by Designing Moveable … 519

Fig. 1 Proposed research methodology (Author)

Within the scope of this research, the main questions requiring the realization of
kinetic architecture include what they are, what they can do for us, and how we can
go about designing them. Figure 1 demonstrates the proposed research methodology.
The measurements of existing kinetic structures have been used throughout this
study to demonstrate the feasibility of kinematic methods in the design process of
interacting space organizations, and the following results are found to be significant:

2.1 The Flexibility of Space is Facilitated by the Ability

of Kinetic Structures to Move

Contemporary structures are expected to be adaptable and responsive. Currently, a

variety of structures are developed to allow further application of flexibility concepts,
but none of them are capable of meeting all demand. The flexibility of space is
enhanced by the kinetic structures’ moving capacity. An architectural space would
be more adaptable with a convertible structure that can respond to hazard mitigation
requirements by using a different design technique, like motion [7].

2.2 The Architects’ Perspective of a Valuable Construction

Has to Modify

A kinetic designer must make significant adjustments to their design process, hence
the transformation must begin from the designer’s mind. In contrast to what is now
the case and instead of aiming to build a monument for decades, an architect’s ulti-
mate purpose should be to develop a responsive structure encountering our dynamic
universe. This will have a substantial impact on all aspects of project construction,
including the project site analysis stage. Traditional methods of conducting analysis
520 S. Kamali and H.-H. Wang

are not time-oriented and do not account for potential changes over time, but they
are now taking on new significance and meanings, necessitating the use of new tech-
niques and methods since it is essential to foresee changes of a building that is to
have kinetic characteristics. As a result, the architectural form can be constructed to
accommodate the abovementioned range of change, once the scope of these possi-
bilities has been established. The design process thus begins with an estimation of
changes through time. In other terms, the architect would design a variety of forms
instead of simply one. To assess if the design can adapt to a certain range of changes,
simulation methodologies will need to be developed [7].

2.3 For a Single Volume, Kinetic Structures Are More

Appropriate

The kinetic structure’s ability to move will place some limitations on the architectural
space. To put it in another way, the easiest space to design is a singular unit that
may interact independently in response to its uncertain surroundings. Otherwise, a
building will be a complicated kinetic mechanism with its kinetic structure, envelope,
and inner partitions [7].

2.4 There is a Need to Investigate Materials Specifications

to Identify the Most Compatible Ones
to the Characteristics of the Kinematic Structures

Utilizing specific lightweight materials is essential for the effective creation of many
kinetic structures. A mobile structure can benefit economically by having a high
strength-to-weight ratio and high stiffness, in line with a general rule of construction.
Future research could be directed to accelerating the development of new materials
specifically created to satisfy the demands of moveable structures. Certain materials
including composites, metal complexes, textiles, and polymers can now be incorpo-
rated into intelligently responding kinetic systems. Solutions in the area of kinetic
architecture are made easier by the extensive usage of such materials [7].

2.5 New Construction Strategies and Mechanical Equipment

Are Required to Be Devised

Approaching buildings from a different point of view such as motion, provides an

opportunity for new ways of construction to better serve the purpose. As kinetic
architecture gains popularity among designers, new construction techniques should
A New Approach Toward Hazard Mitigation by Designing Moveable … 521

emerge, placing a greater emphasis on joints, connections, and motion controllers

[7].

2.6 Modern Technology Makes Intelligent Kinetic Structures

Almost Feasible Today

The architecture being described here is not static, as it has been through time, but
rather is capable of interacting with its constantly changing environment by varied
geometry or movement through artificial intelligence (AI). Future studies shall center
on intelligent kinetic structures containing an embedded computer system acting like
an artificial brain that will enable them to transform on their own [7].

3 Expected Results

The course of this study, as a part of an ongoing research, provides the ability to
apply kinematic methods to architectural structures for creating totally functional
buildings and serves many purposes, bringing tremendous advantages to traditional
construction systems. The following list is of the most significant ones, resulting in
the generation of super-smart architectural spaces:
1. Evaluating the Feasibility of System Movability in Urgent Circumstances such
as Earthquakes, Flooding, etc.
2. Determining the Most Efficient, Feasible, and Cost-Effective AI in Different
Hazard-Prone Zones with Distinct Climates
3. Investigating a Variety of Methods in order for Mechanistic Selection of the
Most Efficient One to Generate Adaptive Architectural Spaces
4. Determination of the Best Programming Method for AI Based on the Acquired
Programming Results
5. Ascertaining the Overlaps of the Robotic Programming Criteria and the
Required AI for the Project in order to Motivate the System toward Robotic
Packing
6. Simulation and Determination of the Best Material Choice for the Components
to be Light Enough as a Moveable Property Using ETABS Software and the
Like
7. Designing the Internal Foundation of the System Employing 3D Max, Revit,
Rhino, and Grasshopper Software at which No Utilization of Fixed Structural,
Mechanical, or Electrical Installation is Assured
8. Conducting the Numerical Calculation in order to Find the Most Effective
Design for Incorporation of Smaller Components by Which All is Narrowed in
One Single Space
522 S. Kamali and H.-H. Wang

9. Implementation of Simulated Results and Calculations in a Real Hazard-Prone

Site in Taiwan
10. Evaluation of the Most Desired Hardware of Choice on the Basis of the Cost-
Effectiveness.

4 Discussion

The application of kinetics began with the emergence of moveable architectural

elements, such as sun shades, windows, stages, and turntables, and progressed to the
creation of buildings that revolve as a whole [6]. According to the degree of appli-
cation of embedded controlling systems, advanced materials, and high technologies,
moveable systems differ in their complexity [6]. Movability was once a property that
could be provided through mechanical means, but in modern construction, it can be
achieved using computation and artificial intelligence (AI) [6]. Developing mobile
buildings can be done for a variety of reasons such as meeting user demands, space
optimization, adapting to climate change by interacting with it, and risk reduction in
hazardous conditions [5].
The first official definition of the moveable structure was announced in 1974
followed by this quotation: “A kinetic environment without the computation is like a
body without a brain—incapable of moving”, Guy Nordenson mentioned [6]. Kinetic
structures can be used in designing mobile transformable shelters/units ranging
from the entire buildings to the small single-person enclosures that are able to be
easily constructed, deconstructed, reassembled, stored, and moved from one place
to another [6]. In order to design kinetic buildings, structures may include or consist
of folding, sliding, expanding, and transforming parts [5]. Users and inhabitants of
architectural space can have environments that change and adapt in accordance with
the information gathered by means of computation and sensing technologies [6].
Such buildings can modify their behavior depending on the changing variables that
may range from wind loads, precipitations, seismic conditions, temperature, and light
[5]. Also, certain embedded technologies enable buildings to learn and discover their
best choice of performance. Other systems help users to control and change settings
with respect to their needs such as acoustics, lighting, climate, and security. The
ability of being remotely controlled through communication means such as the short
message service (SMS), mail, and internet are of embedded computation merits for
kinetic systems [6]. Some existing kinetic systems within a larger architectural whole
in a fixed location allow it to respond to changing conditions. Other standing kinetic
structures in temporary locations allow buildings to be easily transported. There exist
some kinetic structures within a larger whole while acting independently with respect
to the larger context [6].
A New Approach Toward Hazard Mitigation by Designing Moveable … 523

The technological achievements in different divisions of engineering such as struc-

tural, mechanical, and materials engineering as well as information and communi-
cation technologies have enormous effects on kinetic design from structural inno-
vation and materials advancement to embedded computation and adaptive architec-
ture creation [6]. The widespread adoption of technology in architecture is causing
immense modifications in architecture design methodology [7]. Today, even creating
almost smart creatures is feasible for construction engineers by harnessing robotic
knowledge. The respective buildings with embedded intelligent machines into their
design will be able to sense changes around them/receive users’ orders through
different sensors, collect the data as input, process it for making suitable decisions,
and eventually respond to the changes/orders based on their perceptions [6], therefore,
architecture stands at the edge of a new era.
Existing buildings fall far behind of complying with the expectations of today’s
modern society by failing to take advantage of new prospects provided by techno-
logical advancements. The majority of people currently reside in dwellings that are
barely able to meet their needs. In the realm of architecture, where objects are typi-
cally static, kinetic structures are exceptional, their applications are often solitary,
and responsive spatial adaptation is mostly neglected. Our perception of a valuable
structure considers it stationary. Seemingly, in the static perfection of modernist
architecture, the structure has shown no response but to stand still [7].
According to Charles Darwin, an object’s capacity for environmental adapta-
tion always has determined the possibility of its survival, and the architecture is
not as an exception, therefore, an increasing interest in kinetic design implementa-
tion has been observed in recent years. The application of architectural solutions in
responsive kinetic designs stems from concerns with spatial efficiency and adapt-
ability. An adjustable space reconfigures easily to fit different human requirements,
and it may vary from multifunctional interior rearrangement to an entire structure
transformability [7]. From a resistant’s perspective, the presence of kineticism in a
structure means that the objects in a built environment are physically available only
when necessary, otherwise, they are either vanished or modified. The aforementioned
objects can be as small as a tiny component of the structure, such as a simple sun
shield, or as great as an the entire building. This is to imply that responsive archi-
tecture comes with a new perception of aesthetics, a new concept of form, and new
technology inherently [7].
Kinetic architecture can be defined as an architecture produced by movement,
and the actual moveable architecture consists of a number of interrelated elements
and dynamic transition structures consisting of structure, connections, actuators,
materials, and control systems (Fig. 2). However, for a structure to be considered
moveable, it is not required that all the aforementioned items are capable of movement
[5].
Also, the foundation of kinetic design is based upon three main components briefly
listed below in Table 1 along with their respective important aspects [6].
It is worth mentioning that hinges, independent components, or bearings are
needed to enable moveable connections between two load-bearing elements and
524 S. Kamali and H.-H. Wang

Fig. 2 Actual moveable architecture components [5]

Table 1 Kinetic design key elements [6]

Innovation in structure and Incorporated computation Adjustable architecture
materials
Methods Methods: Trends in Active control Adaptive Living
and means folding, embedded research architecture environments
of sliding, computation environments
structural expanding, or
solutions transforming
Means: Adaptive control
pneumatic,
chemical,
magnetic,
natural or
mechanical
Kinetic Embedded Home automation
structures Deployable External
typologies communication
Dynamic Levels of Single Working
control variable-man environments
mechanisms control
Multivariable-man
control
Multivariable
automatic control
Multivariable
heuristic control
Typology of Direct control Entertainment
controlling In-direct control environments
systems
Responsive
in-direct control
Ubiquitous Public
responsive environments
in-direct control
Heuristic
responsive
in-direct control
A New Approach Toward Hazard Mitigation by Designing Moveable … 525

Moveable
Connections

Common Roller
Sliding & Roller Typical Connections Bearings for Common Translation
Complex Hinges
Bearings for Hinged Elements Rotational Bearings
Movements

Fig. 3 Moveable connection types [5]

among these three, a feature that distinguishes hinges from others is it allows rota-
tion, translation, or a combination of the two movement kinds, which can provide up
to five degrees of freedom. Depending on the hinge’s design, limitations can be used
to artificially limit the amount of movement that can be made [5]. Different useful
types of connections for developing moveable structures are being demonstrated in
the illustration below (Fig. 3).
As it was briefly mentioned earlier, the purpose of kinetic application in archi-
tecture and construction is to reduce the damage we’re causing to the ecosystem
as a single species in the whole life cycle, to accommodate the growing population
and their different activities, plus enhancing their quality of lives. In this respect,
a moveable structure can be utilized to better response to an occupant’s demands
for life quality improvement, such as a simple interior reorganization for controlling
light, air, acoustics, etc., or might be optimal land usage to magnify the available
space by the same land extent under construction. Moreover, kinetics provide struc-
tures with the ability to adjust, adapt, and interact with their environment, so the
outcome would be flexible toward ever-changing climatic and seismic conditions. In
case of natural disaster, that is quite prevalent nowadays, due to the global warming
phenomenon, a dynamic structure is capable of survival by the aid of moveability
and its artificial brain. There might be other functional or aesthetical purposes that
utilization of kinetics might fulfill them, as it is quite promising.

5 Conclusion

Given the severity of global climate change leads to more natural disasters and popu-
lation growth dilemmas as well as the anticipated potentials of kinetics in addressing
them, the aim of this research is to investigate moveable architecture capabilities in
natural disaster hazard mitigation through creating adaptive spaces that will accord-
ingly be able to move, interact, and adjust themselves to the particular surrounding
environment changes or users’ needs with the aid of the AI, acting as the brain of
the architectural spaces making them possible to sense, process, make decisions,
and even be taught [6]. As mentioned, the present research is a part of an ongoing
study that discusses the possibility of defining a new way to overcome natural disas-
ters by use of computation in construction to create the capability of environmental
526 S. Kamali and H.-H. Wang

interaction, reconfiguration, adaptation, and determination of the potential of kinetic

architecture in hazard mitigations. As a result, super-smart architectural spaces are
anticipated to be designed which could be easily packed and moved to other places in
urgent circumstances such as earthquakes, floods, etc. Within the limits of this study,
the behavior of kinetic structures and the possibilities to develop kinetic architecture
are discussed. It is concluded that there is a new vocabulary to be formulated, a new
type of construction method to be developed, and a new aesthetic to be expressed. The
moveable architecture is expected to have many hidden and discovered potentials for
hazard mitigation considerations. The carried out research so far in the application
of kinetics into architecture is very promising, and has resulted in the discovery of a
number of novel spatial organizations.

Acknowledgements I sincerely would like to thank my advisor who has supported me through
my study abroad in all aspects, also my friends and family whose love and affection have always
been the greatest motivation and inspiration.

Author Contributions As each author’s contributions are requested to be specified in this section,
it is announced that Seyedeh fatemeh Kamali contributes to conceptualization, methodology, soft-
ware, analysis, data collection, draft preparation, manuscript editing, visualization, project adminis-
tration, and paper writing. Professor Han-Hsiang Wang contributes to methodology, validation, anal-
ysis, investigation, manuscript editing, supervision, project administration, and funding acquisition.
All authors have read and agreed with the manuscript before its submission and publication.
Funding This research received no specific financial support from any funding agency.

Ethics Statement Within the scope of this study, we’ve been ethically committed to paper writing
morals and have cited all the data that is extracted from other researchers’ work and publications.

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Introducing an Integrated Agent-Based
and Reinforcement Learning Model
of Contracting and Subcontracting
in Construction Sector
Jaleh Sadeghi, Mostafa Babaeian Jelodar, Teo Susnjak, Monty Sutrisna,
and Suzanne Wilkinson

1 Introduction

New Zealand’s construction industry faces ongoing challenges regarding skill and
labour shortages, price increases, supply chain disruptions, credit limitations, delays
and overdue tasks, cyclical boom-bust, sub-sector fragmentation and, on the other
hand, growing demand for construction projects. Yet, the capacity to deliver the
growing pipeline of construction projects and the capability to resource various
project types are to be investigated [2, 22, 48]. Indeed, a thorough evaluation of
future projects against the available resources has not been conducted in the New
Zealand construction industry, and the Construction Sector Transformation Plan and
CanConstructNZ programme are introduced to bridge this gap [3, 27, 42].
Management of various construction projects with time conflicts and constraint
resources is a complex procedure [5] that fits a nondeterministic problem-solving
approach [14, 17, 34, 37, 44]. Also, multi-project management is hinted at in port-
folio modelling literature, e.g. [7, 34]. Model is “a simplified or idealised description
or conception of a particular system, situation, or process for theoretical or empirical
understanding, or for calculations, predictions, etc.” [31]. Modelling is important to
explore and explain the dynamics of a target system and the mechanics of the compo-
nents’ relationships [13]. The complex system embedded in the construction sector
is also a fitting subject for modelling as it includes various stakeholders required to

J. Sadeghi (B) · M. B. Jelodar · M. Sutrisna · S. Wilkinson

School of Built Environment, College of Sciences, Massey University, Palmerston North, New
Zealand
e-mail: [email protected]
T. Susnjak
School of Mathematical and Computational Sciences, College of Sciences, Massey University,
Palmerston North, New Zealand

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 529
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_34
530 J. Sadeghi et al.

manage conflicting construction projects. Different approaches to construction port-

folio modelling are so far taken, like fuzzy expert system for risk management [6],
network mapping for project selection [8], Tabu search algorithm for scheduling [1],
ant colony optimisation for prioritisation [23], and agent-based modelling for under-
constraints resource allocation [11, 36]. However, no national-scale multi-project
portfolio model has been developed, and a comprehensive model considering the
resource allocation stages (i.e. the relationships among diverse-scaled construction
contractors) and interrelated risks are overlooked. This study addresses this gap and
aims to develop a novel model for improving resource allocation in the New Zealand
construction industry, thereby mitigating the risk of project delays and cost overruns
[32].
Considering the New Zealand construction sector as a portfolio of projects, the aim
is to understand the resource allocation practices in within the sector. This research
asks, “How does the resources’ over-estimation impact a construction project?” It also
collects data on sector status quo and its historical performance, including construc-
tion contractors’ data, on one side and the national construction pipeline of work
(including type, location, value, and lifecycle of the projects) on the other.

2 Literature Review

2.1 Construction Projects Contracting

Each construction project is to be undertaken by one or more contractors, and

the client is to evaluate the contractors’ qualifications. The contractor selection by
each organisation includes a process called prequalification. i.e. “contractors being
assessed over a range of quality criteria and then being registered for specific types
and sizes of work” [9]. For instance, New Zealand Transport Agency (NZTA) devel-
oped its own prequalification system for each work type: (1) routine and minor works,
(2) surfacing, (3) bridge construction, and (4) construction. Each category’s contrac-
tors have four possible quality levels: A, B, C, and C [29]. Table 1 is the summary
of the performance criteria for each level.
Each contractor has its own criteria influencing subcontractors selection, and they
evaluate lower-level contractors’ undertaken projects’ cost, time, quality, and risk, as
well as their experience and reputation [26]. Although one of the risks associated with
the delivery of the construction project is subcontracting failure [15, 21], subcon-
tracting is inevitable due to future benefits. Benefits associated with subcontracting
include but are not limited to work specialisation, which can lead to improved quality
[26] and risk reduction for the main contractor, the subcontractor is to bear the risk
of cost overruns, delays, and low quality [21, 33]. Table 2 indicates the summary of
crucial differences between contractor and subcontractor.
Accordingly, a subcontractor undertakes a portion of all construction works or a
“work package”, i.e. a part of the project that needs resources different from others
Introducing an Integrated Agent-Based and Reinforcement Learning … 531

Table 1 Summary of NZTA prequalified contractor levels [29]

Level A Level B Level C Level D
Capability, Projects Projects estimated Projects Projects estimated
resources, and estimated between 5$ and estimated to be < 0.5 million
experience status above 20$ 20$ million between 0.5$
million and 5$ million
Risk High Medium to high Low to medium Low
Prequalification Class of Class of medium Class of low to Class of low-cost,
status high-value to high-value medium-value low-risk, and
capital works capital works capital works minor works
contracts contracts contracts

Table 2 Contractors versus subcontractors

Contractor Subcontractor
Role Overall project manager Specialist
Responsibility Management, planning, scheduling, Execution of specific task or scope of
budgeting, permits, approvals, work
coordination
Ultimately responsible for the quality Responsible for quality of work, but
of the finished product the contractor may retain some
responsibility

[12]. Therefore Vsubcontractor is less than Vcontractor, where Vsubcontractor is

the value of the “work package” undertaken by the subcontractor (also equals the
value of special resources), and Vcontractor is the value of the construction work
undertaken by the main contractor (also equals the value of all resources).

2.2 Construction Resource Allocation Models

The problem of sharing the constraint resources among the projects is addressed
in the previous research on portfolio management [38]. Enterprises need to under-
stand available resources and projected demands, i.e. portfolio conditions [7, 19]. In
other words, construction portfolio conditions are indicated by resource constraints
and project requirements [34, 35]. The dynamic nature of the portfolio conditions
makes it a befitting approach for dynamic decision-making [38] and complex system
computational modelling [14], which has been a topic for field research.
For instance, Farshchian et al. [11] and Farshchian and Heravi [10] employed
agent-based modelling and considered the projects as the system components within a
resource-limited environment to simulate resource allocation in a construction multi-
project portfolio. In this model, each project is treated as an individual with particular
attributes like milestone dates and values. Individual- or agent-based modelling is a
532 J. Sadeghi et al.

bottom-up approach for modelling, simulating, and predicting multi-agent systems

(MASs) [16, 41]. ABM helps understand the collective behaviour of a set of attributed
individuals (agents) acting in their environment. It can explain how individuals’
changes affect emerging outputs [24, 47]. In other words, AB models include two
essential components: agents and environment. It helps understand the collective
behaviour of multitudes (agents) in a context (environment and applied rules for
interactions) [25, 45, 47].
Farshchian et al. [11] and Farshchian and Heravi [10] inputted project attributes
like physical planes, cost flow, and relative outcome to each agent project class
after completion. Dealing with the critical issue of budget limitation and its conse-
quences, i.e. elimination or postponement of projects, the model facilitates the
financial management of several ongoing construction projects in a portfolio to
lower project costs and delays. The objective of this research was simulation and
prediction of construction projects’ progress and revealing the efficient constraint
budget allocation scenarios from the owner’s perspective.
On the other hand, although portfolio management requires different strategies
than single project management [34, 44], some advanced solutions developed for
construction tasks and resource conflict reduction in a particular construction project
could be inspiring for multi-project management. For instance, resourcing projects
is a familiar research topic on machine learning (ML) applications in construction.
K-means clustering and artificial neural networks (RNN) are employed to enhance
data-driven solutions for forecasting labour utilisation, i.e. the hours spent per task,
in particular construction projects [12]. The recent research clarifies that labour
utilisation estimation is accessible at each work package. The study collects and
processes the time series data from 250 construction projects, and the applied ML
technique is highly performed in such a rich-data environment. Another example
is Arabiat et al. [4], where the dataset from completed projects, including their as-
planned and actual data on cost and duration, is used to predict the cost and time
overruns, utilising K nearest neighbour and ANN techniques.
The pre-mentioned ML examples are unsuitable for poor-data environments and
uncertain knowledge scopes, like high-level construction management [46]. An ML
technique to approach such an environment where no explicit training data is available
is reinforcement learning (RL) [18, 20, 43]. RL follows a similar agent-environment
relationship to ABM, while, in RL, an agent is an intelligent decision-maker entity
which interacts with its environment and receives feedback (rewards) according to
its actions (Reinforcement learning [39]). Indeed, the agent experiences the updated
environment state after each action and is featured with learnability while no training
dataset is available. So far, in low-level construction management, RL solutions have
been developed for resource-constraint project scheduling problems. Focusing on
automation of the look-ahead scheduling (LAS: next 6/8 weeks of construction work
planning), Soman and Molina-Solana [39] introduced an RL model, which speeds
up the process of conflict-free LAS. This model includes a decision-maker agent
as a project manager. Also, focusing on the problem of critical construction activity
sequencing, Kedir et al. [18] developed a hybrid ABM-RL where the “activity agent”
aims to reach the completion status by experiencing an activity on node network.
Introducing an Integrated Agent-Based and Reinforcement Learning … 533

The previous research on ABM application in multi-project portfolio simulates the

portfolio dynamics where all the projects start simultaneously; also, they overlook the
portfolio management from the contractors’ perspective. On the other hand, due to RL
compatibility with data scarcity, high-level multi-project construction management is
also approachable via this technique. However, no RL model has yet been developed
for improving multi-project resourcing on a national construction scale. Due to their
compatibility, this research explores both ABM and RL techniques and their potential
integration to enhance insights into multi-project resourcing scheduling with the
construction sector.

3 Research Methodology

In this section, the structure of the New Zealand construction sector is virtualised
through a hybrid modelling methodology. First, a New Zealand organisation is chosen
as a case study to initiate the model and assess its feasibility. Accordingly, a thorough
search of available organisational data is conducted. Results show that the New
Zealand Transport Agency (NZTA) is among the few organisations in the country
that publishes data on construction works and their prequalified contractors. Indeed,
the NZTA dataset was chosen due to its comprehensive nature, encapsulating diverse
project types and contractor categories, which enables realistic modelling of the New
Zealand construction industry. NZTA data is first evaluated regarding features and
quality, then cleaned and fed to the model development process.

3.1 Data Evaluation

The obtained data on the pipeline of NZTA’s construction works include the construc-
tion projects with start and end dates from 2009 to 2031. In total, 801 projects located
in New Zealand’s central region (including Gisborne, Hawkes Bay, Manawatu–
Whanganui, and Taranaki in New Zealand’s North Island) and their total cost and
work type are mentioned in the dataset (Table 3). The annual expenditure for the
projects is not mentioned; therefore, it could be assumed that the total cost of the
project is distributed through its life cycle and is identical for all the life years.
April 2023’s update on prequalified contractors [30] indicates that 140 contractors
are prequalified to undertake the NZTA works at diverse levels (Table 1 and various
work type categories (see Appendix; Table 5). The data include the serving regions
by each contractor (based on major New Zealand region categories, i.e. North Island,
South Island), their work-type specialities, and their corresponding levels, e.g. the
company ID 3 serves the North Island and contributes to the category 1 and 4 of
works, while it can undertake projects that match the level B contractors’ criteria in
both work types (Table 4).
534 J. Sadeghi et al.

Table 3 Sample of NZTA pipeline of work

Activity ID Work type Start year End year Local government Duration (years)
region
1 Road 2017 2021 Taranaki 5
construction
2 Bridge 2013 2021 Hawkes Bay 9
construction
3 Pavement 2013 2021 Taranaki 9
maintenance
4 Road 2020 2023 Manawatu/ 4
maintenance Whanganui

Table 4 Sample data from NZTA prequalified contractors

Registered Geographic Routine and Surfacing (2) Bridge Construction
company ID location minor works construction (4)
served (1) (3)
1 North Island, 1A 2C 3A 4A
South Island
2 North Island, 1C 3C 4C
South Island
3 North Island 1B 4B
4 North Island 3C

3.2 Model Development

ABM has been used to simulate portfolio dynamics in previous research, but these
models have assumed that all projects start at the same time and have not consid-
ered the contractors’ perspective. On the other hand, reinforcement learning (RL) has
shown promise in managing high-level multi-project construction, especially in situa-
tions with limited data. However, no RL model has been developed yet for optimising
multi-project resourcing on a national construction scale. As the two methods are also
incorporative, this study examines the use of ABM integrated with RL to illustrate the
mechanics and dynamics of New Zealand’s national construction sector. Based on the
knowledge obtained from the available construction sector data, this section intro-
duces an agent-based (AB) model of the construction sector. It presents a modular
and individual-based structure of the construction works and contractors’ dyads. As
the AB model integrates with the RL technique to enhance individuals’ decision-
making abilities, the research method includes two critical steps: (1) defining the
initiator AB model and (2) facilitating the agents with learnabilities.
Each AB model includes two main entities: agents and the environment. The
agents have goals to reach while exploring the environment and following the circum-
scribing rules [24, 25, 45, 47]. In this research, the AB structure of the construction
sector is defined as follows:
Introducing an Integrated Agent-Based and Reinforcement Learning … 535

• Agent: A block of a particular project’s value (known as a portion of work)

which belongs to a particular work package. Multiple agents from a single project
represent a particular project family of agents and have a specific start date.
• Agent starting time: When the agent presents in the environment for the first time,
identical to the corresponding block of work commencement.
• The environment module, also known as the cell, is a block of work value from the
contractor. Each cell has the same value as the project agent. A cell can be featured
as “in-house” to be accomplished by the main contractor or “out-sourced” to be
allocated to a prospective subcontractor. Each cell is part of a particular contractor
family and belongs to its specific level (A, B, C, and D) and work-type category
(1, 2, 3, and 4).
• Level of the module (cell level): Identical to the pre-mentioned levels of contrac-
tors (A, B, C, and D), considering A–D as high-level to low-level contractors.
These levels are renamed to the IDs 0, 1, 2, and 3 for coding and implementation
purposes.
• Agent objective: To visit an in-house cell.
• Environment rules: Each agent can occupy only one cell, and no cell includes more
than one agent (i.e. each portion of work can only be undertaken and resourced
by a specific contractor while a module of the contractor can only resource one
agent and once). Therefore, the visited cell by an agent is “unavailable” for other
agents to visit.

3.2.1 Integrated AB-RL

In the next step, the RL integrates with the AB model and facilitates the agents with
learning abilities. As indicated in Fig. 1, RL includes agents, environment, state,
actions, and rewards. The agents and environment are introduced earlier, and the
action and rewards are defined as follows:
• Action: An action executable by an agent as a particular decision on selecting
a specific cell of a contractor to visit. The cell state (in-house, out-sourced, un-
sourced) is unrevealed until the cell is selected. If no cell is available to visit in the
current time-interval, the agent should visit a virtual cell as un-sourced. Agents
can take multiple actions and experience multiple states in a time-interval.

Fig. 1 Reinforcement
learning [39]
536 J. Sadeghi et al.

• Time-interval: A calendar year (according to data granularity in Table 3). The

current time-interval for each agent cannot be lower than the agent’s starting
time.
• Reward: Also, “r” is given to the agent for each executed action and corresponds
to the reached state, where:

run - sourced < rout - sourced < rin - house .

• Agent objective: Reach an in-house state with a higher accumulative reward.

• Agent terminal state: The first in-housing state visited by the agent.

In RL, each state is a Markvoe state [43]. Markvoe’s decision process includes a
set of possible actions and succeeding states [18]. Although there is no generalisation
regarding the various levels of relationships and subcontracting rules, two possible
relationship graphs are presented in Fig. 2. Graph “a” addresses the relationships
between various contractors with only one constraint, i.e. the upper level cannot
subcontract the lower levels, and graph “b” illustrates a simpler graph in which each
lower level can only be subcontracted by a one-level-up contractor; for example, a
relationship between levels A and C is possible only if level B mediates.
RL presents a unique machine learning approach where agents actively learn
through trial and error in dynamic environments without relying on predefined
labelled data. The agent starts from the Aalpha state in the default time-interval
and chooses a possible path until it reaches a green—also known as terminal state.
Notably, in a learning process, the agent accomplishes multiple episodes until found
the best way to reach their terminal state. Indeed, each episode starts from the agent’s
starting time and ends in a terminal state [43], while the accumulative rewards for each
episode vary (Fig. 3). The detailed reward data is collected in the agent’s memory.
The rewards corresponding to each possible action in the given states are addressed
in Fig. 3 as the labels on the links. The reward for green, red, and second-time visited
Alpha states are, respectively, 1000, −100, and −1000.

Fig. 2 Markov graph of subcontracting mechanism in a particular time-interval; a higher level

cannot be subcontracted to the lower levels; b each lower level can only be subcontracted by a one-
level-up contractor; Green node: in-house state, Red node: out-sourced state, Grey node (Alpha):
un-sourced state, Red links: links to the grey node in the next time-interval
Introducing an Integrated Agent-Based and Reinforcement Learning … 537

Fig. 3 Learning process for an agent in conceptual RL process

The process of action selection (deciding to visit a particular contractor cell) is

affected by the external forces of each contractor. Each cell imposes forces on the
agent decision-making process according to its attributes to attract the agents and
win the tendering for a particular project; the higher the velocity of the cell’s force,
the higher the chance of attracting the agent. It is assumed that, in each time-interval,
the force’s velocity from each cell to each agent is proportional to the cell family’s
type, level, hunger, reputation, and location, defined as follows:
• Type: The work type that the contractor is qualified for should match the agent’s
work package type.
• Level: The level at which the contractor is recognised and should fit the project
scale.
• Hunger: Number of available cells in the contractor family (green and red cells).
538 J. Sadeghi et al.

• Reputation: A score given by the construction community to each contractor;

the score varies in each time-interval and clings to the contractor’s historical
performance.
• Location: Contractor serving geographical location or contractor’s base location
distance to the project location.

4 Results: Model Feasibility Check

The proposed model is implemented by Python in Grasshopper visual coding canvas

(Rhino3D, Version 7 SR26 [28]. The model feasibility is assessed using the NZTA
pipeline of construction work and its list of prequalified contractors. To simplify
this stage, the early implemented model is fed by one category of project types, i.e.
category 4 (see Appendix, Table 5). The contractors and projects that relate to this
category are chosen; 87 contractors serve New Zealand’s central region, and 499
projects belong to the fourth category. Notably, since investigating the contractors’
Reputations and Hunger index is a long-term process and beyond the scope of this
paper, these indexes are considered random variables affecting the cells’ forces in
each action selection process. Furthermore, each contractor’s modules are divided
randomly into three types: in-house, out-sourced, and unavailable. The agent will
then be attracted by a winner cell which could be in-house or out-sourced.
Moreover, the projects are categorised by their scales, where the level 0–3 in
project categorisation match the levels 0–3 (A–D) of contractors, and it is assumed
that each project can only be tendered by the same-level contractor in the first-
time contracting. Accordingly, the results of four different agents’ simulation from
four different project levels are presented in the following sections. The simulation
results for one time-interval are presented, through which each agent experiences
five different episodes in their first year of existence. The agent chooses various
contractors and receives different rewards.

4.1 Level 0 Project Sample

Figure 4 is the result of the five episodes that experienced the agent 106 from project
ID 640’s eighth scheduled year—corresponding to the calendar year 2023. The agent
details also clarify that project ID 640 is identical to project ID 2 in its relative level
(level 0). This sample agent belongs to a project family from the 0th level, which
the same-level contractor should undertake for the first-time contracting in the year
2022. Therefore, the cell representative of the level 0 contractors should force this
agent.
In the first episode (episode{0}), the agent visits the cell representative of
contractor ID 111, a 0-level contractor. The visits cell presents an in-house state,
Introducing an Integrated Agent-Based and Reinforcement Learning … 539

Fig. 4 Sample of level 0 agent: episodes and rewards

and the agent accumulates the reward of “+1000” for its first action. Episodes {3}
and {4} also successfully terminated visiting green cells of level 0 contractors 48
and 125.
In episode {1}, the agent then is attracted by the cell representative of contractor
37—a level 0 contractor—and visits a red (out-sourced) state. Therefore, the objective
is not obtained, and the reward of “−100” is received. This episode continues with
visiting the red cell from contractor 24 and then terminates in the next step as the
agent reaches the terminal and visits the green cell by contractor 40. The accumulative
reward for this episode would be 800. Episode {2} also ends up with an 800 reward
after experiencing the red cells from contractors 115 and 106 and terminating visiting
the green cell of contractor 97.

4.2 Level 1 Project Sample

Figure 5 shows the results of five episodes experienced by an agent from project
family 714. This project is originally from the level 1 category and will be contracted
by the same-level contractors while its first-time presence in the environment is in
the year 2023.
The episodes {0}, {1}, {2}, and {3} end in a terminal state for the agent with
accumulative rewards of 900, 900, and 900 and 800. The result of episode {3}
540 J. Sadeghi et al.

Fig. 5 Sample of level 1 agent: episodes and rewards

indicates two times out-sourcing and one time in-housing by the contractors, as, in
this episode, the agent visited the representative cells of contractors 24, 40, and 43
from levels 1, 2, and 3.
On the other hand, the agent failed to visit a terminal in episode {4}. In this
episode, contractors 104, 89, and 84 represent out-sourced cells to the agent, and it
concludes the episode in the “None” contractor cell. The “None” contractor means
that the agent takes the last action to reach a new Alpha state and place in the next
year’s pool of agents; the corresponding “−1000” is then received.

4.3 Level 2 Project Sample

Figure 6 includes the episodes and rewards accomplished by a 2020 scheduled agent.
This agent is from project family 747, a second-level project. All the episode ends
up in a terminal. In episodes {0}, {1}, {3}, and {4}, the agent visits the green cells
of contractors 89, 40, 42, and 107. In episode {2}, however, contractor 97 out-source
the agent to visit the cell from contractor 84; thus, a “−100” reward is achieved.
Introducing an Integrated Agent-Based and Reinforcement Learning … 541

Fig. 6 Sample of level 2 agent: episodes and rewards

4.4 Level 3 Project Sample

Figure 7 shows an agent representative of the project family 711. This agent belongs
to level 3 and is to be undertaken by a small-scale contractor. The result reveals that
the agent reaches a terminal state in all episodes as it visits the cells from contractors
84, 43, and 126.

5 Discussion and Future Developments

The result of agents’ experiences in various episodes could be interpreted from an

agent—or project—perspective. For instance, a representative of a level 0 project
experiences green state by contractor 111 in episode {0}. This informs the project’s
stakeholders that contractor 111 has sufficient in-house resources to deliver the work
without delay and risk of subcontracting. On the other side, the agent representa-
tive of the level 1 project experienced consecutive subcontracting after its first-time
contracting by contractor 104. This project’s stakeholders surmise from episode {4}’s
result that the risk of getting subcontracted and delayed is high. On the other hand,
experiencing the multitudes of episodes, an agent can learn about each contractor’s
performance. Indeed, after each episode, the agent can make informed decisions
about choosing the best cell to visit in the following episode. Notably, the agent can
also explore new actions rather than sticking to exploiting one guaranteed solution.
For instance, the level 3 agent experienced a successful visit to contractor 84’s cell;
542 J. Sadeghi et al.

Fig. 7 Sample of level 3 agent: episodes and rewards

however, it also explored visiting other cells of contractors 43 and 126 to enhance
its memory and evaluate different contractors.
The model feasibility check results prove that the early-stage concept of AB-RL
integration is compatible and aligned with the research aim. It brought more insight
into the resource allocation process for construction projects and the roots of the
corresponding risk of being overdue and delayed. The overestimated resource by the
contractor is represented via out-sourced cells. Visiting the red cells, the projects are
more exposed to the risk of schedule extension. This interpretation is an alternative
answer to the primary research question; for instance, the early planning lay on an
overestimation that could adversely impact a construction project’s progress.
In the studies conducted by Farshchian et al. [11] and Farshchian and Heravi
[10], portfolio management is approached from the project owner’s perspective. The
main objective is to simulate the progress of projects to facilitate the allocation of
budgets. Although this owner-oriented approach to portfolio management impacts
the early scheduling of projects, it is worth noting that construction projects’ initial
schedule and cost estimates often undergo significant changes until their completion,
as highlighted by Son and Rojas [40]. Therefore, assessing the project’s resource
allocation from the contractor’s perspective is important, as this provides deeper
insights into potential challenges and risks associated with resource conflicts and
shortages. This study strongly addresses this concern where the AB-RL model is
feasible to reveal the adverse effects of resource misevaluation on the progress of the
projects.
On the other hand, compared with Soman and Molina-Solana [39] and Kedir et al.
[18], the study at hand clings to a wider perspective on resource scheduling. They
focus on automating the LAS process and optimising the single projects activity
Introducing an Integrated Agent-Based and Reinforcement Learning … 543

Fig. 8 Modified reinforcement learning in a multi-agent model in a time-interval

network, which involves short-term planning of the construction works to ensure

conflict-free scheduling and resourcing. On the other hand, this research deals with
an extendible time frame, i.e. the whole project life cycle, while considering it as
an actant in a multi-project environment. The decision-maker at a high level is not
a project manager but a collective of project stakeholders. This complexity is also
addressed in AB-RL proposed in this study (Fig. 8).
The proposed AB-RL is yet to be developed in future research and could include
the following potential steps for precise construction sector structure explanation:
• Hybridisation with critical path method: Postponing the agent to the next year
has consequences. Work schedules follow the critical path in construction sched-
ules, i.e. the sequence of accomplishing the work packages is essential. There-
fore, no two agents in a particular project from original different years can exist
simultaneously in one time-interval simulation.
• Modules specialisation: Breaking the projects and contractors into their repre-
sentative modules could be featured by different work types. For instance, the
agent representing the construction foundation work in the “bridge construc-
tion” category could be attracted by its counterpart cell from a relative contractor
resource.
• Cell forces manipulation: As in the real world, the contractors can choose specific
lower-hand subcontractors, facilitating the model with probabilistic calculations
would better relate its results with reality.
• Multi-agent RL development: Since the contractors’ portfolios often include
several projects, the agents from different projects simultaneously affect the cells
representative of the contractors. As the RL process for multi-agent systems is
different, the principal components of RL are modified and proposed in.
• Local environment is a “cell” with a particular “state” to be visited by the agent,
while the “Global environment” is a directory of all the states considered the point
of contact between all the agents.
544 J. Sadeghi et al.

6 Conclusion

This research focuses on the challenges faced by New Zealand’s construction industry
to growing construction demands and resource limitations. The research aims to
understand resource allocation practices in the sector by treating the New Zealand
construction sector as a portfolio of projects. It investigates the impact of overes-
timating resources in pipeline development and tendering process. An integrated
agent-based modelling and reinforcement learning (AB-RL) technique is concep-
tualised and implemented. This study is original in introducing a novel method to
explain the construction sector mechanics and dynamics in the scope of construction
work contracting practices.
The model feasibility is checked and proved using NZTA data of the projected
pipeline of construction works and associated prequalified contractors. As represen-
tatives of the projects, the agents experience various episodes of getting contracted
by different contractors. The results then inform stakeholders about specific contrac-
tors’ capabilities and risks. By analysing multiple episodes, agents can learn about
contractor performance and make informed decisions about future tendering events.
Integrating agent-based modelling and reinforcement learning proves compati-
bility with the aim of the study. It is concluded that it provides valuable insights
into construction resource allocation and the risk of delays and overruns. The
model also highlights the impact of overestimating resources (represented by out-
sourced contractor cells), which could adversely affect the extension of the project’s
lifecycles.
The model developed in this study is contributed to the national-scaled construc-
tion management and is feasible in finding the practicality of the earlier construction
project plans by evaluating the schedules against the available resources. However,
due to a lack of data on contractors’ resources, the implementation process poses
challenges. The contractors’ resources are randomly divided into in-house and out-
source, while real-world resource assessment is necessary to relate the model to
reality and validate the results. Indeed, the AB-RL model developed in this study
effectively approaches the complex contractors’ relationship and construction sector
data unavailability; however, some assumptions still need to be validated against
real-world information. Therefore, the model is expected to enable the revisiting of
the national construction sector through further development and validations. This
validation process will involve comparing the model’s predictions with actual project
outcomes and evaluating its ability to deliver precise insights into resource allocation
and project risk assessment.

Acknowledgements The writers express their appreciation for the financial support provided by the
New Zealand Ministry of Business, Innovation and Employment through the Endeavour Programme
Research Grant (contract number: MAUX2005).
Introducing an Integrated Agent-Based and Reinforcement Learning … 545

Table 5 Work category description by NZTA

References Work category
1 Routine and minor works
Pavement maintenance
Traffic services
Carriageway lighting
Vegetation control
Amenity/safety maintenance
Traffic management
Minor safety
2 Surfacing
Reseals/seal extension
3 Bridge construction
Bridge maintenance/repairs bridge construction
4 Construction
Rehabilitation/pavement treatment drainage improvements road construction

Appendix

See Table 5.

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Systematic Review of the Adoption Level
of Building Information Modelling
in Construction Small and Medium-Sized
Enterprises in Nigeria

Olusayo A. Bamgbose, Babatunde F. Ogunbayo, and Clinton O. Aigbavboa

1 Introduction

The advent of building information modelling (BIM) is transforming the construction

industry from a regular two-dimensional drawing to a robust information model [18].
According to Azhar [8], applying BIM in construction projects improves collabo-
ration among project stakeholders, leading to improved return on investment, cost
reduction, time and resource management. Also, the relevance of BIM in various
construction operations facilitates BIM acceptability in the construction industry
[19]. According to Chong et al. [11], new BIM tools are needed to achieve sustain-
ability. BIM is also helpful in refurbishment and demolition. Leveraging BIM holds
significant importance in the quality monitoring and evaluation of construction
projects, spanning from the initial design phase to the ongoing management of the
facility [28]. However, many construction players are yet to understand the proce-
dure for implementing BIM because there is no standard for its implementation [44].
Though BIM awareness is rapidly increasing, its poor understanding often poses a
problem for implementation. Also, many construction professionals do not know
BIM, especially small and medium-sized enterprises (SMEs) [13]. There is a digital
divide or BIM gap between the firms that can invest in hardware and software and
those that cannot. However, Singh and Holmstrom [38] opined that the need for BIM
adoption could also be partly explained by Maslow’s hierarchy of needs, such that
an organisation’s interest in BIM adoption is required to match new performance
targets. However, the burning strategy mandates BIM usage for public and govern-
ment projects to integrate public infrastructure design, construction, and operation
[12].

O. A. Bamgbose (B) · B. F. Ogunbayo · C. O. Aigbavboa

Faculty of Engineering and the Built Environment, cidb Centre of Excellence, University of
Johannesburg, Johannesburg, South Africa
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 549
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_35
550 O. A. Bamgbose et al.

2 Research Methodology

The study systematically reviewed existing literature using a systematic research

method. It is a structured approach to carrying out research that follows a set of
protocols, which involves a clear and concise plan configured to ascertain that BIM
adoption level in construction SMEs is conducted in a rigorous and detailed manner
[33]. This study mainly relied on peer-reviewed secondary data on BIM adoption
from online databases such as Google Scholar, ResearchGate, Science Direct, etc.).
Relevant kinds of literature were explored with keywords such as BIM, BIM adop-
tion in developing countries, level of BIM adoption in developing countries, BIM
adoption in construction SMEs, and construction SMEs in developing countries.
Thirty-five (35) related articles are found on BIM in the construction industry with
global consideration, while the other nine (9) general papers are on construction
SMEs. The extracted articles were used comprehensively to discuss the level and
importance of BIM adoption in construction SMEs in Nigeria.

3 Building Information Modelling

Building information modelling (BIM) represents both a process and a technological

shift from a traditional single sequential approach to contemporary multiple parallel
forms of data integration [22]. According to Aranda-Mena et al. [7], BIM is an uncer-
tain term that means different things to different professionals in the construction
industry. BIM is known as a software application to some professionals, while some
see it as a means to design and document building information and as well interpreted
as a new approach to practice and projecting the profession through implementation
of new policies, contracts, and collaboration among professionals. BIM can create
and manage project information, resulting in a building information model output.
Also, it involves a digital description and representation of all aspects of the project
in view (Hall 2018). Building information modelling (BIM) is becoming relevant in
various construction operations via its general acceptability by different construction
professionals, especially in developed countries like the United Kingdom (UK) [19].
According to Bui et al. [10], BIM is a driving force for innovation and productivity
in the construction industry. It is embedded with the potential to support sustainable
construction practices that can facilitate the eradication of poverty in developing
countries as outlined in the United Nations Millennium Goals (MDGs). Although
BIM is gaining progressive momentum in developed nations, its implementation in
developing countries is limited [10]. BIM has evolved as a notable tool in the construc-
tion industry, gaining recognition as a vital aspect of Industry 4.0. Nonetheless, its
understanding and implementation pose significant challenges [14].
Systematic Review of the Adoption Level of Building Information … 551

4 Construction Small and Medium-Sized Enterprises

in Developing Countries

Construction small and medium enterprises (SMEs) took the more significant part of
construction industries both in developed and developing countries; thus, construc-
tion SMEs make significant contributions to employment generation, economic
growth, prosperity, and the diffusion of innovation, among other factors [16]. Devel-
oped nations like the United Kingdom have extensively employed BIM for the execu-
tion of public infrastructure projects, highlighting the advantages of implementing
BIM in construction endeavours [1]. According to Ametepey et al. [41], SMEs play
a crucial role in fostering economic growth and generating employment opportuni-
ties in developing nations. The construction industry’s performance relies heavily
on the operational capabilities of construction SMEs [24]. According to Ametepey
et al. [5], SMEs significantly dominate the construction industry in most developing
economies. In addition, SMEs comprise many businesses globally, including the
construction industry, and thus play a vital role in job creation, poverty alleviation,
and driving global economic development [43]. Ahiawodzi and Adade [3] also opined
that construction SMEs play a vital role in driving economic development on a global
scale. SMEs are the foundation of developed economies, research, and development,
including employment and poverty reduction efforts [3]. Furthermore, facilitating the
adaption of construction SMEs in an open environment and improving their engage-
ment in digital transformation is crucial for stimulating economic growth towards
achieving a more inclusive form of globalisation [29].

5 Adoption of Building Information Modelling

in Developing Countries

Building information modelling has evolved as a ground-breaking innovation that

revolutionises the management of the entire building lifecycle. It encompasses
various stages of construction, from the design phase to monitoring and control-
ling the actual construction processes [39]. As an innovative approach, BIM show-
cases its practicality across multiple stages, encompassing project conceptualisa-
tion, design, construction, and ongoing building utilisation [42]. Integrating BIM
into construction procedures can optimise the preparation of maintenance budgets,
ultimately resulting in more efficient maintenance practices within the construction
industry [27]. During the operational phase of a building, BIM data finds utility
in aiding facility management activities like maintenance scheduling, asset moni-
toring, and energy performance assessment [27]. According to Hamma-Adama et al.
[20], the construction industry has experienced a remarkable advancement with the
introduction of BIM, which brought about transformative changes over time. The
leading country in BIM adoption is the United States, while developed countries
are also extensively embracing its implementation, especially in public projects.
552 O. A. Bamgbose et al.

However, developing countries such as Nigeria are lagging in the uptake of BIM
due to challenges such as poor awareness and research on BIM implementation in
various construction projects [30].
In addition, the construction industry in developing countries predominantly
represents nascent industries regarding BIM adoption and implementation. Chal-
lenges such as government support hinder the adoption of BIM in developing coun-
tries, contrasting the situation in some developed countries where such backing is
evident [36]. According to Saka et al. [34], the construction industry is reaping
numerous benefits from BIM adoption, however, BIM implementation in developing
countries still faces significant challenges, such as a lack of support and guidance
from clients and the government, thus more challenging for SMEs which form the
backbone of the construction industry. Other challenges construction SMEs face in
implementing BIM are limited resources and poor organisational structure [34].

6 Level of Adoption of Building Information Modelling

in Construction Small and Medium-Sized Enterprises

The emergence of building information modelling represents a comprehensive inno-

vation in managing the entire building lifecycle, spanning from the design phase to
the ongoing control and management of the building itself [39]. With the contin-
uous advancement of technology, the construction industry undergoes transforma-
tion, reaping the advantages of inventive solutions that reshape the way buildings and
infrastructure are designed, built, and maintained [4]. Construction SMEs are rapidly
embracing BIM adoption, which is reflected in current studies on adoption rate when
compared with studies in six years past, with 42% of Australian SMEs using BIM
at levels 1 and 2, while 5% utilising BIM at level 3 [21]. According to Anifowose
et al. [6], the awareness and understanding of BIM among professionals have steadily
increased via collective endeavour. However, there is a noticeable insufficient aware-
ness among management professionals, resulting in a shallow understanding of BIM
applications in the post-construction stage of the building. Also, BIM awareness has
a noticeable decline from the design phase to the construction stage. According to
Monejo and Makinde [26], the level of awareness and acceptance of BIM is moderate
in the Nigeria construction industry, mainly in the use of BIM software, which has
demonstrated a significant impact in essential aspects of project performance such
as improved collaboration, conflict resolution, and reduction in labour.
However, many SMEs find BIM adoption unattractive due to several challenges,
including a lack of motivation and resistance to change. Additionally, the avail-
ability of multiple BIM platforms that do not cater to the specific requirements of
SMEs adds to their reluctance [25]. Furthermore, BIM has been recognised as a
cutting-edge technological advancement, revolutionising the construction industry,
which serves as a collaborative platform, employing advanced computer software
that seamlessly integrates with all project tasks. BIM enhances work performance
Systematic Review of the Adoption Level of Building Information … 553

significantly throughout the project lifecycle, thus minimising project complexity

and conflicts [37].
BIM adoption is at the infancy stage in Uganda, with high usage primarily for
modelling. However, the importance of BIM and considered benefits towards produc-
tivity can improve its adoption in the Ugandan construction industry [2]. In addition,
BIM has offered invaluable significance in the construction industry through the
effective collaboration of team members in the course of construction works and the
BIM technology usage in actualising construction projects [15]. In addition, Liu et al.
[23] identified factors that aid the adoption of BIM in the architectural, engineering,
and construction (AEC) industry, which are perceived benefits of BIM, internal readi-
ness of construction organisations through BIM training and external forces in the
form of competitive strength, influence from stakeholders and competitors.

7 Importance of Building Information Modelling Adoption

in the Nigeria Construction SMEs

According to Saka et al. [36], ensuring the sustainable integration of building infor-
mation modelling (BIM) is crucial to bridging the gap between construction SMEs
and large construction firms that have already embraced BIM practices, thus empow-
ering SMEs to compete in diverse construction projects effectively. Olugboyega [31]
noted that BIM adoption is remarkably high for designing modern and complex build-
ings, particularly those with extensive project information. Prominent examples of
such projects include the Eko Corporate Tower, Eko Boulevard, Le Reve Tower,
Afren Tower, Eko Pearl Towers in Lagos state, and various other intricate develop-
ments that were successfully realised through the implementation of BIM during both
the design and construction phases. Encouraging BIM adoption among SMEs can
profoundly impact the construction industry, thus, construction SMEs can improve
productivity, increase economic profits, and mitigate risk by embracing BIM and
departing from traditional construction methods [25]. According to Vidalakis et al.
[40], the integration of BIM by construction SMEs can facilitate effective informa-
tion management, communication, and collaboration among supply chain actors in
diverse construction operations. Furthermore, this proves highly beneficial in main-
taining existing facilities, as BIM enables the streamlined maintenance of building
components, making the process more efficient and manageable [35].
Additionally, building information modelling serves its purpose by delivering a
multitude of benefits in all stages of construction projects; this includes improved
design quality, ease of implementation, enhanced information sharing capabilities,
reduced construction costs and design errors, accelerated work progress, and shorter
construction timelines, increased energy efficiency, support for construction and
project management, and enabling building owners to achieve greater operational
efficiency throughout the lifecycle of the structure [32, 15]. According to Blair [9],
554 O. A. Bamgbose et al.

BIM serves as a valuable tool for construction management professionals to proac-

tively mitigate disruptions and prevent potential failures even before the construc-
tion process begins, its significance for construction SMEs lies in its capacity to
efficiently manage collaborations with other industry professionals and seamlessly
integrate project planning during handover processes. Also, construction SMEs can
take advantage of project monitoring by tracing work progress with an accurate
timeline to achieve tremendous success [9].
According to Kouch et al. [22], implementing BIM can facilitate the sharing and
distribution of data, enabling its utilisation across various applications to manage
multiple tasks and activities in the construction sectors throughout the building life-
cycle. Embracing BIM technology is essential for construction SMEs operating in the
construction sector and imperative for firms aiming to enhance their competitiveness
and remain relevant in the industry [22]. BIM adoption by construction SMEs can
facilitate predictable project duration, less disruption towards handover, less rework,
and a better-quality asset and data valid for the entire lifecycle of the project [17]

8 Implication of the Study

The study has reviewed extant literature on the level of building informa-
tion modelling adoption by construction SMEs and the importance of BIM to
various construction works towards improving construction production manage-
ment, majorly done by construction SMEs. The practical usage of this study will
aid construction SMEs in developing countries to harness the importance of BIM,
facilitating the implementation of the same at all levels of construction work. This
will improve SMEs’ job performance and the return on investment. Implementing
BIM tools by construction SMEs will enable them to compete with large construc-
tion companies, improving their collaboration with relevant stakeholders and compa-
nies, thus improving product output and effective project monitoring to the point of
delivery.

9 Conclusion and Further Research

This study examines the adoption level of building information modelling in

construction SMEs. The extant literature reviewed divulged the paradigm shift from
regular construction practices towards adopting digital construction, such as building
information modelling, including the level of adoption of BIM and implementation
of BIM tools at different stages of construction works, ranging from design to actual
construction and maintenance of buildings. Developed countries prioritised BIM
adoption, while not in developing countries due to challenges such as government
support, poor awareness, lack of client support, limited resources, poor organisa-
tion structure, and inadequate research on BIM implementation. Typical challenges
Systematic Review of the Adoption Level of Building Information … 555

deterring construction SMEs from adopting SMEs were identified as lack of moti-
vation, resistance to change, and lack of specific requirements for BIM adoption
and implementation. Previous studies further showed that BIM can bridge the digital
divide between construction SMEs and large construction firms, enabling SMEs
to compete with big construction companies in carrying out various construction
projects to achieve quality output, while construction SMEs can effectively collab-
orate with relevant stakeholders, including information sharing and management at
all stages of construction works.
The study used relevant literature from developed and developing countries to put
the study in the apt context of understanding the level of adoption of BIM adoption
in construction SMEs. The study identified gaps between developed and developing
countries in building information modelling adoption and implementation in various
construction operations, while the feasibility of implementing BIM by construction
SMEs was identified through the importance of BIM adoption to construction SMEs.
In synopsis, the findings in this study are relevant to the construction industry in
developing countries and suggest further research on the adoption level and imple-
mentation of BIM by construction SMEs in all stages of work. The study review
is limited due to few relevant publications on BIM adoption and implementation in
developing countries; thus, further research is required to establish this study.

Acknowledgements The authors would like to acknowledge the Sustainable Human Settlement
and Construction Research Centre, Faculty of Engineering and the Built Environment, University
of Johannesburg (CIDB Centre of Excellence).

Funding This research was funded by the cidb, Centre of Excellence, Faculty of Engineering and
the Built Environment, University of Johannesburg, South Africa.

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Conceptualizing Hard and Soft Benefits
of Adopting BIM in Construction
Projects: A Systematic Review

Tusdid Sabur Tohfa, Abdelrahman M. Farouk, and Rahimi A. Rahman

1 Introduction

The construction industry contributes significantly to the socioeconomic growth of

any nation. The construction industry faces numerous challenges, such as dimin-
ished efficiencies, subpar quality, escalating expenses, generation of construction
waste, project delays, and insufficient communications among stakeholders, owing
to its intricate nature. Modern innovations of BIM are a strategic solution aimed
at addressing challenges such as inferior productivity levels within the construc-
tion industry. By adopting BIM, the construction sector can streamline workflows,
improve collaboration, reduce errors and rework, enhance cost estimation and
scheduling precision, and ultimately increase productivity [44]. It has the poten-
tial to revolutionize the industry by using technology to address long-standing issues
and enhance overall project outcomes [7]. BIM is defined by the National Institute of
Building Sciences (NIBS) as: “Building Information Model or BIM utilizes cutting
edge digital technology to establish a computable representation of all the physical
and functional characteristics of a facility and its related project/life-cycle informa-
tion, and it is intended to be a repository of information for the facility owner/operator
to use and maintain throughout the life cycle of a facility [42].”
The main obstacle regarding adopting BIM in construction projects pertains to
the resistance exhibited by professionals within the industry. This resistance stems
from concerns surrounding potential disruptions, associated costs, safeguarding of
data, and the necessity for upskilling [57]. Professionals may express concerns
regarding the potential disruption of established workflows, the need for supple-
mentary training, and the initial financial implications associated with implementing

T. S. Tohfa (B) · A. M. Farouk · R. A. Rahman

Faculty of Civil Engineering Technology, Universiti Malaysia Pahang Al-Sultan Abdullah,
Pahang, Malaysia
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 559
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_36
560 T. S. Tohfa et al.

BIM. Data security and privacy concerns arise due to the inclusion of sensitive infor-
mation within the comprehensive digital models employed in BIM. There may be
concerns regarding unauthorized access and data breaches. In addition, professionals
may experience apprehension regarding the learning curve entailed by BIM tools and
software as they express concerns about the potential obsolescence of their existing
skill sets [26]. The presence of these apprehensions serves as a contributing factor
to the hesitancy observed in the adoption of BIM within construction endeavors.
The successful adoption of BIM has the potential to foster enhanced productivity
among all stakeholders, thereby conferring benefits to the entire construction value
chain [28, 47]. While the primary focus of managers regarding BIM adoption is
market competitiveness, they have yet to establish a comprehensive approach to fully
optimize the benefits of BIM integration [12]. The adoption of BIM by an entity may
not lead to the full realization of the associated benefits due to specific challenges.
This may result in a loss of investment and a reversion to traditional approaches
[12]. However, to realize the critical benefits of BIM is vital for an organization to
properly transition to this modern edge technology [23].
This study aims to identify and discuss the key benefits of BIM adoption by
comprehensively reviewing the existing literature. The main aim of this review is to
address the following research questions: What soft and hard benefits can construc-
tion professionals consider when deciding to adopt BIM? To achieve this aim, a
comprehensive analysis of the existing literature pertaining to the benefits of BIM
adoption in construction projects was carried out. The study identified the most
critical benefits of BIM and emphasized their potential impact to clarify their influ-
ence on BIM adoption. The outcomes of the review have the potential to enhance
the comprehensive comprehension of the benefits of BIM and identify the critical
advantages that facilitate the adoption of BIM in construction projects. The outcomes
of this study can be valuable resources for academics, practitioners, and the general
public who aim to deepen their understanding of BIM and determine its significant
benefits. The identification of significant BIM benefits carries substantial economic
implications, rendering it imperative to make informed decisions regarding BIM
adoption.

2 Research Background

2.1 Definition of BIM

Van Nederveen defines BIM as “A model of information about a constructed facility

that comprises complete and sufficient information to support all life-cycle processes,
which can be interpreted directly by computer applications. It comprises information
about the constructed facility and its components, and information about properties
such as function, shape, material and processes for the project life cycle”. According
Conceptualizing Hard and Soft Benefits of Adopting BIM … 561

to McGraw-Hill’s publication titled “The Business Value of BIM”, BIM is charac-

terized as the utilization of digital models in the creation, construction, and operation
phases of projects [5]. The primary focus of this report is to present the perspectives
of contractors regarding the definition of BIM. Succar defines BIM as a set of inter-
acting policies, processes, and technologies generating a methodology to manage the
essential design and project data in digital format throughout the facility’s life cycle
[53]. BIM goes beyond mere software, it encompasses both a process and software.
Expanding on this, it becomes apparent that effective utilization of BIM necessitates
three key factors: (1) process, (2) technology, and (3) behavior.

2.2 Development of BIM

Professor Charles Eastman developed the BIM concept at the Georgia Tech School
of Architecture in the late 1970s [33, 50]. From the mid-2000s onward, the architec-
ture, engineering, and construction (AEC) sector has embraced the incorporation of
BIM in construction projects. Initially conceptualized in 2000, BIM was defined as a
structured model representing architectural elements. The use of BIM has progressed
from the pre-construction to the post-construction phases. In 2008, BIM found appli-
cation as a project simulation, encompassing a three-dimensional (3D) model of a
project component. This model was connected to and amalgamated with essential
information across various project phases. Over the period spanning from 2008 to
2013, BIM underwent an expansion, evolving into a technological revolution that
played a transformative role in the construction industry.

2.3 BIM Levels

According to the British Standard (BS), the BIM Task Group has adopted the concept
of “BIM Levels.” The chart below and the four defined levels (Level 0 to Level 3) have
widely become the accepted criteria for determining BIM compliance in projects [20].
Level 0 is described as unmanaged CAD, a stage that most industries have already
surpassed. Level 1 typically involves a combination of 3D CAD for conceptual work
and 2D for drafting statutory approval documentation and production information,
which is the current operational level for many companies. Level 2 is characterized
by collaborative working, where all parties use their 3D models without working on a
single, shared model. Level 3 signifies complete collaboration across all disciplines
using a unified project model stored in a centralized repository, usually an object
database in cloud storage. This is known as “Open BIM” [20].
The primary advantages of BIM encompass enhanced and simplified coordination
among project personnel, increased productivity, elevated project quality control,
and improved communication [13]. BIM users encounter diverse challenges akin
to obstacles on their journey. Typically, BIM users must balance the advantages
562 T. S. Tohfa et al.

derived from enhanced productivity and coordination and the challenges posed by
BIM-related costs, training issues, and associated problems.
BIM has transformed the construction sector by enabling greater collaboration
among project stakeholders, which fosters improved teamwork and communication.
BIM may help the construction industry in several ways, notably by simplifying
systematic categorization and evaluation processes. BIM enables stakeholders to
communicate, visualize, evaluate, and manage different project components effec-
tively during the project’s whole life cycle because it is a digital depiction of a
construction or infrastructure project.

2.4 Definition and Categories of Benefits

The first step to success is defining what success looks like for a particular project—
the so-called success criteria. Finding out precisely what a project is anticipated
to achieve and enable is the goal of the success criterion. Project deliverables are
clearly defined and must be provided within a specific time range [51]. These outputs
are goods, functions, or services anticipated to bring about improvements and help
organizations accomplish their goals (APM 2012, PMI® 2013d). According to [51],
the enhancement to the business brought about by these adjustments is referred to as
a benefit. It increases the value of the company to the shareholders [58].
Benefits can be defined as follows [14].
Benefits refer to tangible and measurable enhancements, typically articulated
financially, to rationalize any potential business investment. So, every benefit should
have a monetary value.
Benefits can be categorized into various types, like tangible and intangible
benefits.
• Tangible benefits are measured objectively based on evidence. A direct cost
reduction, return on investment, and market share change are examples of tangible
benefits.
• Intangible benefits are those that lack direct and objective measurability, instead
depending on a proxy or representative measure for evaluation. Customer satisfac-
tion, employee morale, and brand or image perceptions are examples of intangible
benefits.
Benefits can be further categorized as planned and emergent benefits.
• Planned benefits are anticipated advantages for a chosen beneficiary, identified
and sanctioned through the organization’s benefit realization management system.
• Emergent benefits are unexpected benefits that arise during or after a program,
project, or within the context of a portfolio.
Benefits can also be further categorized as direct and indirect benefits.
Conceptualizing Hard and Soft Benefits of Adopting BIM … 563

• Direct benefits are unambiguous, measurable gains realized as planned by defined

beneficiaries.
• Indirect benefits refer to secondary or unintended gains, whether planned
or unplanned, experienced by designated beneficiaries or others following the
achievement of a direct benefit.
Tangible and intangible, planned and emergent, and direct and indirect are consid-
ered non-functional with respect to the benefit realization of BIM. Nevertheless, in
general, the benefits are widely categorized as hard benefits and soft benefits.
• Hard benefits are the project outputs that any tangible measure can directly
measure.
• Soft benefits are project outputs that can be represented or substituted by a tangible
measure.
In this analysis, we will examine the different benefits associated with BIM adop-
tion, encompassing both hard and soft benefits. This comprehensive approach allows
for a thorough exploration of the wide-ranging benefits that BIM adoption can offer.

2.5 Knowledge Gap

The above literature review illustrates that BIM benefits construction projects. In
addition, most works focus on BIM adoption benefits, precisely hard benefits, rather
than others. A significant knowledge gap exists in the broader conceptualization of the
hard and soft benefits of various technological innovations and advancements across
industries [8]. The absence of consensus in defining and classifying these benefits
hinders the evaluation, comparison, and communication of the value proposition
associated with adopting these. While hard benefits, such as increased efficiency and
cost savings are frequently measurable and tangible, there is a lack of research on
the conceptualization and comprehension of soft benefits, which include intangible,
qualitative outcomes such as improved user experience, increased customer satisfac-
tion, and organizational agility [40]. In addition, the interplay between hard and soft
benefits, as well as the contextual factors that influence their realization, remains
understudied. Understanding the interrelationships between these benefits and the
contextual factors influencing their outcomes is essential for informed decision-
making, practical adoption, and optimal utilization of emergent technologies across
various industries. By bridging this knowledge gap, stakeholders can maximize the
potential of technological innovations and generate transformational change in their
respective domains. Therefore, this study fills that gap by analyzing the critical hard
and soft benefits of adopting BIM in the construction industry.
564 T. S. Tohfa et al.

3 Methodology

This study aims to identify the critical soft and hard benefits of adopting BIM in
construction projects. Therefore, this study systematically reviews the soft and hard
benefits of adopting BIM. The objectives of this SLR may encompass establishing
a theoretical foundation for future research endeavors, comprehending the scope
of research conducted on a particular subject of interest, or addressing pragmatic
queries by assimilating the insights offered by extant research. The form of literature
review comprises a unique and valuable contribution to research. It establishes a
firm point of departure for other individuals in the academic sphere interested in a
specific subject matter [43]. Therefore, an SLR is deemed appropriate for establishing
a comprehensive overview of the benefits of adopting BIM. This approach provides
valuable insights into the critical benefits of the research topic while also addressing
significant gaps in the existing literature. Furthermore, the present study employs
the systematic approach outlined in the PRISMA guidelines. According to Moher
et al. [40, 41], the PRISMA guidelines consist of a flow diagram divided into four
phases: phase 1 involves identification, phase 2 covers screening, phase 3 pertains
to eligibility, and phase 4 concerns inclusion. The transparency of the PRISMA
approach enhances the clarity and accuracy of the methodological and analytical
procedures [41]. Therefore, the utilization of evidence-based research in this study
contributes to enhancing the overall quality of the review.
The articles for the SLR were retrieved from the Scopus database. Scopus was used
for SLRs in past works in construction and other domains (e.g., engineering, manage-
ment, and operations) because it contains the largest abstract and citation databases
[24, 52]. Compared with others, like Google Scholar and Web of Science, Scopus
offers the most comprehensive coverage of construction management research [27].
Scopus has also grown in popularity due to its extensive coverage, interdisciplinary
approach, quality control, citation tracking, search capabilities, metrics, and analysis
for researchers [22, 49]. As the review encompasses both the soft and hard benefits
of BIM, potentially leading to a reduced number of articles, this study employed
broad keywords for the search, i.e., “BIM,” “Building Information Modeling,”
and “Benefits.” In addition, the search was limited to journal articles in English.
According to Palmatier et al. [45], the constraints associated with relying solely on
high-impact journal articles for review papers are noteworthy, as they can impede
the ability to effectively synthesize existing research and provide a comprehen-
sive overview of knowledge and insights. Consequently, the scope of the inquiry
was restricted to scholarly publications in the form of journal articles, excluding
conference proceedings, to ensure a comprehensive and rigorous synthesis of the
literature. The search approach was: (TITLE-ABS-(“building information model*”
OR “BIM” AND “benefits” AND (LIMIT-TO) (SRCTYPE, “j”) AND (LIMIT-TO
(LANGUAGE, “English”)). The search yielded a total of 354 articles in academic
journals.
In Fig. 1, given the limited results of the initial search, this study incorporated
articles citing the initial 354 articles to ensure the thoroughness of the review, resulting
Conceptualizing Hard and Soft Benefits of Adopting BIM … 565

in the selection of 44 articles. Out of these, 11 articles with duplicates were excluded,
leaving 98 citing articles. During the screening phase, the abstracts of these articles
were scrutinized, leading to the removal of 6 more articles. Consequently, a total
of 42 initial and 16 citing articles were retained after eliminating duplicates upon
combining both sets. The eligibility phase involved a detailed examination of the full
articles to identify those with distinguishable soft and hard benefits, culminating in
the selection of 19 articles. Subsequently, a further review led to the removal of 2
more articles, leaving a total of 17 articles deemed suitable for subsequent analysis.
The number of articles that were identified was comparable with other SLRs
published on the topic of the advantages of BIM. For example, in similar research by

Articles citing the initial

list in Scopus (n = 44)
Identification

Overall number of
articles obtained from
Scopus. (n = 354)
Additional articles after
removing
duplicates(n=11)

Overall initial articles Additional articles after

after abstract abstract screening
screening (n=92) (n=06)
Screening

Overall screened Overall articles after

articles after abstract screening
duplication removed (n=98)
(n=42)
Eligibility

Overall articles after

eligibility assessment
(n=19)
Inclusion

Overall articles
included for further
analysis (n=17)

Fig. 1 SLR procedure

566 T. S. Tohfa et al.

Abbasnejad et al. [1], out of 382 identified articles from the database, only 80 were
relevant. Moreover, the present study has a narrower scope than previous literature
reviews on BIM, as it specifically examines the benefits of BIM. Thus, the adequacy
of the sample size may be deemed sufficient for providing an overview of the present
research trends on the benefits of adopting BIM.
The thematic analysis method is an inductive technique that aims to reveal signif-
icant patterns of information, interpretations, and fundamental concepts that arise
from the data [30]. The methodology offers a rigorous and systematic framework for
examining qualitative data and producing valuable insights. It is recommended that
a thematic analysis be conducted on the conclusive set of articles obtained through
SLR.

4 Results

The SLR findings indicate that 34 journals have published more than four articles on
the subject matter, as presented in Table 1. The prominent journal on the subject matter
is Automation in Construction, which accounted for 48 articles. Sustainability and
Engineering, Construction, and Architectural Management held the second highest
position among journals dedicated to the subject matter.
The following primary topics emerged from the thematic analysis of the final
compilation of articles in this study: Hard and Soft benefits. As seen in Table 2,
each theme has several subthemes. The theme and its subthemes are discussed in the
following subsections.
The findings of the analysis have culminated in the creation of a framework
that facilitates the determination of the importance of pivotal advantages associated
with adopting BIM. Consequently, a framework of hard and soft benefits of BIM is
depicted in Fig. 2. The subsequent section describes the influence of each benefit
on the adoption of BIM in construction projects, along with a classification of these
benefits into soft and hard categories.

5 Discussion

5.1 Hard Benefits of Adopting BIM

5.1.1 Clash Management

Adopting BIM offers significant benefits for managing construction project conflicts
[16]. Adopting BIM, conflict location and objective can be determined during the
planning phase, reducing the likelihood of costly adjustments during construction. By
creating 3D models of constructed facilities and components, prospective conflicts
Conceptualizing Hard and Soft Benefits of Adopting BIM … 567

Table 1 Distribution of the articles based on publication source

Name of journal Count
Automation in construction 48
Sustainability (Switzerland) 29
Engineering, construction, and architectural management 29
Buildings 28
Journal of information technology in construction 24
Applied sciences (Switzerland) 16
Journal of building engineering 15
Malaysian construction research journal 14
Journal of construction engineering and management 14
Journal of cleaner production 10
Advances in civil engineering 10
Journal of management in engineering 9
Journal of engineering, design, and technology 8
International journal of construction management 8
Energies 7
Journal of computing in civil engineering 6
International journal of sustainable construction engineering and technology 6
Energy and buildings 6
Construction innovation 6
Built environment project and asset management 6
Sustainable cities and society 5
Smart and sustainable built environment 5
Frontiers in built environment 5
Proceedings of institution of civil engineers: management, procurement, and law 4
Journal of legal affairs and dispute resolution in engineering and construction 4
Journal of facilities management 4
Journal of construction in developing countries 4
Journal of civil engineering and management 4
Journal of Asian architecture and building engineering 4
International journal of sustainable development and planning 4
Infrastructures 4
Asian journal of civil engineering 4
Architectural engineering and design management 4
Ain Shams engineering journal 4
568 T. S. Tohfa et al.

Table 2 Themes, subthemes, and codes of the reviewed articles

Themes Subthemes Codes
Hard Clash management Clash detection
benefits Clash elimination in design
Efficient communication
Construction complexity
Predictive performance analysis (energy/code analysis)
Quality Construction quality
Enhanced construction productivity
Improved safety performance
Construction process Integration of design and construction
improvement Construction task sequencing and scheduling
Assembly methods
Accuracy increase
Reduced project duration
Real-time updates
Construction activity tracking and progress monitoring
Schedule compliance in construction project delivery
Cost control Cost estimation and quantity take-off
Cost-effectiveness
Better cost estimates and control
Reduction in as-built drawings cost
Reduced construction cost
Simplified cost checking and updating
Automatic BOQ preparation
Data management Single source of truth
Provision of life-cycle data
Centralized data storage in coordinated model
Reliable and accurate quantities and cost estimates
Construction cost reduction and cost performance
improvement
Reduction of errors
Innovation Increased global competitiveness
Speeding up the design process
Innovation encouragement and new construction
methods introduction
Soft Collaboration and Stakeholder involvement
benefits communication Multi-party communication
Better communication platform
(continued)
Conceptualizing Hard and Soft Benefits of Adopting BIM … 569

Table 2 (continued)
Themes Subthemes Codes
Multi-disciplinary design coordination
Rapid identification of design changes
Effective collaboration
Efficiency and Decision-making
productivity Consistency and reliability
Project knowledge management
Single platform for project information
Better construction planning and monitoring
Time and cost assessment for design changes
Construction scheduling
Project performance Design alternatives
Conflict prediction
Project perspective
Time-based clashes identification
Integrated construction scheduling and planning
Project progress tracking
Improved information Component details for better understanding
management Scope clarification
Improved cost database management
Facilitation of project information and data sharing,
exchange, and management
Improved visualization
Sustainability Organizational image enhancement
Operations and maintenance improvement of project
infrastructure
Financial and investment opportunities improvement
Client services

can be identified and resolved before construction [25]. This strategy promotes
improved quality, decreased costs, expanded project outcomes, and improved
communication and collaboration among project stakeholders.

5.1.2 Quality

BIM may be exceedingly beneficial for construction project quality management.

BIM enables better quality control and early problem identification through more
accurate and comprehensive project representation [13]. Adopting BIM, construction
teams can rapidly evaluate and scrutinize design decisions, construction techniques,
570 T. S. Tohfa et al.

Clash
Management
Collaboration and
Communication

Quality

Efficiency and
Productivity

Construction
Process
Hard BIM Soft Project
Improvement
Benefits Benefits Benefits Performance

Cost Control

Improved
Information
management
Data Management

Sustainability

Innovation

Fig. 2 BIM benefit framework

and material selections to ensure compliance with regulations. Changes to a project

can also be documented using BIM, enabling precise documentation and the detection
of potential problems [35]. Utilizing BIM for quality management could enhance
project outcomes and reduce error and rework rates.

5.1.3 Construction Process Improvement

Adopting BIM can offer significant benefits for enhancing the construction process.
BIM’s capacity to facilitate proper planning, coordination, and communication
among project stakeholders results in improved project outcomes and shorter project
duration [2]. By creating a precise 3D model, BIM can identify and resolve potential
problems before construction begins, resulting in fewer errors and less remedia-
tion. BIM also facilitates more accurate resource allocation and cost estimation,
which reduces the likelihood of budget overruns. BIM’s capacity to monitor and
manage project changes encourages increased collaboration and fewer stakeholder
disagreements [7].
Conceptualizing Hard and Soft Benefits of Adopting BIM … 571

5.1.4 Cost Control

Integration of BIM may have a significant positive effect on construction cost

management. BIM’s ability to estimate costs more precisely and thoroughly reduces
the likelihood of budget overruns. BIM’s 3D modeling capabilities enable stake-
holders to view and evaluate the entire project, enabling them to identify cost-cutting
opportunities [36]. In addition, BIM enables real-time cost monitoring and analysis,
which makes it easier to identify budget variances and make timely adjustments. By
adopting BIM, stakeholders can simulate multiple design and construction scenarios
to determine the most cost-effective course of action [21]. Adopting BIM to accel-
erate the construction process and reduce the need for rework can also result in
significant cost reductions.

5.1.5 Data Management

BIM may be of tremendous benefit for data management on construction projects.

BIM enables the creation of a comprehensive digital representation of the entire
construction process, serving as a single source of information [19]. As a result, data
administration is streamlined, and it is now simpler to access, communicate, and
update data in real time. BIM also enables integrating data from multiple sources,
providing a more comprehensive view of the project and facilitating more informed
decisions [56].

5.1.6 Innovation

Integration of BIM may benefit construction projects in novel ways. BIM provides
advanced capabilities such as 3D modeling, visualization, and virtual reality simu-
lations, enhancing stakeholder cooperation and communication [48]. BIM’s real-
time project monitoring enables stakeholders to make rapid adjustments, enhancing
project outcomes. By providing a digital model of the project, BIM can identify poten-
tial issues early and reduce the need for costly rework. BIM enables prefabrication
and modular construction techniques, significantly reducing time and expenses [4].

5.2 Soft Benefits of Adopting BIM

5.2.1 Collaboration and Communication

BIM offers significant benefits to construction project collaboration and commu-

nication. BIM enables stakeholders to share project data and modifications in real
time, enhancing team communication and collaboration [39]. The utilization of BIM
to generate a digital representation of the project ensures that all stakeholders have
572 T. S. Tohfa et al.

access to a consistent source of project information, thereby reducing the likelihood of

communication errors or misunderstandings. BIM’s 3D modeling capabilities enable
stakeholders to view the project’s design and scope, fostering greater comprehension
and communication among project participants [38].

5.2.2 Efficiency and Productivity

BIM can result in significant efficiency and productivity gains. BIM generates a
digital model of the project, enabling stakeholders to envisage and organize construc-
tion operations more precisely and efficiently [3]. The 3D modeling and simulation
capabilities of BIM allow stakeholders to optimize construction plans before the
commencement of actual construction work, thereby eradicating the possibility of
expensive rework. In addition, BIM promotes using lean construction techniques,
such as modular construction and prefabrication, which can help reduce construction
time and costs [18].

5.2.3 Project Performance

BIM significantly improves the efficacy of construction projects. BIM creates a digital
model of the project that contains all relevant data and information in a single location.
For improved project performance, stakeholders can use this centralized source of
information to monitor various project parameters, such as budgets, schedules, and
quality indicators. BIM simplifies the management of project milestones, enabling
stakeholders to anticipate potential delays and implement corrective actions to keep
the project on track [55].

5.2.4 Improved Information Management

BIM may substantially improve construction project information management.

Because BIM-based construction management centralizes project information, stake-
holders can communicate and collaborate more effectively [17]. BIM eliminates
errors and duplication by exchanging and managing real-time project data and infor-
mation. Additionally, it ensures that everyone is working with the most recent infor-
mation. BIM enables stakeholders to access project information from any location
and at any time, increasing the overall efficacy of the project [37].

5.2.5 Sustainability

BIM can provide significant sustainability benefits for construction projects. By

simulating and analyzing multiple project scenarios, BIM can help reduce waste,
enhance material consumption, and increase energy efficiency [31]. This enables
Conceptualizing Hard and Soft Benefits of Adopting BIM … 573

stakeholders to make well-informed decisions with minimal environmental impact.

BIM’s 3D modeling component enables stakeholders to visualize the project’s
design and identify any issues impacting sustainability [11]. BIM can also aid
in selecting sustainable materials by analyzing their environmental impact and
supplying statistics on their life cycle [15].

5.2.6 Study Implications

Studying the soft and hard benefits of adopting BIM has enormous ramifications and
enables a thorough assessment of its influence. Researchers can evaluate measurable
cost reductions, increased productivity, and efficiency through less rework and better
resource allocation. Researchers can also consider the soft benefits of improved
stakeholder communication, decision-making, and collaboration. The value of BIM
can be maximized when an understanding of these benefits informs decision-making.

5.2.7 Limitations and Future Research Directions

Conceptualizing the hard and soft benefits of adopting BIM in construction projects
has been a topic of extensive research, but several limitations must be acknowledged.
However, it is imperative to recognize and address certain constraints within this
research body. To begin with, it is worth noting that numerous research conducted
within this domain exhibit limited sample sizes, thereby constraining the extent to
which the findings can be extrapolated. To address this issue, it is imperative for
forthcoming research to make a concerted effort to incorporate more extensive and
more diverse participant samples. This will help ensure that the findings obtained
apply to a broader array of projects and contexts. Furthermore, it is worth noting
that the research conducted on the benefits of BIM often concentrates on geographic
areas, such as the United States or Europe. Consequently, the findings may not be
directly transferable to construction projects in other regions with distinct regulatory
frameworks, cultural norms, and industry practices [44]. To address this constraint,
future investigations should strive to incorporate a broader international outlook to
accommodate regional disparities. Furthermore, a considerable number of research
have predominantly concentrated on immediate consequences, such as financial and
temporal benefits during the construction period, while disregarding the enduring
effects of BIM adoption across the entirety of the project’s lifespan [46].
It is imperative to comprehend the comprehensive advantages of BIM throughout
its entire life cycle, encompassing its influence on maintenance, operations, and
facility management. Organizational factors significantly influence the adoption of
BIM. Further investigation is warranted to explore the impact of leadership support,
change management strategies, and organizational culture on the practical adop-
tion and attainment of BIM benefits [6]. Gaining an understanding of these factors
can facilitate the identification of obstacles and the formulation of strategies aimed
at promoting the successful adoption of BIM. By addressing these limitations and
574 T. S. Tohfa et al.

exploring these future research directions, the comprehension of the soft and hard
benefits of adopting BIM in construction projects can be significantly augmented. The
outcome will result in a higher level of decision-making knowledge and a more effec-
tive integration of BIM within the industry. Consequently, this will contribute to the
enhancement of project results, the promotion of sustainability, and the augmentation
of economic value.

6 Conclusion

This study intends to review existing literature on the critical soft and hard benefits of
adopting BIM in construction projects and identify gaps in the current pool of knowl-
edge. For the SLR, the PRISMA approach was used to thoroughly assess 17 journal
articles, which were then thematically analyzed. The articles were divided into two
themes based on the analysis: soft and hard benefits. The articles also contributed
to the following eleven subthemes: There are six subthemes under the hard bene-
fits, including conflict management, quality, cost control, data management, and
innovation. The five subthemes under the soft benefits include collaboration and
communication, productivity and efficiency, project performance, improved infor-
mation management, and sustainability. The analysis points to a knowledge gap in
identifying the significant benefits of implementing BIM. Most works concentrated
on the evaluation of BIM adoption in construction projects instead of presenting its
significant soft and hard benefits.
The first SLR of research trends on the benefits of BIM adoption was carried out in
this study. The study identified research limitations, knowledge gaps, future research
paths for BIM, and the benefits of BIM adoption, which goes deep into research trends
and article classifications. This study still has a few limitations despite significant
attempts. First, the assessment only looks at the latest publications discussing the
benefits of BIM adoption. As a result, this study cannot represent other BIM-related
research areas. Another limitation is that the literature search was carried out utilizing
Scopus. Consequently, articles that are not listed in Scopus could be disregarded.
Nevertheless, the methodology is suitable because the chosen database is frequently
used by SLR research in construction fields. Moreover, the snowballing technique
also enhances the existing data. Another minor limitation of this study is that all the
articles evaluated are in the English language. Despite these limitations, the study’s
aim was satisfactorily achieved.
The study provides theoretical contributions by shedding insight into the bene-
fits of adopting BIM, assisting future researchers in conducting comparable assess-
ments and identifying research gaps. Researchers can follow the study’s conclusions
regarding limitations and future directions. When applying BIM in construction
projects, industry professionals can use the results to help them grasp its benefits
and apply it most effectively. As a result, this study has substantial theoretical impli-
cations that will help researchers better understand the benefits of BIM and assist
practitioners in the industry.
Conceptualizing Hard and Soft Benefits of Adopting BIM … 575

Author Contributions Tusdid Sabur Tohfa contributes to analysis, investigation, data collection,
draft preparation, manuscript editing, and visualization. Abdelrahman M. Farouk contributes to
conceptualization, methodology, validation, investigation, draft preparation, manuscript editing,
supervision, and project administration. Rahimi A. Rahman contributes to conceptualization,
methodology, software, validation, supervision, project administration, and funding acquisition.
All authors have read and agreed with the manuscript before its submission and publication.
Funding The authors would like to thank Universiti Malaysia Pahang Al-Sultan Abdullah for
providing financial support under Internal Research Grant RDU2203103.

Ethics Statement Not applicable.

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Springer, London
Trust in Robotics and Automation
in the Construction Industry: The Case
of Malaysia

Nur Aliah Hani Saiful Amir, Ahmad Rizal Alias, Lee Yong Siang,
and Abdul Rahimi Abdul Rahman

1 Introduction

Diverse workforce-related challenges and productivity issues currently need to be

solved in the construction industry, partially due to its heavy reliance on human tasks.
They are frequently hampered by a shortage of skilled labour, a high incidence of
safety risks, potential accidents and injuries, time constraints, location, and safety
factors [22]. Emerging Industry 4.0 innovations, such as the use of virtual human
applications in the construction industry, digital software for optimizing construction
data, cyber-physical systems, collaborative robots, health and safety, and site moni-
toring have created opportunities for a better-enhanced construction environment
[10]. Robots have been regarded as critical to supplementing human productivity
difficulties and retooling traditional workflow procedures in the construction field.
Nevertheless, what this implies in practice is ambiguous and continually evolving
[4]. Concerns about the implications of robots and automation on construction sites
have sparked sociocultural and economic discussions, raising questions about the
type of intervention robots would have and what this would imply: fewer human
employees or no human workers on sites [27]. To alleviate some of these agitations
and concerns, trust must be built for the construction sector to accept and adapt to
robotics and automation.

N. A. H. S. Amir · A. R. Alias (B) · L. Y. Siang · A. R. A. Rahman

Universiti Malaysia Pahang Al-Sultan Abdullah, Pahang, Malaysia
e-mail: [email protected]
N. A. H. S. Amir
e-mail: [email protected]
L. Y. Siang
e-mail: [email protected]
A. R. A. Rahman
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 579
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_37
580 N. A. H. S. Amir et al.

In the case of Malaysia, many problems have hampered the construction industry’s
growth and expansion, resulting in low productivity levels compared with other indus-
tries, such as manufacturing. In reality, Malaysia’s construction industry is still far
left behind in the digital area, with most industry practitioners admitting to a long-
standing culture of opposition to change. The industry’s slow progress regarding
digitalization has caused the construction industry to rely heavily on manual work,
causing the management of construction projects in Malaysia to be much more intri-
cate and time-consuming than in other progressive countries. As Malaysia is working
towards becoming a developed country, an increase in the economy will rapidly result
in the need for more infrastructure. Hence, time-consuming projects may hinder this
progress which can cause Malaysians to face many difficulties, such as high housing
market prices and traffic jams, which is now a primary problem in the major city
centres of Malaysia such as Kuala Lumpur and George Town [1]. These problems
may not only affect the economy, but they can also harm the health of Malaysians
and cause a spike in stress level and mental illness. This can further be proven by
the Ministry of Health (MOH) research in 2022 on 336,900 individuals [34]. The
study has found that the Federal Territories in Malaysia have the highest cases of
depression and anxiety. The reason for this increase is mainly because the cost of
living in the Federal Territories is rather high compared with the rural areas [8]. Thus,
through this, we can see that the effect of outdated project management and handling
can cause a major effect on society [26].
To further discuss the issue at hand, Malaysian construction industry practitioners’
work culture and business models are also one of the primary reasons why the utiliza-
tion of robotics and automation in the industry is less than in other industries [15]. This
is because many contractors need to see the importance of implementing robotics and
automation in their projects as they feel comfortable with their companies’ current
work culture and business models. There is also no urge from their clients or the
government for them to change their business models, which makes them feel secure
in using manual work to manage and handle their projects [9]. It is undeniable that
changing the mindset of these industry practitioners is hard, especially when the
manual work method has been used for ages, and trust is built with manual work.
Most contractors want to avoid risks by applying automation and robotics in their
projects due to the high initial investments and out-of-the-ordinary work culture.
In addition, concerns about the implications of robots and automation on construc-
tion sites have sparked sociocultural and economic discussions, raising questions
about the type of intervention robots would have and what this would imply: fewer
human employees or no human workers on sites. The fear of job loss and change has
made industry practitioners stick to the old work culture instead of moving towards
progressive changes. To alleviate some of these agitations and concerns, trust must
be built for the construction sector to accept and adapt to robotics and automation.
However, there are several companies that have adopted robotics and automa-
tion in design and construction in Malaysia [20, 23, 24, 33]. The prime example
is Gamuda Berhad. One of the most famous robotics used in their projects is the
Autonomous Tunnel Boring Machine (A-TBM). A-TBM was created entirely by
Trust in Robotics and Automation in the Construction Industry: The … 581

local engineers at Gamuda Berhad. It employs artificial intelligence (AI) control algo-
rithms to autonomously drive the TBMs, resulting in proven, measurable increases
in productivity, safety, and tunnel building quality. Tunnel boring machine data
insights improved A-TBM performance, increased 360° awareness, and improved
risk management in tunnelling by avoiding mistake and rework, decreased resources,
shortened production time, increase safety and reduced human reliance [14].
Thus, one of the ways to negotiate this issue is by strategy formulation rather than
solving the issue at hand through method as “getting from A to B” [13]. Therefore,
this study aims to identify the issue and strategies that need to be taken to build
trust towards using robotics and automation in the Malaysian construction industry.
With this study, it is hoped to bring light to the issue to ensure that there will be
more incentives and policies to help the construction industry move towards Indus-
trial Revolution 4.0. It also hopes to further improve the livelihood of Malaysian by
strategizing the steps that can be taken to build further trust towards the implementa-
tion of robotics and automation in the construction industry. Nevertheless, this study
differs from prior works as it is one of the pioneer studies that critically analyzes the
strategies for building trust using robotics and automation through interviews and
thematic analysis.

2 Literature Review

Trust is “the attitude that an agent will assist in attaining an individual’s aims in
a setting marked by ambiguity and vulnerability” and “the reliance by an agent
that influential individuals will not perform activities harmful to their well-being”
[18]. Past research has demonstrated that mutual trust helps to smooth the project
implementation, provides flexibility in the face of uncertainty, boosts efficiency, and
maintains long-term connections [24]. Such long-term ties are critical for a company
seeking to acquire deals and establish itself in a new location [5].
The usage of robotics in the construction industry started in the 1980s with the
introduction of single-purpose robots to perform specific jobs such as concrete
finishing or welding. The robots’ primary focus is performing complex, dirty, or
dangerous work in the field. In the construction industry, autonomous robots are re-
programmable, multipurpose manipulator that moves materials, components, tools,
or special devices through varied programmed movements to perform several tasks
in building industry production processes [39, 41].
According to Malaysian construction industry workers, they still need to be made
aware of the existence of automation and robotics technologies despite new tech-
nology progressing in building engineering, construction, and design from time to
time [38]. This is because Malaysian construction industry players want to refrain
from using robotics and automation, as it raises the question of trust in data security,
reliability, and ethics [37]. Robotics and automation depend on computing systems
and datasets to operate safely. These data are necessary to conduct everyday opera-
tions and assist management in reaching their objectives and making the best choices
582 N. A. H. S. Amir et al.

according to the information obtained from them. In this case, the question of the
safety of the data involved not just the quantity or variety of data but also the data’s
quality, privacy, and security [17].
.
One of the crucial ethical issues raised by using robotics and automation is when
robots take on responsibility in the circumstances previously guided by human
judgement. Examining ethical challenges from various viewpoints, such as those
of operators and machines, should be part of these considerations [7].
Due to the problems stated, most construction players continue using the tradi-
tional technique in their projects as a safe play [3]. As a result, the project’s primary
goals are to identify the issues and strategies creating trust in robotics and automation
in construction projects.

2.1 Issues on Building Trust in Robotics and Automation

in the Construction Industry

There are several studies that discuss the issues on building trust in robotics and
automation in the construction industry [20, 21]. One of the issues discussed is
cultural issues. In the construction industry, conventional methods of doing things are
preferred over innovative but untested technology that promise big returns [11]. As a
result, the construction sector is hesitant to adapt new technology. Construction sites,
unlike other industries, are typically distinct and varied, necessitating automation and
robotics that can learn and adapt quickly in changing conditions [16]. This might
involve utilizing other digital technologies such as blockchain to promote trust and
transparency [2].
The ethics and governance of a country deeply affect the matter at hand. In
this context, to create and maintain industry practitioners’ trust in automation and
robotics, a transparent, involved and adaptable governance is needed [25]. This is a
critical problem that is vital to the society as a whole. While automation technologies
promise wonderful results, it cannot be properly adopted if not strictly governed [40].

2.2 Strategies on Building Trust in Robotics and Automation

in the Construction Industry

The scenario of robotics and automation in construction is always evolving, and it is

predicted that as these technologies mature, the potential will far exceed the obstacles
[29]. This is due to robotics and automation which require a large quantity of data
for algorithm training, large-scale businesses will likely be more advantageous in the
short run [25]. However, these advantages will quickly extend to medium and small-
scale businesses as they see the cost and time savings. The exponential expansion
Trust in Robotics and Automation in the Construction Industry: The … 583

of innovation and technical developments is creating new opportunities in urban

development and construction. Automation is a key component of the Industrial
Revolution 4.0 and will continue to grow in the construction sector. In the long term,
the construction sector will regard AI as a primary driver of change to increase effi-
ciency, productivity, work processes, precision, consistency, and dependability [32].
Furthermore, it reduces expenses, unanticipated hazards, and accidents on construc-
tion sites [35]. In 5–10 years, the problems and prospects of AI applications for the
construction sector will give a fresh perspective for future investigation.
Strategic partnerships with high-tech businesses were the best way to increase
the deployment of construction robots’ technologies in Malaysia [41]. Partnership
strategies will boost technology transfer between two parties, where the partnership
may enhance the transfer of information and technologies, allowing enterprises to
raise their profit and performance. New technology and talents may be introduced
into the corporation and integrated into the operations. As a result, organizations that
form alliances might seize more opportunities for new ventures.

2.3 Knowledge Gap

The above literature review shows that though there are major issues in building
trust towards applying robotics and automation, there are certainly ways to coun-
termeasure those issues. However, for current body of knowledge, there is a lack
of research in regard with the case study in Malaysia. Furthermore, there is also
a lack of studies that researches into trust regarding the utilization of robotics and
automation, with most of the research done for the cases in Malaysia are about indus-
trialized building system IBS [21, 31] or building information modelling (BIM) [12].
There is a study that discusses on the challenges of the implementation of construc-
tion robotics technologies in the construction, however the research uses quanti-
tative method through distribution of questionnaire questions. The study also only
distributes the questionnaire to few selected companies in Kuala Lumpur [41]. A
crucial aspect of addressing this gap is the need to gather insights from industry
practitioners spanning across different regions of Malaysia, as the challenges and
implications are pertinent to the entire nation rather than being localized to Kuala
Lumpur alone. To effectively fill this void, a comprehensive approach is vital. This
approach entails the utilization of qualitative research methods, engaging a diverse
array of industry professionals and conducting insightful analyses. By doing so, this
research endeavour aims to pave the way for a better understanding of the dynamics
of trust within the rapidly evolving landscape of robotics and automation. The current
state of research underlines the hurdles and prospects of trust-building in the realm
of robotics and automation. However, this understanding remains insufficient in the
case of Malaysia. By employing a comprehensive approach that includes qualita-
tive methodologies, wide-ranging participant involvement, and thorough analyses,
this research seeks to bridge the gap left by prior studies. Ultimately, the goal is to
shed light on the intricate dynamics of trust, empowering decision-makers to make
584 N. A. H. S. Amir et al.

informed choices and ensuring the successful integration of innovative technologies

within the industry.

3 Methodology

Figure 1 depicts the study methodological process, from establishing the interview
procedure along analyzing the interview data. The data was gathered by questioning
industry practitioners from various backgrounds about their perspectives on trust
in applying robots and automation in Malaysia. The acquired interview data was
analyzed using a thematic analysis approach [19].

3.1 Developing Interview Protocol

The first major step for this study is by developing an interview protocol. In order to
develop the interview protocol, the study objectives and aim must be clearly defined.
This study aims to identify the Malaysian construction industry practitioners on
their confidence in robotics and automation applied in the industry. Once the study
aims and objectives are identified, suitable data collection is then considered. For
this study, a prevalent data gathering format through qualitative research is used.
Unstructured interviews are adapted for this research because they allow respondents

Fig. 1 Methodology
Trust in Robotics and Automation in the Construction Industry: The … 585

to express themselves in their own manner and at their own speed, with little influence
on respondents’ responses. Thus, an interview survey of the industry players was
made to collect the data and information required for this study. Next, the interview
questions is then developed. The following sets of questions in the questionnaire are
as listed below:
a. What is the issue in building trust in robotics and automation in the construction
industry in Malaysia?
b. What are the strategies that can be taken to build trust in robotics and automation
in the construction industry in Malaysia?

3.2 Collecting Interview Data

The sample size for this study consists of 14 respondents from various backgrounds,
which include engineers, clients, and consultants. This study has adopted the digital
revolution and chooses two methods for data collection which are physical and online
in-depth interview. This method is used to classify the issues in building trust in the
utilization of robotics and automation in the construction industry and determine their
strategies for further improving the implementation of robotics and automation. For
physical in-depth interview, the procedure starts by contacting respondents that fit
the criteria and an in-depth interview date that was deemed suitable is then set up.
Another method of reaching more significant respondents is by distributing the in-
depth interview questions via Google Forms for respondents who are not able to
meet physically, in conjunction with digital revolution [28]. The in-depth interview
question was based on the industry practitioners’ views on issues and strategies
that can be applied to build trust in robotics and automation in the construction
industry. The respondents’ background information was captured immediately in
the research area as a result of this interview survey. In this context, respondents’
education level, profession, and experience were collected for more precise data,
which suits this study’s aim. The form is then distributed by posting and promoting on
LinkedIn. To achieve a realistic view of the issue, the target demographic comprises
industry practitioners from the primary construction project stakeholders. The target
respondents must fit into three primary criteria to be a sample for this study [30].
The three primary criteria are:
a. Respondents must have at least minimum of 5 years working in the construction
industry
b. Respondents must be contractors registered under BEM and use robotics and
automation in the projects they are working with/have worked with.
c. Respondents must have experience in applying robotics and automation in the
construction industry in Malaysia.
586 N. A. H. S. Amir et al.

3.3 Analyzing Interview Data

This is the step in which the information gathered is analyzed. An analysis is critical
due to where judgements and solutions were created. To help with the analysis, a
thematic analysis method was used to further understand the data collected. Thematic
analysis is a qualitative data analysis process that involves reading over a set of
data and looking for patterns in the meaning of the data to find themes. It is an
active reflexive process in which the researcher’s subjective experience is essential
to making meaning of the facts. Following the theme analysis technique, there are
six-steps of an iterative process, which are: (1) familiarizing oneself with the data,
(2) developing coding categories, (3) developing themes, (4) evaluating themes, (5)
defining and identifying themes, and (6) discovering exemplars. Getting acquainted
with the data may entail transcribing or (re)reading the data [6]. Coding entails noting
interesting elements of data in a methodical manner and then combining the data. The
researcher must compile initial codes into probable themes before acquiring all data
pertinent to the specific issue. The process of reviewing themes involves determining
if the themes operate in connection to the coded extracts and the complete dataset.
Once the themes and subthemes were reviewed, a map of the themes then can be
made to further see the data collected clearly.

4 Results and Discussion

Based on the research done following the methodology steps, this study analyzes
the data collected and discusses how to achieve the research’s aim and objectives. In
this study, two main subjects can be obtained to understand the level of trust among
industry practitioners towards robotics and automation. The main subjects are the
core in answering the objectives of this research which is to identify the main issues
and strategies in building trust towards using robotics and automation in Malaysia’s
construction industry. The two main subjects are represented below.

4.1 Issues in Building Trust to Implement Robotic

and Automation in Malaysia’s Construction Industry

This issue has three main themes: economy, promotion, and enforcement. The main
themes are concluded from a series of subthemes that are analyzed from respondents’
statements. The respondents’ statements following their attributes are as given in
Table 2.
Trust in Robotics and Automation in the Construction Industry: The … 587

High Initial Capital

Investment
Existing Business
Economy Model and Contracts

Job Security

Issues in Building Trust to Implement Low Awareness

Robotic and Automation in Malaysia's Promotion
Construction Industry Fear of Change

Incentive & Policy

Enforcement Readiness

Courses and Education

Fig. 2 Issues in building trust to implement robotic and automation in Malaysia’s construction
industry

Table 1 Issues in building trust to implement robotic and automation in Malaysia’s construction
industry. Source: Created by authors
No Theme Subtheme Respondent Total
1 2 3 4 5 6 7 8 9 10 11 12 13 14
√ √ √ √ √ √ √ √ √ √ √
1 Economy High 11
capital
investment
√ √
Existing 2
business
model and
contracts
√ √ √
Job 3
security
√ √ √ √ √ √ √ √ √
2 Promotion Low 9
awareness
√ √
Fear of 2
change
√ √ √ √
3 Enforcement Incentive 4
and policy
√ √ √ √
Readiness 4
√ √ √ √
Courses 4
and
education
588 N. A. H. S. Amir et al.

Table 2 Respondents’ statements on issues in implementing robotics and automation. Source:

Created by authors
Attributes Respondents statements
High capital “The main issues for Malaysia are the lacks of funding or financial to support
investment robotic and automation in Malaysia.” (R6)
Existing business “Additionally, to make full use of automation a broader diverse group of
model and people and companies need to collaborate, over multiple projects for many
contracts years. Our industry is too fragmented to achieve this.” (R9)
Job security “Fear of job loss” (R4)
Low awareness “Insufficient exposure & awareness to the industry players” (R11)
Fear of change “Many people don’t understand how, or believe that, new technologies,
automation, etc., will improve construction. They are not willing to change
their ways of working and try new ideas.” (R9)
Incentive and “The government should come with the initiative by offering incentive to
policy those who play roles in introducing & practising the new technology in the
industries.” (R12)
Readiness “The readiness of the application of the robotics itself.” (R10)
Courses and “Provide education not only for the university level, but also in schools.” (R1)
education

4.1.1 Economy

One of the main issues in building trust to implement robotics and automation in
Malaysia’s construction industry is Malaysia’s fluctuating economy. In order to use
robotics and automation, a high initial capital investment is needed. Due to the
fluctuation of the Ringgit in Malaysia due to inflation, many contractors choose to
cut costs in the projects they have handled. Thus, many contractors refuse to invest
in new automation and use old technologies as it is much more cost-saving.
Next, due to existing business models and contracts, many industry practitioners
feel safe not using robotics and automation as it is a risk to change old business
models and existing contracts. For example, in Malaysia, we can see there are only
a few significant contractors in Malaysia that use robotics and automation, as these
contractors often take on big and major projects with high bidding costs and revenue.
Due to the high amount in revenue thanks to handling mega projects, these significant
companies can take risks in changing their business models. Meanwhile, other smaller
industry practitioners must compete with said companies in bidding for these projects.
As a result, many smaller contractors choose to stick with old business models as
there is less risk taken compared with using robotics and automation.
Additionally, job security is one of the main issues in establishing robotics and
automation in the construction industry. Due to the belief that by using automation,
many workers will lose their jobs to robots, many industry practitioners refuse to use
robotics and automation for fear of losing their job.
Trust in Robotics and Automation in the Construction Industry: The … 589

4.1.2 Promotion

Another prominent theme issue in building trust to implement robotics and automa-
tion in Malaysia’s construction industry is promotion. The main subtheme in the
theme of the promotion is low awareness. As the implementation of robotics and
automation in Malaysia is not diverse, there is a low percentage of awareness about
the utilization of robotics and automation among Malaysia’s construction industry
practitioners.
Next, the fear of changing the old project management and handling methods
causes these industry practitioners to refrain from implementing robotics and automa-
tion in their projects. As these industry practitioners have more experience in using
common project management, they feel comfortable with the current manual work
used and refuse to change their method as it is much more time-consuming and
riskier.

4.1.3 Enforcement

The enforcement of using robotics and automation in Malaysia’s construction

industry still needs improvement. This can be seen through three significant
subthemes: incentive and policy, readiness, and courses and education.
Most incentives and policies for the construction industry in Malaysia do not
initiate the utilization of robotics and automation in the construction industry. As
Malaysia is a developing country, most of the incentives and policies do not go to
the construction industry but instead go towards strengthening the economy. There’s
also the stigma of construction industry which performs well with the manual work,
which causes most of the incentives and policies for implementation of robotics
and automation to go towards other industries such as manufacturing. Thus, there
needs to be stern enforcement by the government for the utilization of robotics and
automation in the construction industry.
Next, the readiness to implement robotics and automation in the construction
industry still needs to improve because industry practitioners are still comfortable
using the old project management and handling methods compared with robotics
and automation. Furthermore, the implementation of robotics and automation in
current projects needs to be improved, which shows that changes are still far for this
implementation in Malaysia.
Moreover, there needs to be more courses and education regarding robotics and
automation for the construction industry in Malaysia. Most courses and education
for robotics and automation are highlighted in the technology and communication
industry. Additionally, the course and education for construction industries often
emphasize using traditional ways of handling construction projects, with only a few
subjects highlighting robotics and automation. Furthermore, Malaysia needs more
experts to teach robotics and automation to civil students who will be future industry
practitioners.
590 N. A. H. S. Amir et al.

4.2 Strategies in Building Trust to Implement Robotic

and Automation in Malaysia’s Construction Industry

The thematic analysis above discusses the strategies that need to be taken to build trust
in implementing the utilization of robotics and automation in Malaysia’s construction
industry. The data analysis of the interview survey is given in Table 3 (Fig. 3).

Raise Funding
Economy
Job Security

Incentive & Policy

Strategies in Building Trust to Implement Enforcement
Robotic and Automation in Malaysia's
Construction Industry Change of Existing Business
Model and Contracts

Campaign & Seminar

Training
Courses and Education

Fig. 3 Strategies in building trust to implement robotic and automation in Malaysia’s construction
industry

Table 3 Strategies in building trust to implement robotic and automation in Malaysia’s construc-
tion industry
No Theme Subtheme Respondent Total
1 2 3 4 5 6 7 8 9 10 11 12 13 14
√ √ √ √ √
1 Economy Raise 4
funding
√
Job 1
security
√ √ √ √ √
2 Enforcement Incentive 5
and policy
√
Change of 1
existing
model and
contracts
√ √ √ √ √ √ √ √ √ √
3 Enforcement Campaign 10
and
seminar
√ √ √ √ √
Courses 5
and
education
Trust in Robotics and Automation in the Construction Industry: The … 591

Table 4 Respondents’ statements on strategies in implementing robotics and automation

Attributes Respondents statements
Raise funding “Funds and grants from the government can help
expand interest in using robotics and automation.”
(R4)
Job security “Training for interested individuals can help create
new job opportunities.” (R14)
Incentive and policy “Introduction to new incentive and policies on
work implementation where 60/40 method were
used. Division of 60% manual work and 40%
automation is advised for contractors that wants to
start implementing automation.” (R8)
Change of existing business model and “A different approach to project procurement is
contracts needed. Rather than always bidding for work,
companies need to negotiate long-term contracts to
enable them to invest properly in automation.” (R9)
Campaign and seminar “By organizing roadshow, seminar, etc.” (R11)
Courses and education “Educate the new generation on the technology
and at the same time expose it to the available
industry players for them to adopt.” (R10)

This issue has three main themes: economy, enforcement, and training. The main
themes are concluded from a series of subthemes that are analyzed from respondents’
statements. The respondents’ statements following their attributes are as given in
Table 4.

4.2.1 Economy

A few countermeasures can be taken regarding the economy to boost the implemen-
tation of robotics and automation in the construction industry. The first step that
can be taken is to raise funding for the utilization of robotics and automation in the
construction industry. In this context, as the utilization of robotics and automation
needs high capital initial investments, the governments can take the initiative by
providing funds for contractors to invest in robotics and automation in their projects.
In addition, by applying robotics and automation in Malaysia, more job opportu-
nities can be opened, especially in the robotics and automation industries. The stigma
that more workers will lose their jobs by utilizing robotics and automation must be
challenged; in contrast, more job opportunities are available for job seekers in the
new and improved, progressive construction industry.
592 N. A. H. S. Amir et al.

4.2.2 Enforcement

Through this research, it has been found that most contractors feel that there are
fewer incentives and policies for the utilization of robotics and automation in the
construction industry in Malaysia. Thus, the Malaysian government should estab-
lish more incentives and policies for using robotics and automation to rise in the
construction industry. One of the countermeasures that can be taken is applying the
60/40 work policy, where the division of automation and manual work are separated
by 60% manual work and 40% automation.
Furthermore, the work culture of old business models and contracts must be
averted to ensure that the implementation of robotics and automation is successful.
One of the ways to avert this crisis is by lowering contract bidding and introducing
a new approach to project procurement to negotiate long-term contracts so that
contractors can invest appropriately in automation.

4.2.3 Training

As Malaysia still has low awareness of the implementation of robotics and automa-
tion in the construction industry, one of the ways to increase awareness is by
holding campaigns and seminars concerning the issues. More job opportunities can
be found through this seminar, and research and studies on this subject matter can
be emphasized to gain trust in robotics and automation in the construction industry.
Moreover, more courses and education regarding robotics and automation can
be invested in to train more experts on robotics and automation in the construction
industry. Additionally, education on this matter can be applied even to students in
school so that an increase in robotics and automation interest can be seen.

4.3 Study Implications

From this study, it can be seen that the implementation of robotics and automation in
Malaysia’s construction industry still has a long way to go. Through this study, other
researchers can further understand the level of trust in Malaysia’s industry practi-
tioners, where most of them are interested in applying robotics and automation in
the industry, but is rather afraid of taking risk with the high initial investments costs.
There are also several strategies that can be taken to further increase industry prac-
titioners’ trust towards implementing robotics and automation in Malaysia. Those
strategies include higher incentives and stern policies from the government to gain
the public interests towards robotics and automation.
Trust in Robotics and Automation in the Construction Industry: The … 593

4.4 Limitations and Future Directions

Despite the findings, a few things could be improved during this research. First, the
respondents for this research are only 14. A higher number of respondents can achieve
broader view on the subject matter. Next, this study only reviews respondents that
have already applied robotics and automation in their projects. For further studies, an
interview of industry practitioners that still have not applied robotics and automation
can be made to further understand the view of all industry practitioners from different
backgrounds. However, the theme’s applied data saturation and redundancy have
been reached. The aim and objectives of the study are satisfied.

5 Conclusion

In overall, all the aims of this study have been achieved. Based on the analyzed data,
several issues and strategies for creating trust in robotics and automation in construc-
tion projects have been identified. Through this study, Malaysia construction players
demanded more awareness to create trust in utilizing robotics and automation in the
construction industry. Based on the interview, most of the respondents believe that
there is a bright future for implementing robotic and robotics in the construction
industry in Malaysia, though much more countermeasure steps need to be taken to
build trust in contractors to invest in this new technology. Therefore, through this
study, the views of contractors in the subject matter between positive and negative
output are clearly explained. This research has many economic, enforcement, and
awareness ramifications. This study finds that though industry practitioners are eager
and interested in utilizing robotics and automation in the construction industry, most
are still afraid to risk applying robotics and automation due to fear of the high cost
and risk of investing in new technologies. Through this study, more awareness on
the subject matter can be achieved and act as a proof to the government to invest in
incentives and policies that push robotics and automation in Malaysia’s construction
industry as many contractors are interested in changing their old business models to
further progress towards the industrial revolution. Furthermore, the study’s emphasis
on knowledge, governmental incentives, and policy support as essential components
for trust-building can also be especially relevant in many worldwide contexts. Coun-
tries on the verge of embracing robots and automation in construction should use these
findings to develop their own strategies for successful implementation. International
stakeholders may foresee obstacles and establish proactive methods by recognizing
the universal features found in this research, therefore expediting the integration of
robots and automation into their building environments. In essence, this study has the
ability to transcend regional boundaries and serve as a guiding light for the world-
wide building industry. The lessons learned from Malaysia provide a framework
for tackling obstacles and capitalizing on possibilities in the field of trust-building
594 N. A. H. S. Amir et al.

while using robots and automation. By accepting the study’s tactics and recommen-
dations, other countries may pave a path to a future of construction that is not just
technologically sophisticated, but also founded on trust and successful innovation.

Acknowledgements Individuals and companies who provided help during the research could be
addressed here.

Author Contributions John Smith contributes to conceptualization, methodology, software, vali-

dation, analysis, investigation, data collection, draft preparation, manuscript editing, visualization,
supervision, project administration, and funding acquisition. David Jackson contributes to concep-
tualization, methodology, software, validation, analysis, investigation, data collection, draft prepara-
tion, manuscript editing, visualization, supervision, project administration, and funding acquisition.
All authors have read and agreed with the manuscript before its submission and publication.
Funding The authors would like to thank Universiti Malaysia Pahang Al-Sultan Abdullah for
supporting this study through financial grant RDU223420 and the industry practitioners that agreed
to participate in this work.

Ethics Statement Not applicable.

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Applicability of Building Information
Modelling (BIM) to Structural Design
Workflow

Steve Penney and Hossein Askarinejad

1 Introduction

Building information modelling (BIM) is a digital representation of the character-

istics of a building or infrastructure. It involves the creation and management of a
3D model of a project, integrating different aspects of the design and construction
process, including architectural, structural, and mechanical, electrical, and plumbing
(MEP) systems. Adoption of BIM by various stakeholders in a project can enhance the
project coordination and communication process. BIM goes beyond 3D modelling,
as it also includes information about various components of the building which can
be used for the complete lifecycle of a building, from design and construction to
operation and maintenance.
Structural engineering comprises a wide range of skills which can apply to
different project types from minor slope strengthening, to large-sized structures of
tall buildings [4]. Structural engineers are responsible for finding solutions for the
efficient use of structural elements and materials in order to make a building and
its systems safe, sustainable, and durable [19]. Structural engineers can leverage
building information modelling (BIM) in various ways. BIM offers significant bene-
fits including conceptual design, structural analysis, layout, and detailing. These
advantages encompass the reduction of errors in design and drafting, potentially
lowered direct costs associated with engineering design and drafting due to enhanced

S. Penney
Holmes, Christchurch, New Zealand
Ara Institute of Canterbury, Christchurch, New Zealand
S. Penney
e-mail: [email protected]
H. Askarinejad (B)
Lincoln University, Christchurch, New Zealand
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 597
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_38
598 S. Penney and H. Askarinejad

productivity, and the facilitation of more insightful situation analysis through simu-
lation. The BIM provides a holistic view and models can be frequently updated to
reflect any alterations in the design or general specifications, ensuring data accuracy
[2]. Normally, structural designs should be integrated with the outputs generated by
other disciplines such as architects and engineers of different building services [17].
However, the current uptake of BIM by structural engineers and adoption of
BIM as a workflow in the structural design context has been reasonably slow [8].
Additionally, it is unclear from existing literature whether structural engineers who
use BIM are fully working to the BIM philosophy of a single source of truth, or
whether they are working to their interpretation of BIM which could vary between
engineers. In general, BIM for structural engineering has remained an overlooked
area in the extant literature, compared against other applications of BIM [10].
The aim of this research was to attempt to quantify the use of BIM by civil/
structural engineers in New Zealand and discover the reasons for or against adopting
BIM. The research looked into identifying the factors for the relatively slow uptake
and what the real or perceived business risks are. For this purpose, an online survey
was developed and distributed to structural engineers across New Zealand and the
collected data were systematically analysed. The survey was structured to provide
data on geographic location, company size, and type of work, plus the details about
the participants’ knowledge and use of BIM. The findings are expected to contribute
to various organisations, in particular those involved in structural engineering that
are aiming to improve their digitisation through adoption of BIM.

2 Literature Review

There have been a number of studies on different aspects of building information

modelling (BIM) in general, such as those by Becerik-Gerber and Kensek [5] and
Eastman et al. [7]. Additionally, the barriers or challenges to BIM adoption has been
studied by a number of researchers such as [9, 11, 15]. For instance, Hall et al.
[9] studied the barriers to BIM implementation for small and medium-sized enter-
prises (SMEs) in the New Zealand construction industry. The authors evaluated the
importance of different criteria items including the knowledge, resources, govern-
mental and technological barriers. While above studies provide a good overview of
the BIM implementation, but the papers look holistically at the broad construction
sector rather than looking at a specialised field or industry such as civil engineering
or structural engineering.
Few researchers have focused on civil engineering in particular [6] and some
limited studies can be found promoting the benefit of BIM in structural engi-
neering [12, 13], however, as argued by Hoseini et al. [10] and Vilutiene et al.
21], research on the integration of BIM within civil or structural engineering is still
in its infancy. Considering the broad range of structural engineering tasks and its
significant potential for utilising BIM in various structural applications, there are
considerable research gaps to be addressed in this field.
Applicability of Building Information Modelling (BIM) to Structural … 599

Vilutiene et al. [21] presented a bibliometric analysis of BIM literature published

between 2003 and 2018 incl. The article is an in-depth analysis of published arti-
cles related to BIM. Out of the 369 published articles reviewed in this paper, it
was observed there was a lack of attention paid to structural engineering within
published BIM literature. The study found that < 20% of studies on BIM referred to
structural engineering applications. Even these studies have been mainly concerned
with generic issues of BIM like information management and significant unex-
plored capacity currently exists for solving complex technical issues in regard to
fully utilising BIM in specialised areas of structural engineering.
Hunt [12] reported that ~ 50% of structural engineers are actively using BIM,
however there is no data to indicate if BIM is being used for purely design docu-
mentation or if it is also being used for structural analysis purposes. Additionally,
in this paper, a simple structural analysis was carried out using Autodesk Revit and
Nemetschek Risa 3D to assess the applicability of BIM workflow. The BIM model
was created in Revit and needed to be exported to RISA for structural analysis. The
RISA file then needed to be re-merged with the original Revit model. It was shown,
the workflow relies on the import/export functions being carried out for all iterations
of the design and does not support the core BIM philosophy of using a common
platform.
Baran and Bartosz [3] described the process of modelling a building in Autodesk
Revit and carrying out the structural analysis on the same model using Autodesk
Robot. This was more a comparison between different methods of analysis than a
study of the BIM workflow itself. The study showed the successful interoperability
between the design authoring tool (Revit) and the structural analysis tool (Robot),
using a single platform. Sacks and Barak [18] reported that, using BIM, the process
to prepare a project to input it into structural analysis software is more efficient,
since all the data can be directly transferred from the building model. The design
results are stored in the building information model, becoming easily available for
the detailing process.
Kaner et al. [13] outlines four case studies conducted on two projects from two
mid-sized structural engineering consultants, one in Canada and one in Israel. The
study focused specifically on the use of BIM for structural precast applications. The
study found that both engineering consultancies experienced a difficult transition
period from a traditional 2D CAD workflow to a 3D BIM workflow. The transition
required absolute buy-in from top level management, professional training for tech-
nicians and an expectation that there would be a productivity decline as technicians
came up to speed with BIM. The subject consultancies found that while there was
no immediate change in hours spent, there was a marked reduction in drawing and
construction errors for precast elements.
600 S. Penney and H. Askarinejad

3 Method

As this research attempts to evaluate the use of BIM in the structural engineering
context, a suitable survey questionnaire was developed and the civil/structural engi-
neers working in the consulting companies in New Zealand, were invited to partic-
ipate in the survey. Of the 112 contacts made, there were a total of 55 responses
received which represented a 49% response rate.
The survey was constructed using Google Forms and was distributed online.
The questions presented to participants were dependent on previous answers to drill
down into the reasons for or against engineers using BIM workflows. The question-
naire comprised of three sections. The first section of the questionnaire was to do
with demographic background of the participants, including the participants’ region,
company size, and main draughting tools used. The second section aimed to evaluate
the level of BIM knowledge and awareness. This allowed the authors to analyse the
respondents’ level of exposure to BIM in their usual tasks. Additionally, this section
combined with the demographic data obtained in section one, allowed the authors to
analyse, and compare the BIM awareness of structural engineers in different regions
and work environments.
The third section aimed to identify the key drivers and barriers to the adoption of
BIM in the structural engineering context. In this section, the respondents were asked
to provide their agreement/disagreement with different items based on their experi-
ence, using the five-point rating scale from strongly agree (1) to strongly disagree
(5). This allowed the authors to analyse the respondents’ views on different barriers
in their work context. It also aimed to identify the respondents’ opinions on the
potential benefits of BIM and why they believe it is important to consider adopting
BIM workflow in future. This information is invaluable for the industry, in particular
the structural consulting sector, as it provides an insight on the structural engineers’
thoughts and perceptions about the current state, barriers and future potential of BIM
implementation in their specialised field and work environment.

4 Results and Discussion

The survey results were systematically analysed and compared. Figure 1 shows
the regional distribution of respondents and Fig. 2 presents an indication of the
size of respondents’ companies from different regions. Canterbury accounts for a
large portion of the responses (32%), followed by Wellington (13%), Otago (13%),
and Auckland (9%). This is likely due to the large number of structural engineers
operating in the Canterbury region due to the Christchurch rebuild following the
2011 earthquake sequence. It can also be observed that the majority of respondents
work in the companies with a number of staff ranging from 11 to 50.
All 55 respondents indicated that they were involved in structural engineering and
design works in different roles. 30 out of 55 participants (54%) indicated their job
Applicability of Building Information Modelling (BIM) to Structural … 601

Fig. 1 Survey respondents

by NZ region

Fig. 2 Respondents
company sizes (staff
numbers)

title as “Structural Engineer/Designer”, 13 participants (24%) had “Director/Manger/

team leader” role (in the structural engineering teams), and 12 participants (22%)
were in a “Structural Draughtsman/Technician” role. This shows that there was a
good range of participants involved in different capacities within the structural design
work stream from technician level to the team management level. Figure 3 provides
an insight into the current structural draughting tools used by those participated in
this study. As shown in this figure, the primary draughting tool is Autodesk Revit
with more than twice the usage level as AutoCAD. Autodesk Revit is one of the main
applications under BIM umbrella. This suggests the market is moving towards using
BIM tools and 3D modelling as the common workflow. AutoCAD is still a popular
tool used as a supplement to Revit.

4.1 BIM Knowledge and Awareness

As shown in Fig. 4, 57% of respondents reported they were aware of and were/are
using BIM. This is consistent with the percentage of participants using Autodesk
Revit in their workflow as discussed in previous section. The percentage is slightly
602 S. Penney and H. Askarinejad

Fig. 3 Main draughting

tools currently used in
structural works

Fig. 4 BIM awareness/use

by structural engineers/
designers

higher than the value showed by [12] where it was reported approximately 50% of
structural engineers were actively using BIM. Additionally, Fig. 4 shows 41% of the
respondents indicated that they were aware of BIM but not currently using that.
Figures 5 and 6 show the respondents’ awareness of BIM by both region and
company size. While almost all respondents are aware of BIM, there appears to be
a regional trend showing structural engineers or technicians in the main centres are
using BIM more than those in the regions. Company size does not appear to be much
of an influence in terms of BIM usage. However, it should be noted that the larger
companies generally have their offices in the main centres. Also, larger consultancies
normally have greater resources available in terms of IT and training budgets and are
more likely to have BIM specialists employed.
Figure 7 shows respondents’ understanding of BIM to be mostly “using 3D intelli-
gent, computable data for project collaboration” (44%) and “3D modelling analysis
and documentation for the building lifecycle” (34%). This shows the majority of
participants (78%) see BIM as a holistic platform used for modelling, documenta-
tion, and collaboration rather than a computer programme/dataset with merely visu-
alisation and internal applications. However, having only 34% of the participants
choosing the second definition which highlights the “building lifecycle”, shows a
relatively low appreciation of BIM as a platform for the entire building lifecycle.
Applicability of Building Information Modelling (BIM) to Structural … 603

Fig. 5 BIM awareness of

structural engineers by NZ
regions

Fig. 6 BIM awareness by

company size

This indicates a possible gap in the current training and education of BIM in the
engineering consulting sector.

4.2 Use of BIM for Structural Design Workflow

The results show that from those respondents who currently use a BIM workflow,
83% do not use the BIM models specifically for their “structural analysis and design”
workflow. Out of this 83%, about half have considered using BIM models for struc-
tural analysis but have chosen not to while the remaining half have not considered it.
The reasons given were summarised into six key reasons shown in Fig. 8. Approxi-
mately 2/3 of respondents cited interoperability and knowledge as the main reasons
for not using BIM models specifically for structural analysis. This is reasonably
consistent with the wider engineering/construction sector. The interoperability issue
was also highlighted in the study conducted by Hall et al. [9] as one of the major
604 S. Penney and H. Askarinejad

Fig. 7 Respondents’ understanding of BIM

barriers to BIM implementation for small and medium-sized enterprises (SMEs) in

New Zealand construction industry. Ayinla and Adamu [1] also raised the technology
and interoperability as a serious problem that requires significant attention to promote
BIM adoption. The wide variety of file formats and multiple project platforms in use
at one time demands a wide skillset to manage the different packages, along with an
increased software subscription cost [20].
In Fig. 8, along with “Interoperability” issue, “Knowledge” is observed as the
next major contributor. This can include the lack of knowledge around the benefits
of BIM, and how BIM can be leveraged to adapt to new and more efficient procedures.
This is in line with the previous studies on wider BIM implementation where lack
of BIM knowledge and expertise was found as one of the significant barriers [14].
Additionally, the results show from those respondents who currently use a BIM
workflow, about 55% restrict their use of BIM to certain projects. Figure 9 shows the
main reasons identified for this restriction. It can be observed that the reasons were
predominantly budget and client needs. The predominant responses suggested BIM

Fig. 8 Reasons for not using

BIM for structural analysis
Applicability of Building Information Modelling (BIM) to Structural … 605

Fig. 9 Reasons for

restricting BIM to selected
projects

projects cost more and clients are unwilling to pay for the additional cost of a BIM
project.
To further evaluate the key drivers and barriers for using BIM in structural engi-
neering context, the respondents were asked to provide their agreement/disagreement
with different items based on their experience, using the five-point rating scale from
strongly agree (1) to strongly disagree (5). Figure 10 shows the respondents’ opinions
on the key drivers and why they believe it is important to consider adopting BIM
workflow in future.
Figure 10 shows that there is a reasonable consensus about the importance of two
factors as the key reasons for future adoption of BIM including the “improvement
in visualisation”, plus the “improvement in coordination of design documents and
process”. It can be seen that 50% of the participants have indicated that they strongly
agree (1) that adopting BIM would improve visualisation. Additionally, 50% of the

Fig. 10 Reasons to consider adopting BIM workflow in future

606 S. Penney and H. Askarinejad

respondents either strongly agree (1) or agree (2) that adopting BIM would improve
the coordination of design documents and process. However, it is interesting to note
about 30% of the respondents have disagreed with that. Additionally, there seems
to be a good consensus on the possible effect of BIM adoption on speed of project
delivery where 80% of the participants have either disagreed (4) or strongly disagreed
(5) that adopting BIM would increase the speed of delivery.
Figure 11 provides the respondents’ views on current barriers for adoption of BIM
in the structural engineering context. It can be observed in this figure that 100% of
the participants who are not currently using BIM in their structural design workflow
have indicated they either strongly agree (1) or agree (2) that adopting BIM would
require changes in the workflow and procedures that they are not currently prepared
to do. This highlights that there are still a lot of works to be done in terms of staff
training, documentation, and overall procedural matters to increase the use of BIM by
structural engineers. Also, the results shows that 60% of the participants who are not
currently using BIM in their structural design have agreed (2) that there are too much
custom contents in their current workflow. This further highlights the interoperability
issue that was raised earlier. For instance, there are various custom structural analysis
software or design programmes currently used by the structural consultants and these
software packages and the associated contents may not be compatible with the BIM
platform.
The requirement by building consent authorities to receive 2D drawings to grant
consent is raised as another major barrier where 60% of the participants strongly
agree (1) that this requirement is a reason for not adopting BIM in their workflow.
This shows the importance of governmental and legal initiatives and policies in
regard to BIM requirements. The governmental procedures in particular, regarding

Fig. 11 Current barriers to adopting BIM workflow

Applicability of Building Information Modelling (BIM) to Structural … 607

the building consents process should be amended to facilitate and promote the use
of BIM. However, it should also be noted that such changes or mandates have to be
implemented carefully to avoid possible divide in the engineering and construction
market between early adopters of BIM and those that are relatively behind in adopting
BIM workflow.
While there is a reasonable consensus about a number of potential barriers to
BIM adoption in structural engineering context as discussed above, there seems
to be scattered views about some other possible factors. For instance, 40% of the
participants have indicated that they either strongly agree (1) or agree (2) that the
staff’s skills and cost of training are major barriers, but on the other hand, 40% have
disagreed with that. This scattered view can also be observed about the software
cost and if the cost is a major barrier. This shows that, overall software and training
costs are not necessarily a significant barrier for adopting BIM in many structural
consulting companies and that is likely to depend on the company size and resources.
This is consistent with the findings reported by Makowski et al. [16] on the BIM
use by construction companies which suggest that the financial aspect of the BIM
transformation is one of the least concerning issues. Having said that, it should also be
noted that large software companies such as Autodesk tend to design several products
for complex projects usually undertaken by large consultants and contractors, and
they generally dedicate more resources to satisfy the needs of larger clients compared
with small consulting or contractors.

5 Conclusions

The purpose of this research was to attempt to evaluate the overall awareness and
current BIM usage in the specific field of structural engineering and determine the
main barriers to adoption of BIM in the structural design workflow. A question-
naire survey was administered and the civil/structural engineers and technicians
working in the consulting companies in New Zealand were invited to participate
in the survey. In total, 55 responses were received. The questionnaire comprised
of three main sections, including the demographic information, BIM knowledge/
awareness section, and a section on possible benefits and barriers to BIM adoption
in the structural engineering context. The survey results were then systematically
analysed and compared. Below is a summary of the main findings:
• The results show that 57% of the participants currently use BIM in their work.
However, only 17% use BIM specifically for their “structural analysis and
design” workflow. This shows there is a significant challenge for adoption of
BIM as a single common platform for creating models throughout the structural
design workflow, from concept design, structural analysis, detailed design, and
draughting to final documentation.
608 S. Penney and H. Askarinejad

• While almost all respondents were aware of BIM, there appears to be a regional
trend showing structural engineers in the main centres are using BIM more than
those in the regions.
• The majority of the respondents cited interoperability and knowledge as the two
most significant reasons for not using BIM models for structural analysis and
design.
• The results showed that, the two main benefits or key reasons for future adoption of
BIM in the structural engineering context are viewed to include the “improvement
in visualisation”, and the “improvement in coordination of design documents and
process”. Additionally, the majority of respondents believe that adopting BIM
would not necessarily increase the speed of project delivery.
• The majority of the participants, who are not currently using BIM in their structural
design workflow, have indicated that adopting BIM would require changes in their
existing workflow and procedures that they are not currently prepared to do. This
highlights that there are still a lot of works to be done in terms of staff training,
documentation and overall procedural matters to increase the use of BIM by
structural engineers and technicians.
• Additionally, the majority of the participants have identified the custom contents
in their current workflow, plus the requirement by building consent authori-
ties to receive 2D drawings, as other most significant barriers to adoption of
BIM in the structural engineering context. This further highlights the importance
of interoperability issue, plus the significance of governmental initiatives and
policies.
This research provides valuable insight on the current status, awareness, and
barrier to adoption of BIM in the specific field of structural engineering. Further
research in this area is required to investigate detailed strategies to overcome the
raised issues. Future studies should look into addressing the gaps and resolving the
technical issues of implementing BIM in the structural design workflow.

Acknowledgements The authors thank Dr Serdar Durdyev for his help with survey questionnaire
design.

Author Contributions The research was carried out as a part of the first author’s final year capstone
student project. Steve Penney contributed to conceptualisation, methodology, software, validation,
analysis, investigation, data collection, and draft preparation. Hossein Askarinejad (project super-
visor) contributed to conceptualisation, methodology, analysis, manuscript editing, supervision, and
project administration. Both authors have read and agreed with the manuscript before its submission
and publication.
Funding This research received no specific financial support from any funding agency.

Ethics Statement The research project was approved by the Ara Department of Engineering and
Architectural Studies research ethics sub-committee.
Applicability of Building Information Modelling (BIM) to Structural … 609

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Effective Digital Leadership Among
Construction Industry Professionals:
Analysis of Core Competencies

Shakil Ahmed, Rahimi A. Rahman, Yong Siang Lee,

and Syafizal Shahruddin

1 Introduction

The construction industry, one of the largest employment sectors globally, has
been steadily growing at a rate of 1.3% per year, with 111.9 million individuals
directly and indirectly involved [12]. Despite its significant economic contribu-
tion, the industry lags behind in modernization, digitization, and adopting state-
of-the-art technology and processes. This heavy reliance on manual or semi-manual
systems poses numerous challenges. Traditionally resistant to change, the construc-
tion industry now faces critical issues such as safety hazards, quality deficien-
cies, project delays, budget overruns, and sustainability challenges. According to

S. Ahmed (B)
BIM Team, HawarIT Limited, Dhaka, Bangladesh
e-mail: [email protected]
Universiti Malaysia Pahang, Gambang, Malaysia
R. A. Rahman
Faculty of Civil Engineering Technology, Universiti Malaysia Pahang Al-Sultan Abdullah, 26300
Kuantan, Pahang, Malaysia
e-mail: [email protected]
General Educational Development, Daffodil International University, 1341 Dhaka, Bangladesh
Y. S. Lee
Faculty of Civil Engineering Technology, Universiti Malaysia Pahang Al-Sultan Abdullah, 26300
Kuantan, Gambang, Malaysia
e-mail: [email protected]
S. Shahruddin
Architecture Programme, School of Housing Building and Planning, Universiti Sains Malaysia,
11700 Gegulor, Pulau Pinang, Malaysia
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 611
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_39
612 S. Ahmed et al.

Megheirkouni and Mejheirkouni [37], the root concern lies in the traditional leader-
ship culture and its management approach. It is evident that the construction sector
must change its traditional method of leadership and adopt a new smart system to
overcome these long-standing issues. With the current wave of digital transformation
in almost all manufacturing sectors, it is crucial to embrace and implement a new
effective leadership system in the construction industry. While other manufacturing
industries have already benefited from digital transformation in leadership culture,
the construction industry has been slow to adopt these advancements [27]. By tran-
sitioning into a smart, effective, and digital system, the construction industry can
overcome its existing challenges, leading to increased production rates, improved
quality standards, enhanced safety measures, greater sustainability practices, and
better control over budgets and schedules [64]. As a result, the construction industry
is actively discussing and seeking reliable leadership systems to usher in a new era of
digitally equipped construction, effectively addressing current limitations and setting
the stage for future success.
To address the concerns in the construction industry, a new concept of lead-
ership has emerged called “Digital Leadership.” This term recognizes the need
for a system that overcomes the limitations of traditional project management and
provides desired outcomes [42]. Digital leadership offers several notable features,
such as seamless real-time data delivery, enabling digital leaders to make quick and
informed decisions [11]. Additionally, it improves communication, collaboration,
and information sharing among project stakeholders, which are crucial factors for
project success [44]. The implementation of a digital leadership culture can signif-
icantly enhance project management in terms of safety, quality, schedule, budget,
and sustainability [50]. Consequently, the construction industry will enter a new era
in the digital world. However, the challenge lies in effectively adopting and imple-
menting the digital leadership system, ensuring it runs smoothly. The responsibility
for understanding, adopting, implementing, providing training to team members,
and supervising the system lies with the digital leader. The digital leader plays a
crucial role and can solely determine the success or failure of digital leadership in
any construction project. Thus, a skilled digital leader is essential for proper adop-
tion and implementation of this concept, and to yield the best results. The question
then arises: what attributes make a leader a good digital leader? Researchers and
industry experts have identified specific skills and competencies that differentiate an
ordinary leader from an effective digital leader. However, these competencies are not
cumulative or structural in nature. Therefore, it is vital to explore and analyze the
competencies of a digital leader for effective digital leadership.
Thus, this study aims to investigate and analyze the competencies of a digital
leader for effective digital leadership. The research involved conducting interviews
with professionals in the construction industry, and the collected data was analyzed
using thematic analysis. The findings of this study will provide valuable insights
for policymakers, researchers, and industry practitioners, helping them understand
the concept of digital leadership and identify the key competencies necessary for
becoming an effective digital leader in the construction industry.
Effective Digital Leadership Among Construction Industry … 613

2 Background

2.1 Digital Leadership Concept

Digital leadership in the construction industry refers to the application of digital

technologies and strategies to effectively lead and manage construction projects. It
involves leveraging digital tools, data, and processes to enhance communication,
collaboration, decision-making, and overall project performance [16]. Digital lead-
ership is a term used in various contexts, and its definition can vary depending on the
field. In the context of construction, it focuses on utilizing technology and digital plat-
forms such as BIM, cloud-based project management systems, IoT devices, drones,
virtual reality, and augmented reality to streamline workflows, improve efficiency,
increase productivity, enhance safety measures, and optimize resource allocation
[40].
Digital leaders in construction must possess the necessary skills and competencies
to navigate and leverage these digital technologies effectively. They play a crucial
role in driving digital transformation within their organizations By embracing digital
leadership, the construction industry can overcome traditional challenges, improve
project outcomes, and remain competitive in an increasingly digitalized world [36].
The concept of digital leadership does not have a single, standardized definition, but
it encompasses the ability to create a clear and meaningful vision for digitalization
and execute strategies to achieve it.

2.2 Digital Leadership in Construction

The introduction of digital leadership in the construction sector is a recent develop-

ment, representing a relatively new concept in the field of construction. Researchers
are currently exploring the features and opportunities of digital leadership in
construction projects. Zupancic et al. [66] investigated the competencies of digital
leaders in the architecture sector, identifying six key areas: technological ecologies,
creativity, knowledge processes, and experimentation; design and research; human
resources and leadership; collaborative and explorative environments; and the impact
of digital leadership. Hossain and Nadeem [24] highlighted the importance of digital
leaders collaborating with universities and research organizations to accelerate digital
innovation and improve the outcomes of adopted digital technologies. Morgan and
Papadonikolaki [40] provided an overview of digital leadership in the construction
sector, exploring the soft skills required in this context and discussing the application
of this concept within firms, supply chains, and projects.
Zulu and Khosrowshahi [63] analyzed the taxonomy of digital leadership types,
identifying six themes: proactive and forward-thinking; supportive; uncoordinated;
cautious; resistant and visionless; and undriven leaders. These themes shed light on
how leaders influence digital transformation paths within organizations. In a separate
614 S. Ahmed et al.

study, Zulu et al. [65] shed light on the barriers to enacting digital leadership in the
construction industry, grouping their findings into five themes: leadership charac-
teristics, management and organizational issues, resource constraints, technological
issues, and risk perceptions.
Johari and Hendra [25] discussed the dimensions of digital leadership capabilities
within their organization, identifying four specific dimensions: (a) competency of
digital leaders, (b) capacity of digital leaders, (c) organizational structure, and (d)
organizational strategy. They claimed that these findings provide valuable insights
for improving overall digitalization among leaders and organizations. Soehaditama
et al. [51] explored the impact of digital leadership on digital transformation in the
construction sector, while Ekechukwu and Lammers [19] discussed the shift from
project management to project leadership in the context of digital transformation in
the construction industry. Lastly, Guzman et al. [22] analyzed the skills required for
digital leadership within the context of Industry 4.0.

2.3 Study Positioning

Digital leadership, as a relatively new concept in the construction sector, has not been
extensively explored in research. There is a shortage of literature available on different
themes related to digital leadership specifically in the context of the construction
sector. Only a few publications can be found on the Internet. For instance, Guzman
et al. [22] discuss the characteristics of digital leadership, while Zulu and Khos-
rowshahi [63] and Zulu et al. [65] focus on the taxonomy and barriers of adopting
digital leadership. Hossain and Nadeem [24] emphasize the benefits of collabora-
tion in digital leadership, and Morgan and Papadonikolaki [40] provide an overview
of digital leadership in the construction sector. Other studies generally analyze the
existing literature or focus on more general aspects. However, there is a significant
gap in research that specifically addresses the competencies of digital leadership
among construction professionals. This study aims to fill this gap by analyzing the
core competencies of digital leadership in a systematic and structured manner. It will
contribute significantly to the existing knowledge base by addressing this important
question.

3 Methodology

This study adopted a qualitative research method to assess the competencies of

effective digital leadership among construction professionals and analyze qualita-
tive data. There are several ways to collect qualitative data from participants, and in
this research, the authors chose to use open-ended interviews. The authors selected
Effective Digital Leadership Among Construction Industry … 615

this method for the following reasons: (i) it allows for in-depth exploration of experi-
ences, context, opinions, and perspectives of individuals or groups; (ii) direct engage-
ment with participants promotes open communication, trust, and honest sharing of
personal perspectives, facilitating comprehensive understanding through follow-up
questions and clarification; (iii) it allows for unexpected insights and new directions
to emerge during the data collection process; and (iv) tailored interview questions
enable in-depth investigation of specific areas of interest, enhancing the researcher’s
understanding of the topic [14, 23, 47, 54].
Figure 1 provides an overview of the research methodology used in this study. It
starts with creating the interview questions and ends with analyzing the interview
data. Before conducting the interviews with construction professionals, the authors
invited participants who met predefined specific criteria. The collected data was then
analyzed using thematic analysis to gain insights and understand the findings.

Fig. 1 Research methodology

616 S. Ahmed et al.

3.1 Data Collection

3.1.1 Semi-Structured Interview Protocol

The qualitative data for this study was collected through an open-ended semi-
structured interview with construction professionals. To design this interview
process, an interview protocol was developed. The protocol consisted of a main
question, with the interviewer having the option to ask follow-up questions based on
the situation, experiences, and initial responses of the participants. The main ques-
tion asked to the participants was, “What do you consider to be the key competencies
required for effective digital leadership in the construction industry?” This question
aimed to gather information about the key competencies of effective digital leader-
ship in the construction sector from individuals familiar with the concept of relevant
smart construction. The interviews were conducted using various mediums such as
in-person meetings, video and audio calls on platforms like WhatsApp, Skype, or
Zoom, and telephone calls, depending on the preferences of the participants. All
the information exchanged during the interviews was recorded through note-taking.
These notes will later be summarized and shared with the participants for validation
purposes.

3.1.2 Selection of Study Participants

For the qualitative data collection, interviews with construction professionals form
the foundation of this research. Therefore, selecting the participants for these
interviews is a crucial factor. The authors of this study employed a conscious
screening process to identify potential participants. The screening criteria included
the following: (i) working in a construction company, (ii) holding a valid profes-
sional license/position, (iii) possessing a minimum of 2 years of experience, and
(iv) being familiar with concepts such as smart construction, digital twin, BIM, and
AI in construction. After screening and selecting potential participants, the authors
sent ~ 33 invitations to participate in the interviews. Ultimately, the final number of
participants reached 20, marking the completion of the interview phase of this study.
Dworkin [15] has affirmed that this number is sufficient for conducting qualitative
research. The participants were drawn from various construction organizations and
represented different professional levels and designations.

3.1.3 Respondent Profile

The demographic information of the respondents is presented in Table 1. Among

the respondents, 65% are male and 35% are female. It is worth noting that the
representation of females in the construction industry is relatively low, accounting
for only 10.9% based on the NAWIC [41] report. However, there has been a recent
Effective Digital Leadership Among Construction Industry … 617

Table 1 Demographics
Demographic characteristics Frequency Percentage (%)
information of respondents
Gender
Male 13 65
Female 7 35
Designation
BIM modeler 2 10
Architect 2 10
Engineer 8 40
BIM coordinator 2 10
Project coordinator 1 5
Academic faculty 2 10
BIM-GIS operator 1 5
Project manager 2 10
Academic qualification
Diploma degree 3 15
Bachelor’s degree 7 35
Post graduate 10 50
Work experience (years)
2–4 years 4 20
4–6 years 5 25
6–8 years 5 25
8–10 years 3 15
More than 10 years 3 15

increase, particularly in IT and managerial positions within the construction sector.

The participant proportion in this research aligns with this trend. In Table 1, it can be
observed that 50% of the respondents hold either a master’s or PhD degree in their
respective field of work, while 35% have a bachelor’s degree, and the remaining 15%
have a diploma degree. Additionally, the table indicates that 20% of the respondents
have 2–4 years of working experience, while 50% have 4–8 years. The remaining
30% have more than 8 years of experience in the construction sector.

3.2 Data Analysis

The collected qualitative data have been analyzed using the thematic analysis
approach in this research to investigate the key competencies required in digital
leadership for the effective implementation of digital strategies in the construction
sector. Among various qualitative research methods, the authors chose thematic anal-
ysis due to its flexibility in aligning with the research objectives, providing rich and
618 S. Ahmed et al.

detailed data [9]. Additionally, it offers comparable accessibility without requiring

extensive theoretical or technological knowledge compared with other qualitative
approaches [30]. Thematic analysis allows for clear and organized reporting by effec-
tively summarizing key features of large datasets through a structured approach to
data handling [10]. Several studies [6, 20, 35, 61] have also adopted this approach
for analyzing qualitative data collected through interviews.
The collected data in this study underwent a six-phase thematic analysis process,
following the approach introduced and developed by Braun and Clarke [9]. An
overview of the six-phase process is provided below.
1. Familiarizing with the data: The authors immersed themselves in the data, tran-
scribed it into a written summary, and read it repeatedly to become familiar with
its content.
2. Generating initial codes: The authors identified and labeled initial codes or
patterns within the data that were relevant to the research question.
3. Searching for themes: The authors explored and grouped codes into potential
subthemes and themes based on similarities and patterns observed in the initial
codes and summary.
4. Reviewing themes: The authors reviewed and refined the identified subthemes
and themes, ensuring they accurately represented the initial codes and reflected
the research objectives.
5. Defining the themes: The authors developed clear and meaningful descriptions for
each subtheme and theme, capturing their essence and relevance to the research
question.
6. Reporting the final themes: The authors integrated the identified themes into a
coherent and comprehensive narrative, presenting the findings (final themes) of
the thematic analysis.
The adopted thematic analysis in this study involves six phases. Firstly, the inter-
view data from 20 respondents was transcribed multiple times to gain initial insights.
Secondly, each sentence of the transcript was analyzed to generate initial codes.
These codes were then reviewed to identify potential subthemes. In the third phase,
subthemes were identified based on the initial codes. The next step involved reviewing
the themes and grouping the subthemes from the previous phase to create overar-
ching themes. The authors ensured that the initial codes and raw data aligned with
the research objectives. In the fifth phase, the themes were defined and named. The
authors considered the context of the construction sector and the competencies of
digital leadership to generalize the naming of the new themes. Lastly, in the sixth
phase, the developed and categorized themes were reported, providing explanations
based on the issues and feedback provided by the respondents.
Effective Digital Leadership Among Construction Industry … 619

4 Result

The study focuses on exploring and investigating the competencies of effective digital
leadership in the construction sector. Twenty construction professionals from diverse
backgrounds were interviewed to gather their feedback. After a six-phase thematic
analysis of the qualitative data, the study presents the final findings in the form of
initial codes, subthemes, and themes. The two main themes are hard and soft skills.
Competencies of digital leaders are categorized into two main themes and these are
hard and soft skills. Previous studies [5, 34, 55] also followed the same approach to
categorize the individual skill and competency to group them with the wider themes.
Figure 2 and Table 2 summarize the final findings of the thematic analysis,
which identified five subthemes (technical skill, attitude and mindset, leadership
skill, knowledge and expertise, and interpersonal skill) and two main themes (hard
skill and soft skill) based on the content of the initial codes derived from the interview
summary.

4.1 Hard Skills

Hard skills play a vital role in digital leadership within the construction industry.
These skills are indispensable for implementing and practicing digital leadership
concepts, requiring a deep understanding and proficiency in various technical areas
to navigate the complexities of the digital world effectively. The study identified two
subthemes, namely technical skill and knowledge and expertise, which encompass

Fig. 2 Overview of the themes and subthemes of the digital leadership competencies
Table 2 Competencies of effective digital leadership in the construction projects
620

Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee
02 03 04 06 08 09 10 11 13 14 16
Hard skills
Technical ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔
skills
Knowledge ✔ ✔ ✔ ✔ ✔
and expertise
Soft skills
Attitude and ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔
mindset
Leadership ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔
skills
Interpersonal ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔
skills
Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Response
18 20 22 23 24 27 29 30 31 rate (%)
Hard skills
Technical ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ 100
skills
Knowledge ✔ ✔ ✔ ✔ 45
and expertise
Soft skills
Attitude and ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ 100
mindset
(continued)
S. Ahmed et al.
Table 2 (continued)
Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Response
18 20 22 23 24 27 29 30 31 rate (%)
Leadership ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ 100
skills
Interpersonal ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ 95
skills
Effective Digital Leadership Among Construction Industry …
621
622 S. Ahmed et al.

competencies such as BIM expertise, programming skills, construction process expe-

rience, technical tool proficiency, formal education, relevant training, cybersecurity
expertise, and more, as revealed through thematic analysis of respondent feedback.
Table 3 shows the status of theme “Hard Skills” and competencies within it.

4.1.1 Technical Skills

Technical skills encompass specific competencies and expertise gained through

education, training, or practical experience within a particular industry. Table 2 under-
scores the unanimous agreement among respondents, with 100% concurring on the
essentiality of these skills for digital leadership. This study, through interviews, iden-
tifies five critical technical skills vital for effective digital leadership in the construc-
tion domain: programming skills, proficiency in contemporary digital tools and tech-
nologies (technical/digital literacy), mastery of BIM-related software, knowledge of
cybersecurity measures, and appropriate education and training. In Table 3, the core
competencies for digital leadership are assessed, with BIM proficiency (90%) and
digital/technical literacy (75%) emerging as highly significant, while cybersecurity
skills (50%) and relevant education and training (60%) are deemed moderately impor-
tant. Programming skills (45%) are considered somewhat less critical. The responses
based on the summary of the interviews are as following:
I strongly believe that BIM technology is an integral part of digital construction, and profi-
ciency in BIM is essential for professionals involved in any digital processes within the
construction industry. (Interviewee No. 27)

In my view, programming languages is essential for leveraging tools and achieving project
success in digital leadership culture. (Interviewee No. 14)

As data serves as the backbone of digital construction, cyber-security skills are also important
to ensure the security and protection of data in the digital system. (Interviewee No. 20)

Technical literacy is essential, including a solid understanding of technology like software,

hardware, and networking. (Interviewee No. 23)

Formal education and training are essential for digital leaders, providing them with the neces-
sary knowledge, skills, and foundation to navigate technology landscapes, drive innovation,
and lead successful digital transformation initiatives. (Interviewee No. 18)

4.1.2 Knowledge and Expertise

The study emphasizes the significance of knowledge and expertise in digital leader-
ship within the construction sector. Table 2 indicates that 45% of respondents agree
on their importance. Within this theme, two specific competencies emerged: under-
standing the technical construction process (rated at 40% importance in Table 3) and
expertise in industry standards and regulations (rated at 20% importance). The higher
importance assigned to understanding construction processes highlights the need for
practical project management knowledge, while the 20% rating for standards and
Table 3 Hard skills of effective digital leadership in the construction projects
Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee
02 03 04 06 08 09 10 11 13 14 16
Technical skills
BIM ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔
proficiency
Programing ✔ ✔ ✔ ✔ ✔ ✔
skills
Cybersecurity ✔ ✔ ✔ ✔ ✔
skills
Digital/ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔
technical
literacy
Relevant ✔ ✔ ✔ ✔ ✔ ✔
education and
training
Knowledge and expertise
Understanding ✔ ✔ ✔ ✔
of
Effective Digital Leadership Among Construction Industry …

construction
process
Expertise in ✔
standard and
regulations
Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Response
18 20 22 23 24 27 29 30 31 rate (%)
Technical skills
(continued)
623
Table 3 (continued)
624

Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Response
18 20 22 23 24 27 29 30 31 rate (%)
BIM ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ 90
proficiency
Programing ✔ ✔ ✔ 45
skills
Cybersecurity ✔ ✔ ✔ ✔ ✔ 50
skills
Digital/ ✔ ✔ ✔ ✔ ✔ ✔ 75
technical
literacy
Relevant ✔ ✔ ✔ ✔ ✔ ✔ 60
education and
training
Knowledge and expertise
Understanding ✔ ✔ ✔ ✔ 40
of construction
process
Expertise in ✔ ✔ ✔ 20
standard and
regulations
S. Ahmed et al.
Effective Digital Leadership Among Construction Industry … 625

regulations underscores the importance of compliance in this regulated industry. The

responses from the interviews can be summarized as follows:
Leaders in construction need a detailed understanding of the construction process to predict
and address challenges, as well as maximize opportunities. (Interviewee No. 18)

In addition to having a deep understanding of the construction process, a digital leader should
also possess knowledge about industry standards and compliance to help them adopt digital
culture easily and enhance the benefits. (Interviewee No. 06)

4.2 Soft Skills

Soft skills are essential for implementing digital leadership in the construction
industry. Table 4 in the study identifies three subthemes within the “Soft Skills”
category: leadership skills, attitude and mindset, and interpersonal skills. These
subthemes encompass 10 key competencies of digital leadership, including creativity,
communication, risk management, adaptability, digital vision, teamwork, and quick
decision-making. These competencies form the foundation for fostering digital lead-
ership in construction, vital for successful digital transformation in the sector. Table 4
presents the status of the “Soft Skills” theme and its competencies.

4.2.1 Leadership Skills

Leadership skills, including effective leadership, risk management, and decision-

making abilities are pivotal in digital leadership. Table 2 shows that 100% of study
respondents acknowledge the importance of these skills for effective digital lead-
ership. Table 4 illustrates leadership-related competencies, with 85% emphasizing
effective leadership skills, 60% considering decision-making skills important, and
50% rating risk management skills as moderately important. Effective. The responses
from the interviews can be summarized as follows:
Effective leadership skills are vital for managing teams and mitigating project risks. Leaders
should inspire and motivate team members, provide clear guidance, and make informed
decisions to ensure project success. (Interviewee No. 31)

Effective risk management is essential in digital construction, considering the potential risks
involved, such as data breaches. (Interviewee No. 23)

Digital leaders must manage risks associated with the adoption of new technologies and
processes and have to be strategic. (Interviewee No. 06)

The ability to make quick decisions based on data is an important skill for digital leaders
in the construction industry. This involves collecting and analyzing data to inform strategic
decision-making and drive project success. (Interviewee No. 08)
Table 4 Soft skills of effective digital leadership in the construction projects
626

Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee
02 03 04 06 08 09 10 11 13 14 16
Leadership skills
Effective ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔
leadership skills
Risk ✔ ✔ ✔ ✔ ✔ ✔
management
skills
Decision-making ✔ ✔ ✔ ✔ ✔ ✔
skills
Attitude and mindset
Creative and ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔
innovative
Adaptive and ✔ ✔ ✔ ✔ ✔ ✔
flexible to new/
change
Strategic ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔
mindset
Continuous ✔ ✔ ✔ ✔ ✔ ✔
learning
Digital vision ✔ ✔ ✔ ✔ ✔
Interpersonal skills
Communication ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔
skills
Team ✔ ✔ ✔ ✔ ✔ ✔
collaboration
(continued)
S. Ahmed et al.
Table 4 (continued)
Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Response
18 20 22 23 24 27 29 30 31 rate (%)
Leadership skills
Effective ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ 85
leadership skills
Risk management ✔ ✔ ✔ ✔ 50
skills
Decision-making ✔ ✔ ✔ ✔ ✔ ✔ 60
skills
Attitude and mindset
Creative and ✔ ✔ ✔ ✔ ✔ ✔ 70
innovative
Adaptive and ✔ ✔ ✔ ✔ ✔ ✔ 60
flexible to new/
change
Strategic mindset ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ 90
Continuous ✔ ✔ ✔ ✔ 50
Effective Digital Leadership Among Construction Industry …

learning
Digital vision ✔ ✔ ✔ ✔ ✔ 50
Interpersonal skills
(continued)
627
Table 4 (continued)
628

Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Interviewee Response
18 20 22 23 24 27 29 30 31 rate (%)
Communication ✔ ✔ ✔ ✔ ✔ ✔ ✔ ✔ 90
skills
Team ✔ ✔ ✔ ✔ ✔ ✔ ✔ 65
collaboration
S. Ahmed et al.
Effective Digital Leadership Among Construction Industry … 629

4.2.2 Attitude and Mindset

Attitude and mindset play a vital role as competencies in digital leadership. Under
the “attitude and mindset” subtheme, the thematic analysis of interview data revealed
five key competencies: creative and innovative, adaptive and flexible to new/change,
strategic mindset, continuous learning, and digital vision. Table 2 demonstrates the
significance of this subtheme, with all respondents (100%) acknowledging its indis-
pensability. Table 4 reflects the perceived importance of various skills for digital
leadership. Notably, a strategic mindset stands out as crucial (90%), closely followed
by creativity and innovation (70%). Adaptability is important to 60% of respondents.
Continuous learning and having a digital vision are seen as moderately important
(50%). In summary, strategic thinking and creative skills are highly valued in digital
leadership. The responses from the interviews can be summarized as follows:
An innovative and creative mindset is essential for digital leaders to effectively solve complex
problems that arise during digital practices. (Interviewee No. 02)

As new technologies emerge within a few days, flexibility towards new cultures or any
changes in ongoing processes becomes crucial. (Interviewee No. 03)

Professionals in construction must have a strategic mindset to develop and implement digital
strategies aligned with organizational goals. (Interviewee No. 27)

Professionals in construction must have a strategic mindset to develop and implement digital
strategies aligned with organizational goals. (Interviewee No. 27)

A digital leader should have digital vision which enable to see and understand the impact of
technology on various aspects of business in the construction industry. (Interviewee No. 06)

4.2.3 Interpersonal Skills

Interpersonal skills are pivotal in digital leadership, encompassing competencies like

communication and team collaboration. Table 2 presents a noteworthy finding from
the study, with a remarkable 95% of respondents recognizing the necessity of these
skills in the construction sector. Additionally, Table 4 reveals that a significant 90%
of respondents emphasize the vital importance of communication skills for digital
leaders, while team collaboration is considered significant by 65% of respondents.
The responses from the interviews can be summarized as follows:
Great digital leaders should have good communication skills to match their strategic thinking,
giving clear messages to stakeholders and team members. Without that skill, their initiatives
might never come to fruition. (Interviewee No. 29)

Team collaboration enables seamless integration and maximizes the benefits of digital
solutions. (Interviewee No. 15)
630 S. Ahmed et al.

5 Discussion

5.1 Hard Competencies

Technical skills are essential for leaders who manage technical teams and aim to
achieve the best outcomes. In this study, respondents mentioned several technical
skills that have a crucial impact on becoming an effective digital leader. As digital
construction is considered the future of the construction industry, and building infor-
mation modeling (BIM) is the foundation of any digital construction initiative, profi-
ciency in BIM plays a pivotal role. Olugboyega [43] highlighted that expertise in BIM
is essential in digital leadership and should be a prerequisite for BIM-based projects.
Another study by Morgan and Papadonikolaki [40] listed BIM proficiency as a
fundamental competency for digital leaders in construction projects. Another impor-
tant technical competency is programming skills, which are highly effective in the
digital and automated processes of construction projects. Temelkova [52] stated that
programming skills play a crucial role in automating tasks, streamlining processes,
and enhancing overall efficiency. Furthermore, Weiner et al. [58] concluded their
study by noting that with the ability to analyze and visualize large volumes of project
data, digital leaders equipped with programming skills can make informed decisions
and optimize resource allocation. Additionally, these skills enable the seamless inte-
gration of technologies like building information modeling (BIM) and the Internet of
Things (IoT), fostering collaboration among stakeholders. Finally, Luecha et al. [33]
emphasized that leaders proficient in programming can develop innovative solutions
and customize software applications to address unique construction challenges.
In the realm of digital leadership, where workflows and data are managed within
digital systems, having proper skills in cybersecurity is crucial, and this study also
identifies it as a key competency for digital leaders. Triplett [53] expressed concern
that without a strong emphasis on cybersecurity, the advantages of this leader-
ship approach can quickly transform into concerning vulnerabilities for construc-
tion projects. Additionally, Lehto and Limnell [32] highlighted that digital leaders
with cybersecurity skills play a pivotal role in safeguarding sensitive data, miti-
gating cyber risks, and protecting critical infrastructure. By implementing robust
security measures, adhering to regulations, and effectively managing third-party
risks, these leaders ensure the confidentiality, integrity, and availability of information
while promoting seamless project operations. Digital/technical literacy is another key
competency that enables digital leaders to be effective and efficient, as determined
in this study. Zeike et al. [62] mentioned that by leveraging digital literacy, leaders
can drive innovation, enhance decision-making processes, and effectively lead their
teams toward digital transformation in construction. Relevant education and training
are also crucial technical competencies for digital leaders, and other studies have also
emphasized their importance in improving the efficiency of a leader’s capability.
Benitez et al. [7] demonstrated how relevant training influences a digital leader’s
ability to become more effective and encourages professionals to embrace the digital
leadership concept. Chatterjee et al. [13] highlighted the impact of digital training
Effective Digital Leadership Among Construction Industry … 631

and education for professionals involved in traditional construction methods to create

awareness and initiate the practice of digital leadership. Moreover, several research
studies [17, 39] concurred that relevant education and training are essential in the
transformation process of digital construction.
The study identifies two competencies that are closely related to the knowledge
and expertise of a digital leader. The first is a solid understanding of the technical
processes in construction, which is considered crucial for becoming a successful
digital leader. Gfrerer et al. [21] share this perspective, noting that digital leaders
require this knowledge to make informed decisions about technology adoption and
implementation, ensuring alignment with industry standards and seamless integra-
tion into existing workflows. Furthermore, Promsri [46] emphasizes that under-
standing the technical processes enables effective communication with both technical
and non-technical stakeholders, facilitates risk management, and drives continuous
improvement in construction processes. With this understanding, digital leaders can
successfully navigate the complexities of digital transformation and lead their orga-
nizations toward enhanced efficiency, productivity, and success in the construction
sector [17, 52]. The second competency related to knowledge and expertise is exper-
tise in industry standards and regulations. This competency plays a crucial role in
ensuring compliance, enhancing safety, improving quality, and instilling stakeholder
confidence. Other studies [3, 11] support this view, highlighting that a deep under-
standing of industry standards and regulations empowers digital leaders to success-
fully navigate regulatory challenges, drive efficiency, and effectively manage risks
throughout the construction industry’s digital transformation. Sağbaş and Erdoğan
[49] also stress the importance of organizations recognizing and prioritizing this
competency to maximize the benefits of digital leadership in construction.

5.2 Soft Competencies

This study identifies three core leadership competencies that are significantly impor-
tant for the digital leadership concept. The first and foremost competency is effec-
tive leadership skills, which are crucial for a digital leader. Promsri [46] and Zeike
et al. [62] both emphasize the importance of this skill set, which encompasses
various aspects such as inspiring and motivating teams, setting strategic direction,
making informed decisions, and fostering a culture of innovation and collaboration.
According to Alanazi [3], effective leadership skills enable digital leaders to guide
their organizations through the digital transformation journey and achieve sustain-
able growth and success. Another key leadership-related competency is risk manage-
ment. Several studies [26, 38, 62] concur with the findings of this study, highlighting
the importance of effective digital leaders possessing the ability to identify, assess,
and mitigate risks associated with digital initiatives. Bowen [8] suggests that this
competency enables proactive decision-making, data analysis, and the implemen-
tation of risk mitigation strategies. Robust risk management skills are essential for
632 S. Ahmed et al.

successfully navigating the complexities of digital transformation in the construc-

tion industry. The last leadership-related competency is data-driven decision-making,
which is a fundamental requirement for leaders in any sector. According to Oberer and
Erkollar [42], in the fast-paced digital landscape, digital leaders must possess strong
data-driven decision-making skills to guide successful initiatives, manage risks, and
achieve strategic goals. Sağbaş and Erdoğan [49] also highlight the vital nature of
this competency, emphasizing that analyzing data, deriving insights, and making
informed decisions based on evidence are essential in the face of rapid changes and
the increasing reliance on data-driven insights. Strong data-driven decision-making
skills are critical for driving transformation and innovation in the digital construction
field.
In this study, five core competencies have been identified as crucial skills for digital
leaders in the construction industry. These competencies are categorized under the
subgroup of attitude and mindset. Among these, creativity and innovation stand out
as a significant competency for embracing the concept of digital leadership. Wasono
and Furinto [57] also found this competency to be fundamental for leaders involved in
digital practices. According to Kiyak and Bozkurt [31], these skills empower leaders
to think creatively, find innovative solutions, and effectively leverage emerging tech-
nologies. Additionally, [4] believe that embracing creativity and innovation fosters
growth, addresses challenges, and maximizes the benefits of digital leadership in
construction. Finally, Bresciani et al. [11] emphasized that recognizing and priori-
tizing these competencies are crucial for driving successful digital transformation in
the industry. Another key competency is a strategic mindset, and other studies like
[11, 32], and Oberer and Erkollar [42] concur that this skill plays a crucial role in
the digital leadership concept. According to Sagbas and Erdogan [49], a strategic
mindset enables leaders to think ahead, plan strategically, and make informed deci-
sions that align with digital transformation goals. Benitez et al. [7] suggested that
organizations should prioritize the development of this competency to maximize the
benefits of digital leadership in the construction industry. Continuous learning is also
a crucial competency in digital leadership, as determined in this study, due to the
rapidly evolving nature of technology and industry trends. AlAjmi [2] recognized this
competency as a significant one among the soft skills of a digital leader and believed
that it enables leaders to stay updated, adapt to changes, and drive innovation within
the construction sector. Many studies [1, 62] emphasized the need to emphasize
and promote the value of continuous learning in the construction industry’s digital
leadership landscape.
Within the five competencies of the attitude and mindset subgroup, digital vision
is fundamental. Without this skill, a digital leader cannot become effective and
successful in the construction sector. Promsri [46] stated that having a digital vision is
a vital competency for digital leaders, as it allows them to envision and communicate
a clear direction for digital transformation initiatives. Ehmig-Klassen and Schallmo
[18] believe that a strong digital vision serves as a strategic roadmap, guiding leaders
in leveraging technology and driving successful digital initiatives within the construc-
tion sector. According to the findings of Yucebalkan et al. [60], it emphasizes the need
for digital leaders to prioritize and develop this competency, as it directly impacts
Effective Digital Leadership Among Construction Industry … 633

the outcome of impactful digital transformation efforts. The last competency in the
attitude and mindset subgroup is being adaptive and flexible to change, which is
essential for a digital leader in the construction sector to be effective. de Araujo
et al. [4] stated that this competency enables leaders to navigate dynamic land-
scapes, embrace emerging technologies, and effectively manage change, fostering
innovation and staying ahead in the industry. Kawiana [29] suggested that digital
leaders should prioritize the development of this competency for successful digital
leadership and transformation in construction.
One of the key competencies for digital leadership is strong interpersonal skills,
and this study has identified two essential competencies within this category. The first
competency is effective communication skills, which are crucial for digital leaders
to facilitate efficient information sharing, collaboration, and decision-making [49,
67, 59]. Oberer and Erkollar [42] have also acknowledged the pivotal role played
by strong communication abilities in successfully leading and navigating digital
transformation initiatives within the construction sector. Another vital competency
is team collaboration, which holds immense significance not only in the construction
industry but also in all manufacturing sectors. As stated by Petry [45] and Saputra et al.
[48], team collaboration is a critical competency for digital leaders, as it facilitates
effective coordination and synergy within project teams. Vercammen and Burgman
[56] believe that teams consisting of members with diverse backgrounds, experiences,
and skills can offer a broader range of insights, potentially leading to better decision-
making and problem-solving. Furthermore, collaborative teams can foster a culture
of continuous learning and improvement within the realm of digital leadership [28].

6 Implications and Limitations

The findings of this study hold significant implications for the construction industry,
particularly in the context of the ongoing transformation toward digital construction.
There are no other studies available on the Internet that have conducted research
focusing on the core competencies of digital leaders in the construction sector. The
list of determined core competencies of digital leaders constitutes a solid foundation
for construction professionals and academicians to investigate these competencies
in more depth or with different methodological approaches.
On the other hand, the findings of this study will raise awareness among compa-
nies and government entities about the opportunities and advantages of the digital
leadership concept in construction. This, in turn, may encourage them to adopt this
concept by providing solid information about the essential competencies required for
effective digital leadership. Additionally, it will provide a structural analysis of digital
leadership competencies for those who struggle to implement this concept. Govern-
ment bodies and management within the construction sector can receive education
and take necessary measures to improve these competencies among construction
professionals, allowing them to seamlessly integrate into the flow of digital transfor-
mation without any hassles. Furthermore, these findings will assist both the private
634 S. Ahmed et al.

and public sectors in establishing plans and strategies to embrace the new digital
waves in construction.
Despite the numerous implications of this study, the authors have identified a few
limitations that could be addressed by future researchers. The first limitation pertains
to the sample size, as this study analyzed findings from only twenty responses.
Future research with a sufficiently large sample size may more accurately reflect the
responses and thoughts of the construction industry. The second limitation arises from
the fact that many of the respondents were not directly involved in digital leadership
or the digital construction process, or had minimal involvement. Therefore, it is
encouraged that future research be conducted in a manner that focuses on respondents
who are experienced and directly involved in digital leadership practices within the
construction sector.

7 Conclusion

There is limited discussion and research on digital leadership specifically in the

context of the construction sector, given its novelty. Therefore, the objective of this
study is to assess and analyze the core competencies of digital leadership among
professionals in the construction industry. To achieve this, interviews were conducted
with construction professionals, and the data obtained were analyzed using thematic
analysis.
The thematic analysis revealed two main themes of competencies: “Soft Skills”
and “Hard Skills,” which were further divided into six subthemes: technical skills,
knowledge and expertise, attitude and mindset, leadership skills, and interpersonal
skills. Several significant core competencies were identified, including proficiency in
building information modeling (BIM), programming skills, creativity and innovation,
leadership and communication skills, understanding of construction processes and
regulations, strategic mindset, adaptability to change and new technologies, digital
vision, digital literacy, and training and education, among others. These findings
are crucial for construction industry stakeholders and policymakers as they provide
insights into the core competencies required for effective digital leadership. The find-
ings can inform the development of strategic plans and policies aimed at enhancing
the competencies of digital leaders to maximize the benefits of digital systems in the
industry.
Additionally, the qualitative data obtained regarding problems and mechanisms
can serve as the basis for developing a questionnaire survey to gather a more
comprehensive understanding of the criticality of these issues and the mechanisms
involved.
Effective Digital Leadership Among Construction Industry … 635

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Theme: Sustainability
Assessment of Energy Consumption
in Building Construction Phase: A Case
of Sri Lanka

T. Sarvothayasivam, T. Ramachandra, U. G. D. Madushika, P. Ndlovu,

and James Olabode Bamidele Rotimi

1 Introduction

Energy conservation has become a significant concern in the construction industry

for achieving sustainable development [29]. Approximately 9% of the total energy
consumption is accounted for building construction [31]. The construction industry
has many environmental consequences, including the use of large amounts of energy
during material processing, construction processes, and in the use of constructed
structures as well as some construction operations [17]. Further, CO2 emissions
were predicted to be high in processes that required high-energy consumption due
to the use of construction and lifting equipment from the on-site construction phase
[24].

T. Sarvothayasivam · T. Ramachandra
The Department of Building Economics, University of Moratuwa, Moratuwa, Sri Lanka
e-mail: [email protected]
T. Ramachandra
e-mail: [email protected]
U. G. D. Madushika (B)
The Department of Real Estate and Construction, The University of Hong Kong, Hong Kong,
China
e-mail: [email protected]
P. Ndlovu
School of Construction Economics and Management, University of the Witwatersrand,
Johannesburg, South Africa
e-mail: [email protected]
J. O. B. Rotimi
School of Built Environment, Massey University New Zealand, Auckland, New Zealand
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 641
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_40
642 T. Sarvothayasivam et al.

In on-site construction processes, the major forms of direct energy use include
diesel, electricity, petrol, and gas [27]. Enshassi et al. [9] reviewed that energy
required in the construction process can be divided into two main categories such as
fossil fuel and electricity. Diesel fuel and electricity are responsible for the greatest
total CO2 emissions among those four energy sources [25]. Most of the fuel used
in transport and the equipment during the construction stage is in the form of diesel
and petrol for the transportation of construction staff [9]. Electricity is one of the
most widely used forms of energy [27]. Further, the authors stated that almost all
the power tools or equipment used on-site is run on electricity. Electricity is used
in electrical appliances such as lighting appliances used in construction site areas
and workplaces for administration, production, storage, maintenance, and heating
appliances used for heaters and boilers [18]. Sharrard et al. [25] indicate that in the
construction industry, diesel and gasoline fuel are responsible for 62–75% of total
energy consumption for the overall construction sector and its sub-sectors, while 10
and 25% of the total energy consumed for electricity.
Arnold [2] mentioned that energy cost affects the cost of construction. Similarly,
[25] state that the cost incurred for overall spending on power or fuels represents
about 2.5% of total construction industry expenditures. Further, [27] pointed out
that efficient utilization and conservation of energy on-site can lead to 10–20% cost
savings on energy usage. It would be beneficial for quantity surveyors to concentrate
on the most energy-intensive operations to reduce a project’s energy consumption.
Further, the knowledge regarding the activities that consume the highest energy is a
vital step in determining how energy is utilized for the construction processes [27].
Peters and Manley [20] estimated the diesel consumption for specific activities in the
housing, retail, mixed-use, and energy project, while [28] predicted the on-site fuel
consumption of earthworks in the residential building project. However, there is no
specific research which was carried out on the electricity, diesel, and petrol consump-
tion of key construction activities where fuels and electricity represent a significant
portion of total construction industry expenditures. Therefore, this research aimed to
assess energy consumption during the construction phase of a building and establish
the potential contribution made to savings in building construction. To achieve the
above-mentioned research aim, the following research objectives were established:
1. Assess the level of energy consumption of key construction activities involved
in a building construction.
2. Propose alternative methods for optimizing energy consumption at the construc-
tion sites.
There are five sections presented in this paper. Section 1 is the introduction which
elaborates background, problem statement, research aim, and objectives. The current
literature regarding the energy consumption of building construction is presented
in Sect. 2. Section 3 presents the research methodology. Then, Sect. 4 analyzes the
collected data on two main aspects: energy consumption and energy-saving measures.
Section 5 concludes the study with its limitations and future research directions.
Assessment of Energy Consumption in Building Construction Phase … 643

2 Literature Review

2.1 Energy for On-Site Construction

On-site construction refers to the final installation or erection of the building at

the construction site [8]. The authors further stated that on-site construction can be
divided into three categories: on-site activities, off-site construction activities, and
extended supply chain. Further, on-site construction energy is considered a part of
embodied energy [21]. Construction portion is to be about 7–10% of total embodied
energy [6]. Further, this construction component is often ignored as this consumes
small energy compared with the embodied energy of the building materials due to
the lack of information available [21].
Construction projects require different types of equipment and machinery [16].
Further, various construction equipments are required to complete each activity in
the construction process [4]. The type of equipment used in the construction phase
varies depending on the characteristics of the construction method or construction
site such as soil conditions’ change [14]. Further, [16] pointed out that traditional
simple machines such as forklifts, backhoes, hauling, and hoisting equipment are
used in the construction. On the other hand, heavy construction equipment is also
used in many stages of construction [22]. Table 1 represents different types of plants,
tools, and equipment that are commonly used in the construction industry and the
type of energy source used for each tool, and the purpose of the equipment.

Table 1 Equipment according to energy type use and its purpose

Construction activity Plant, tool, equipment Energy used
Grooving, molding other joinery Placers rebates and routers Electricity
Cutting, grinding Saws Electricity, petrol
Hoisting Elevators Petrol or diesel
Hoisting Cranes Electricity
Keep surfaces free from water Pumps Electric motor, petrol, or
diesel engine
Vibrating, concrete, Poker vibrator, tempers Electricity, petrol
consolidation of concrete
Transporting soil, concrete, or Conveyors Electricity
other light materials
Hammering Hammers Electricity
Boring Mechanical auger Diesel
Excavation Trenching machine, grader, Diesel
bulldozer, and angle dozer
Source Talukhaba et al. [27]
644 T. Sarvothayasivam et al.

The construction phase of a building involves numerous activities, such as the

construction of temporary structures, transportation and installation of building mate-
rials and components, and site work [5]. Every activity required by a construction
contract consumes a significant amount of energy [23]. Similarly, [10] mentioned
that construction activities are assumed to consume small but significant energy on
the construction site. The authors further stated that this accounts for 15–35% of
the entire embodied energy. Transportation, hoisting, and concreting are the most
energy-intensive construction activities [27].

2.2 Impact of Site Energy on the Total Cost

Arnold [2] studied several building projects and mentioned that it is difficult to
quantify or measure energy costs because these costs are embedded in the materials,
equipment, or overhead costs. Further, the author stated that that energy costs have
an impact on construction costs and that they are dependent on the use of fossil
fuels in a volatile market, where the price of gas and diesel directly correlates with
construction costs. Efficient utilization and conservation of energy on-site can lead
to 10–20% cost savings on energy usage [27]. According to [2], when considering
contractor’s resources procurement strategies, an increase in fuel costs may also
play a vital role and found that energy costs during construction vary and can be a
significant part of the construction operation costs. Compared to total construction
industry expenditures, overall spending on power or fuels represents about 2.5%
of given costs, specifically, power or fuel spending is approximately 4% of heavy
construction, 3.7% of special trade contracting, and 1.2% of building construction
costs [25].

2.3 Optimizing Energy Consumption

There will be an energy crisis or depletion of energy within the next 40–60 years [1].
Optimizing the consumption of energy has become one of the priorities all around
the world due to the scarcity of resources and its impact on the environment [13].
Further, the increasing greenhouse gas emissions and declining fossil fuel reserves
have highlighted the need for a sustainable energy transition [15]. Therefore, [3]
pointed out that renewable energy sources have the potential to provide a solution
for that. Further, implementation of the use of renewable energies will be crucial
because of the harmful effects of fossil fuel energy [11].
In addition, efficient site management practices, which include efficient site
layout, efficient use of the equipment for which it has been designed, regular main-
tenance according to the manufacturer’s instructions, and the training of staff to be
conscious of energy conservation are major energy-saving measures on construction
Assessment of Energy Consumption in Building Construction Phase … 645

site [27]. Further, specifying fuel-efficient plants, accommodation, and improving on-
site logistics and coordination of activities would provide energy and cost reduction
benefits for the contractor [7]. Moreover, reducing the usage of the crane, managing
nighttime electricity, reducing machine idle times, and switching off office equip-
ment also provide energy-saving measures during construction [12]. Further, Yuksek
and Karadayi [30] stated that the building phase is possible by using energy-efficient
equipment to consume less energy.
Lean methods that focus on waste disposal are suitable tools for reducing energy
consumption and emissions in the construction process [19]. Adopting total produc-
tive maintenance is a lean technique based on the improvement of the overall
equipment effectiveness of plant equipment, which considerably reduces the fuel
consumption of the construction equipment [26]. Further, the authors pointed out
that the lean technique is used for generating an adequate environment between
operators and equipment, meanwhile, it determines the causes for accelerated wors-
ening and production losses. However, the authors state that electricity consumption
has moderately increased due to the implementation of the lean technique.

3 Research Methodology

The research was conducted using a quantitative approach where the required data
were collected based on the two selected projects with time permits. Justifications
for the project selection are described in the following paragraphs.
Initially, the document review [i.e., Bills of Quantities and Method Statements (a
document comprised clear methodology of the construction works carried out from
the commencement to project completion)] was carried out, and then semi-structured
interviews were conducted with the project managers for further clarification. This
choice was made because project managers possess the most comprehensive infor-
mation on projects compared to other professionals involved. Further, conducting
one interview per project was deemed sufficient to address project-specific inquiries.
The whole energy consumption related to the construction projects can be obtained
from the completed construction project. However, ongoing projects were selected
due to the difficulties in obtaining records related to petrol, diesel, and electricity.
Further, records related to petrol and diesel can be obtained from the storekeeper
on the site and records related to electricity can be obtained from the site office. On
the other hand, ongoing projects were selected to observe the progress of the site,
and equipment used on the site, to clarify for what purpose the equipment is used in
the site, to identify the operating hours of equipment, and to identify the site office
facilities.
Further, no concern is considered when selecting a particular context such as
residential, commercial, office, hospital, or education. The major reason for that
is context did not affect the construction stage but it is a major influence in the
operational stage. Construction activities that have taken place on the site are almost
646 T. Sarvothayasivam et al.

similar for all these contexts. Therefore, the context of the building is not considered
when selecting the project for this case study.
Accordingly, two ongoing projects were selected for the case study analysis to
assess energy consumption during the construction phase of a building and establish
the potential contribution made to savings in building construction, and the overview
of the selected construction projects is listed in Table 2.
Collected data were analyzed using simple descriptive statistics to assess the
total energy consumption of each project reference to each source and the following
section will discuss the data analysis with findings.

Table 2 Profile of the case study buildings

Details of the project P1 P2
Gross floor area (GFA) 18,000 m2 6875 m2
No. of storeys Three (03) Three (03)
Location Jaffna-town (Sri Lanka) Jaffna-Point Pedro (Sri Lanka)
Date of commencement 10.10.2019 20.11.2019
Intended date of completion 30.07.2022 20.03.2022
Construction period 34 months 29 months
Function Shopping complex Hospital
Project Ongoing Ongoing
Actual progress 50% 75%
Scope of work at site Site preparation Demolition
Excavation Excavation
Concrete Concrete
RCC raft with strip foundation Masonry work
Brick walls Al doors and windows
Timber doors and windows Metalwork
Aluminum partitions Steel roofs
Steel roofs Floor tiling
Floor tiling Ceiling work
Handrail works Painting
Ceiling work Furniture
Painting Fire protection and detection
Mechanical ventilation and air system
conditioning system Electrical systems with lighting
Vertical transportation system protection system
Fire protection and detection Passenger lift
system Extra low voltage system (ELV)
Electrical systems with internal and external plumbing
lightning protection systems landscaping and road works
Extra low voltage system
internal and external plumbing
landscaping and road works
Assessment of Energy Consumption in Building Construction Phase … 647

4 Analysis and Findings

4.1 Energy Consumption

Electricity bills were not maintained at the site, but payments made were recorded
in the base office. The company is used to make payments in a timely way; thus,
there were no accruals and prepayments. Therefore, the amount of electricity bills and
payments was considered equal. The number of units consumed was calculated based
on the payments made. Data were collected for the period covering November 2019–
October 2021. First, the total number of days was calculated from the description
available in the payment records in the base office. According to the norms issued by
the Ceylon Electricity Board (CEB) regarding the units calculating, the total number
of days was multiplied by ten. And, if that value is < 270, then take the value 18.30
else take the value 22.85 to proceed into the next step. Then, an amount of Rs. 240
is deducted from the electricity bill for that month as it is a fixed price. Then that
amount has to be by 22.85 or by 18.3 as per the condition explained above.
For example, a description stated that the electricity bill for the period from
11.01.2020 to 13.02.2020 is Rs. 82,637.10 in P1.
• Total number of days = 21 days + 13 days = 34 days.
• 34*10 = 340.
This value will be denoted as X.
• Apply condition, if X < 270 then take 18.30, else take the value 22.85.
• Number of units = (82,637.10 − 240.00)/22.85 = 3606 units.
Then, the number of units of electricity consumed was taken from electricity bills
and converted to kJ by multiplying it by 3600. Accordingly, the consumed electricity
amount is equivalent to 12, 981, 600 kJ.
Further, the quantity of petrol and diesel consumption was taken from fuel records
and converted to kJ by multiplying it by 34,200. Figure 1 illustrates the consumption
of electricity, petrol, and diesel consumed in both construction projects during the
considered period.

P1 P2
13% 16%
Electricity

Diesel Electricity
21%
Petrol 52% Diesel
66% 32%
Petrol

Fig. 1 Distribution of total energy consumption

648 T. Sarvothayasivam et al.

Electricity consumption in both construction projects shows the highest contri-

bution than petrol and diesel consumption as the majority of the equipment that is
used in construction activities and site office are operated using electricity. Energy
consumed by petrol is lower than other energy sources in both cases.
Appendix 1 elaborates on the various sources of energy used in the main construc-
tion activities of both projects. It was collected by interviewing the project manager
and from the method statement. After the summarized data collection of energy
details, electricity was distributed for both site office purposes and the operation of
equipment by considering electricity usage approximately in the site office. The
construction program is also considered to refer what are the activities that are
executed on a particular month to distribute energy consumption in between construc-
tion activities. The energy was directly allocated to a particular activity in some
months, as it is the only activity that has been undertaken in those months. In some
months two or three activities have been performed. However, as only one activity is
equipment-intensive, the energy consumption is directly allocated to that activity. In
other cases, energy consumption is distributed among all the construction activities
by considering the operating hours of equipment.
For example, this calculation is part of the whole calculation of diesel consumption
in three months. Table 3 illustrates the distribution of diesel consumed during some
construction activities (i.e., backfilling and concreting) for P1. Similarly, the same
calculation was followed for other activities as well as P2.
The same calculation was followed to get the energy consumption of petrol and
electricity for both projects, and the final summary was taken out for further analysis.

Table 3 Distribution of diesel consumption

Diesel Backfilling Concreting Remarks
consumption % Diesel % Diesel
(kJ)
July 7,182,000 (9.3/31.3) * 100 = 60% 4,309,200 (22/ 2,154,600 To drive
31.3) * percentage
100 = (operating
30% hours/ total
operating
hours of
total
equipment)
Aug 3,762,000 100% 3,762,000 Only
concreting
activity is
executed
Sep 6,215,508 100% 6,215,508 Only
concreting
activity is
executed
Assessment of Energy Consumption in Building Construction Phase … 649

240000 70000
P1 P2
210000 60000

180000 50000

Energy (MJ)
150000
40000
Energy (MJ)

120000
30000

90000
20000

60000
10000
30000
0
0
Demolition Topsoil Excavation Backfilling Concreting Door and
removal and disposal Window
frame

Electricity Diesel Petrol Electricity Diesel Petrol

Fig. 2 Summary of total energy consumption

Accordingly, Fig. 2 demonstrates the electricity, petrol, and diesel consumed for
each main construction activity identified in Appendix 1 such as demolition, topsoil
removal, excavation, backfilling, concreting, and door and window frame fixing for
each project.
Figure 2 shows clearly that concrete work consumed more energy than other
construction activities. Further, electricity consumed for concreting activity is signif-
icantly higher than the petrol and diesel consumed for concreting activity. Diesel
consumed for the backfilling process is higher than for the excavation in P1. However,
this situation is the opposite in P2. This is due to the site conditions. However, petrol
consumed for backfilling is less than for excavation and disposal activity. Demolition
and topsoil removal consumed less diesel compared to other activities.
To calculate energy consumption per unit, quantities involved for each construc-
tion activity were taken from Bills of Quantities (BoQ). Table 4 presents the
comparison of energy consumed per unit quantity for Projects P1 and P2.
Energy consumed for demolition activity of P2 is significantly higher than P1
due to the following reasons. In the P2 project, a tree cutter that runs on petrol was
used for the removal of trees which is not present in Project P1. Further, the P2
project has utilized energy sources such as petrol and diesel, whereas Project P1 has
utilized only diesel. Moreover, the P2 project involves the demolition of the existing

Table 4 Comparison of energy consumption by activities

Main construction activities P1 P2
Demolition 1,529,458.20 kJ/item 17,246,324.54 kJ/item
Topsoil removal 410.81 kJ/m2 399.01 kJ/m2
Excavation 3,132.02 kJ/m3 3,037.62 kJ/m3
Backfilling 2,174.42 kJ/m3 2,173.67 kJ/m3
Concreting 40,106.31 kJ/m3 44,368.53 kJ/m3
650 T. Sarvothayasivam et al.

structure, whereas the P2 project involves the demolition of plaque. Energy consumed
for excavation and topsoil removal of P1 is slightly higher than P2 because of two
reasons. First, the P1 project deals with the excavation of strip, raft, and footings,
whereas the P2 project deals with the excavation in footing areas. Secondly, the P1
project used an excavator and backhoe loader, whereas the P2 project only used
a backhoe loader for excavation. Energy consumed for backfilling activity in both
projects P1 and P2 is almost the same. Turning to concreting activity, the P2 project
consumes more energy compared to P1 because the P2 project mainly used a concrete
mixture that runs with diesel for the preparation of concrete, whereas the P1 project
mainly used ready-mix concrete.

4.2 Energy-Saving Measures

The energy-saving measures obtained from the literature findings confirmed to what
extent those energy-saving measures are used in each project. The project managers’
views were collected on 1–5 Likert scale, where 1—represents very low, 2—low,
3—neutral, 4—high, and 5—very high (Fig. 3).
Figure 2 illustrates the extent of energy-saving measures adopted in the selected
projects. Projects P1 and P2 have efficient site layouts to carry out the works and
they are concerned about reducing machine idle time as most of the equipment is
hired for execution of work. Furthermore, consideration of these two energy-saving
measures should be given to save energy. However, both projects have not given

Follow lean techniques

Switching off office equipment
Reducing machine idle times
Energy saving measures

Managing night-time electricity

Coordination of activities
Improving on-site logistics
Specifying fuel-efficient plant
Training the staff
Regular maintenance of equipment
Efficient use of the equipment
Efficient site layout

0 1 2 3 4 5
Responses given by the respondent

P2 P1 1-Very Low, 2-Low, 3-Neutral, 4-High, 5-Very high

Fig. 3 Level of use of energy-saving measures

Assessment of Energy Consumption in Building Construction Phase … 651

much consideration to energy-saving measures such as coordination of activities,

regular maintenance of the equipment, efficient use of the equipment, switching off
office equipment, and training of staff. Proper consideration of the coordination of
activities that use common equipment can save energy consumption. Further, training
the operating labor to a certain extent can save energy by finishing the work quickly.
Moreover, office equipment such as HVAC, fans, and lights should be switched off
when they are left on unnecessarily. Consideration in managing nighttime electricity
can save energy as concreting works are executed mostly at nighttime. Further, both
Projects P1 and P2 do not follow the lean techniques. Therefore, adopting lean
techniques that focus on the reduction of fuel consumption can improve the overall
efficiency of the equipment. Therefore, energy can be optimized by focusing on and
improving the above-mentioned energy-saving measures.

5 Conclusions

Demolition, topsoil removal, excavation, backfilling, and concreting activities are

considered the key construction activities in this study. Based on the total energy
consumption, concreting activity consumes a high level of energy in these projects.
However, as the project involves the demolition of buildings and trees, it turned out
to be an energy-intensive activity. Based on the unit quantity analysis, the energy
consumed for topsoil removal, excavation, backfilling, and concreting activities was
405 kJ/m2 , 3100, 2174, and 42,000 kJ/m3 , respectively. Therefore, concreting activity
can be considered as a highly energy-consuming activity over other activities even
though ready mixed concrete is used in the projects.
Energy-saving measures such as efficient site management practices, specifying
fuel-efficient plants, accommodation and improving on-site logistics and coordina-
tion of activities, and using energy-efficient equipment are identified as the alterna-
tive methods for optimizing energy. Improving those energy-saving measures at the
optimum level can save energy. Further, adopting a lean technique that focuses on
the reduction of fuel consumption can improve the efficiency of the equipment.
The findings of this study are expected to be valuable guidance to all construc-
tion industry practitioners in identifying the energy consumption pattern of the key
construction trades. Thereby can suggest the appropriate solutions for the minimiza-
tion of excessive energy consumption. This will result in the reduction of project
construction costs as well as greenhouse gas emissions.
Though there are many merits in this study, there are certain limitations. For
example, this research study has utilized only two ongoing construction projects for
the case study within the Jaffna district due to time constraints and entry restrictions in
the organizations. Further, this study was limited to assessing the energy consumption
of key construction activities. Therefore, it is recommended similar study which can
be carried out for a large number of projects to generalize the findings.
652 T. Sarvothayasivam et al.

Appendix 1

Comparison of energy consumed for activity—Project P1.

Main construction activity Sub activity Equipment Energy type

Demolition Clearing site Tractor with trailer Diesel
Demolition of plaque Backhoe loader Diesel
Topsoil removal Topsoil removal Excavator PC 120/240 Diesel
Excavation and disposal Excavation Excavator PC 120/240 Diesel
Backhoe loader Diesel
Disposal Tractor with trailer Diesel
Tipper (3 cubes) Diesel
Tipper (1 cube) Diesel
Rock excavation Driller Electricity
Breaker Electricity
Dewatering Submersible pump Electricity
Backfilling Filling Tractor with trailer Diesel
Tipper (3 cubes) Diesel
Tipper (1 cube) Diesel
Compaction Vibrating plate rammer Petrol
Baby roller (1 ton) Diesel
Wacker Petrol
Vibrating roller (4 Ton) Diesel
Vibrating roller (10 Ton) Diesel
Concreting Reinforcement cutting Bar cutter Electricity
Reinforcement bending Bar bending machine Electricity
Formwork Power saw Electricity
Driller Electricity
Cleaning before Air compressor Diesel
concreting Blower Electricity
Soil compacting before Wacker Petrol
floor concrete
Mixing concreting Concrete mixer (2 Bags) Diesel
Concrete mixer (1 Bags) Diesel
Vibrating concreting Poker vibrator Petrol
Cutting extra concreting Grinder Electricity
Curing Water jet Electricity
Rubble work Manual works tools are
used
(continued)
Assessment of Energy Consumption in Building Construction Phase … 653

(continued)
Main construction activity Sub activity Equipment Energy type
Brickwork Manual works tools are
used
Plastering Manual work- tools are
used
Timber door and window Driller Electricity
Common purpose Generator Diesel
Water bowser Petrol

Comparison of energy consumed for activity—Project P2.

Main construction activity Sub activity Equipment Energy Type

Demolition Clearing site Tractor with trailer Diesel
Removal of trees Cutter Petrol
Demolition of structure Backhoe loader Diesel
Topsoil removal Topsoil removal Backhoe loader Diesel
Backhoe loader Diesel
Disposal Tractor with trailer Diesel
Tipper (1 cube) Diesel
Rock excavation Driller Electricity
Breaker Electricity
Dewatering Submersible pump Electricity
Backfilling Filling Tractor with trailer Diesel
Tipper (1 cube) Diesel
Compaction Rammer Petrol
Baby roller (1 ton) Diesel
Wacker Petrol
Vibrating roller (4 Ton) Diesel
Concreting Reinforcement cutting Bar cutter Electricity
Reinforcement bending Bar bending machine Electricity
Formwork Power saw Electricity
Driller Electricity
Cleaning before Blower Electricity
concreting
Soil compacting before Rammer Petrol
floor concrete
Mixing concreting Concrete mixer (2 Bags) Diesel
Concrete mixer (1 Bags) Diesel
Vibrating concreting Poker vibrator Petrol
(continued)
654 T. Sarvothayasivam et al.

(continued)
Main construction activity Sub activity Equipment Energy Type
Cutting extra concreting Grinder Electricity
Curing Manual—horse pipe
Block work Manual works—tools
are used
Brickwork Manual works—tools
are used
Plastering Manual works—tools
are used
Plumbing Manual works—tools
are used
HVAC work Manual works—tools
are used
Electrical work Driller Electricity
Grinder Electricity
Al door and window Driller Electricity
Grinder Electricity
Tile finishes Manual work—tools
are used

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Embracing Circular Economy
in Australian Universities: Learning
from Global Perspectives Using
State-of-the-Art Review

Olabode Emmanuel Ogunmakinde

1 Background of the Study: Imperatives of Circular

Economy in Universities

Sustainable practices and circular economy (CE) principles have increasingly

become essential to combating pressing environmental challenges. Ramakrishna
et al. [34] provide an insightful look into the emergent symbiosis between Industry 4.0
and CE, emphasising the transformative role of academic institutions in propelling
this shift. As breeding grounds for innovation and intellectual capital, universities
are strategically positioned to pioneer these developments. Nunes et al. [24] rightly
point out that while universities’ overt curriculum contributes significantly to devel-
oping CE literate graduates, there is also a hidden curriculum where universities
demonstrate their commitment to CE principles. Such commitment is demonstrated
in how they manage their campuses, deliver services, and interact with their local
communities.
This paper seeks to explore this hidden curriculum and, more broadly, the role
of universities in championing the adoption of CE principles. Notably, integrating
CE strategies into campus management has proven to be a viable approach towards
sustainable campuses. For example, Mendoza et al. [20] developed a methodolog-
ical framework for implementing CE thinking in higher education institutions,
which aims to guide universities in developing strategies for sustainable campus
management. Fortes et al. [12], Kamarudin et al. [18] and Ramakrishna et al. [33]
also present an innovative approach towards smart campus environments through a

O. E. Ogunmakinde (B)
Faculty of Society and Design, Bond University, Robina, QLD 4226, Australia
e-mail: [email protected]
School of Engineering and Technology, Central Queensland University, QLD 4000 Brisbane,
Australia

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 657
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_41
658 O. E. Ogunmakinde

multi-disciplinary mix of architecture, greening, and ICT which are related to CE

implementation.
Taking a cue from these studies, this investigation seeks to delve deeper into
the application of CE principles in Australian universities by drawing insights from
regional. This study aims to understand how Australian universities can adopt these
strategies to foster sustainability while delivering excellent academic services.

2 Methods, Materials, and Data Sources

In investigating integrating CE principles and strategies from universities in other

countries for Australian universities, a State-of-the-Art Review (SOTA) was partic-
ularly efficacious. This approach facilitates a comprehensive synthesis and critical
evaluation of the most current and relevant studies, enabling an overview of current
knowledge, significant findings, and research gaps in this field. Compared to a tradi-
tional literature review, the SOTA review is a more intensive process that includes
cutting-edge research, ensuring the inclusion of the most recent and relevant find-
ings [30, 39]. However, this comprehensive approach does not preclude the necessity
for a judicious selection of sources. It is essential to apply discerning judgement to
identify and incorporate studies that exhibit methodological rigour, high impact, and
relevance to the topic [16]. Furthermore, the SOTA review’s distinctive focus on the
latest research helps to delineate the trajectory of the evolving discourse surrounding
CE in higher education institutions [2]. Moreover, compared to systematic reviews,
the SOTA review is less restrictive, allowing for the incorporation of diverse studies
to gain a more comprehensive perspective. SOTA provides an opportunity to embrace
the breadth of the academic landscape, creating an ideal foundation for identifying
lessons from global perspectives and informing future CE strategies for Australian
universities. In the SOTA search, using the keywords highlighted in the section below,
the countries studied were based on relevant outputs and were not pre-determined
before the study.

2.1 Data Sources

The primary data sources for this State-of-the-Art Review (SOTA) were peer-
reviewed academic articles, books, and reports from reputable organisations such
as governmental agencies or non-governmental organisations working in sustain-
ability and education. The keywords applied in the search were: “Circular Economy”,
“Sustainability”, “Higher Education Institutions”, “Universities”, “Australia”,
“Waste Management”, “Resource Optimisation”, “Circular Procurement”, “Energy
Efficiency”, “Global Perspectives”, “Best Practices”, “Stakeholder Engagement”,
“Policy Frameworks”, “Institutional Engagement”, and “Circular economy in
Embracing Circular Economy in Australian Universities: Learning … 659

Universities”. Databases and search engines such as Scopus, Google Scholar, Else-
vier, University open-access portals, and government websites were explored to
conduct the SOTA. The application of SOTA in this study will be geographical
region and country specifics. This is to provide a global narrative of CE in universities
across developed and developing nations for applications in Australian Universities.
However, the first section of the SOTA sought to define CE principles and strate-
gies from the generic perspective of universities. The outcome of the SOTA review
delivered present CE gaps and transferrable knowledge for Australian University
campuses.

3 State-of-the-Art (SOTA) Review and Analysis

3.1 The United Kingdom

With the intensifying global focus on sustainability, circular economy (CE) strategies
are progressively embedded in university operations. There has been a growing adop-
tion of CE approaches on UK university campuses to augment the environmental
sustainability of campus operations [20]. This has been enabled by implementing
sustainable campus management frameworks encapsulating CE thinking. In addi-
tion, there is an emerging trend towards enhancing student skills through promoting
new CE enterprises on campus [24]. This approach drives sustainability and presents
sustainable commerce as a tangible business opportunity for students. With the evolu-
tion of digital transformation, the ‘smart campus’ concept is also gaining traction,
synergising with CE strategies [1, 27]. Notably, the smart campus concept encom-
passes digital solutions to manage solid waste and further the circular economy [31].
This integration of digitalisation with CE thinking represents a promising avenue for
the future of sustainable campus management.

3.2 Germany

German universities progressively embrace circular economy (CE) strategies, under-

scored by practical and educational initiatives. Weber and Stuchtey [41] articulate
the broader landscape of Germany’s transition towards a CE. Within this context,
universities are taking actionable steps, such as the sustainability innovation lab’s
project for ‘Greening the University Canteen’, connecting regional stakeholders and
students to promote integrated regional development [40]. In academia, integrating
CE concepts in curricula and research is gaining momentum [14]. Furthermore,
Bugallo-Rodriguez and Vega-Marcote [5] report the importance of teacher training
in CE to foster sustainable attitudes and behaviours in campus life.
660 O. E. Ogunmakinde

3.3 The USA

American universities have demonstrated a palpable commitment to incorporating

circular economy (CE) strategies within their operational and pedagogical systems.
Gallo et al. [13] underscored that successful waste prevention and reduction initia-
tive had been implemented, fostering a model that could inspire other universities
and communities. The role of education is paramount, with universities serving not
only as a hub for teaching CE concepts but also for training future educators in
sustainability [5]. Such an approach empowers students to become change agents,
instigating sustainable practices within the campus environment [24]. Concurrently,
Serrano-Bedia and Perez-Perez [37] assert that higher education institutions play a
significant role in the global transition towards a circular economy, showcasing the
influence of universities as critical stakeholders in implementing and promoting CE
initiatives.

3.4 South Africa

South African universities steadily integrate circular economy (CE) strategies into
their operations and pedagogies. A study at a rural tertiary institution highlighted
the importance of Knowledge, Attitude, and Perception (KAP) to successful solid
waste management, reflecting a crucial step towards embracing CE practices [29].
The use of simulation and serious games has emerged as a potent tool for conveying
CE and sustainable energy concepts [9], while the development of a dynamic capa-
bilities’ framework has enabled the implementation of 4IR-enabled CE practices in
technology universities [38]. Moreover, South African universities are also transi-
tioning into smart campuses [4, 27], which can serve as microcosms for smart city
development, enabling a broader implementation of CE strategies.

3.5 China

Chinese universities are increasingly adopting circular economy (CE) strategies.

Most CE research is affiliated with Chinese institutions [21]. The development of
CE-related specialities has further underscored this trend [32]. Moreover, a broader
implementation of CE initiatives on Chinese campuses has been noted by Serrano-
Bedia and Perez-Perez [37]. Thus, Chinese institutions have a growing commitment
towards sustainability and resource efficiency. Therefore, these universities not only
form part of the CE intellectual community but also act as practical embodiments of
its principles.
Embracing Circular Economy in Australian Universities: Learning … 661

3.6 Brazil

The integration of circular economy strategies within Brazilian universities entails

several key approaches. Firstly, developing specific academic programmes and
curricula focusing on circular economy principles is paramount [19]. This not only
instils the concept of sustainability within the educational structure but also encour-
ages innovative thought processes that align with the goals of a circular economy.
Universities are establishing practical initiatives on campus that emulate the princi-
ples of a circular economy. These include waste management strategies that empha-
sise reduction, reuse, and recycling and implementing energy-efficient practices [36].
These initiatives are tangible examples of the circular economy in action, providing
students with practical experience and a clearer understanding of its principles.
Universities are forming partnerships with local businesses and communities,
fostering a collaborative approach towards sustainable practices [8]. This extends
the reach of the circular economy beyond the university campus and facilitates the
integration of these practices within the broader community.

3.7 Overview of Strategic Principles of CE for Universities

CE has emerged as an innovative paradigm shift away from the traditional linear
‘take-make-dispose’ model towards a system of optimised resource use, waste
minimisation, and regeneration [6, 25, 27, 28]. Under the umbrella of sustain-
ability, CE presents a viable route towards achieving Sustainable Development Goals
(SDGs), particularly in Higher Education Institutions (HEIs) [7, 26]. Murray et al.
[23] opined that CE, at its core, is about designing out waste, keeping products and
materials in use, and regenerating natural systems. Through this principle, the idea
of waste is reconfigured into a concept of resource, thereby transforming the conven-
tional consumption model. HEIs play a crucial role in propagating CE principles by
modelling them within their campuses and integrating them into curricula [34].
For instance, the University of Leuven offers a “Science and Sustainability” course
to teach students CE principles [5]. Similarly, the University of Manchester has been
exploring the potential for embedding CE practices within its operational strate-
gies [20]. Learning from the Brazil-Colombia network of HEIs, [19] reported the
effectiveness of implementing CE strategies on university campuses. However, it is
worth noting that each institution will have its unique challenges and opportunities,
and therefore, the applicability of CE strategies needs to be considered in context.
Looking towards the future, CE can be considered a strategic tool for HEIs in their
quest for sustainability. By inculcating these principles into the fabric of the insti-
tutions, universities can drive meaningful change within their premises and extend
this influence on the wider community, fostering a resilient, sustainable future [3].
662 O. E. Ogunmakinde

4 SOTA Review Findings

Table 1 presents an overview of how various universities across regions embrace the
circular economy (CE) principles. This section discusses the key CE implementable
strategies and principles for university campuses.

4.1 Waste Prevention and Resource Optimisation Strategies

Waste prevention and resource optimisation strategies refer to measures to reduce

waste generation and maximise resource utilisation in a circular economy context.

Table 1 SOTA review findings for university CE strategies in selected countries

Key output Region Country University CE strategies References
Waste prevention Africa South Promoting sustainable practices on [38]
and resource Africa campus
optimisation Europe The UK Implementing waste management [9, 10]
strategies systems
North The USA Sustainable resource management [11]
America
Circular Asia China Implementing sustainable [32]
infrastructure management systems
Europe The UK Implementing waste management [9, 10]
systems
Smarter campuses Africa South Integration of 4IR technology [38]
Africa
Asia China Promoting new circular economy [21]
enterprises on campus
South Brazil Implementing on-campus initiatives [36]
America
North The USA Introducing circular economy [11]
America practices in campus operations
Local partnerships South Brazil Fostering partnerships with local [19]
America businesses and communities
CE teaching and Asia China Strengthening scholarly cooperation [21]
development South Brazil Developing circular [19]
America economy-focused curricula
Europe The UK Utilising simulation games for [9]
education, promoting research and
collaboration
North The USA Encouraging student [11]
America entrepreneurship in the circular
economy
Embracing Circular Economy in Australian Universities: Learning … 663

These strategies are instrumental in supporting environmental sustainability and

demonstrating commitment towards responsible resource use. Under the ‘Waste
Prevention and Resource Optimisation Strategies’, South African universities are
spearheading sustainability initiatives [38], while the UK and the USA are focusing
on waste management and sustainable resource management, respectively [9–11].
In the UK, waste management systems are key to waste prevention and resource
optimisation.
This could encompass waste audits to identify areas for improvement, imple-
menting comprehensive recycling programmes, and raising awareness about waste
minimisation among students and staff [9, 10]. Meanwhile, in the USA, the focus is on
sustainable resource management. This could be reflected in procurement policies
favouring environmentally friendly suppliers, using renewable energy sources for
campus operations, and adopting water-saving measures like rainwater harvesting
and efficient irrigation systems [11]. Waste prevention and resource optimisation
strategies encapsulate a wide range of practices aimed at minimising waste and
maximising resource efficiency, thereby playing a critical role in the transition
towards a more circular and sustainable economy on university campuses.

4.2 Circular Infrastructure

The ‘Circular Infrastructure’ category showcases China’s initiatives in creating

sustainable management systems [32], with the UK also contributing significantly
to the waste management sector [9, 10]. Circular infrastructure refers to the physical
and organisational structures, facilities, and services needed to operate a circular
economy within the university environment. This includes waste management
systems, sustainable resource usage, and integration of renewable energy sources.
In the context of Chinese university campuses, creating sustainable manage-
ment systems represents a key part of their circular infrastructure [32]. These
systems could involve, for instance, the implementation of advanced recycling and
composting facilities, energy-efficient buildings, and water conservation systems.
Additionally, they might encompass organisational structures that promote collabo-
ration between departments, fostering a campus-wide commitment to sustainability.
Circular infrastructure refers to physical facilities and organisational strategies that
support implementing and operating a circular economy within a university campus.

4.3 Smarter Campuses

Smarter campuses outline how technological advancements are integrated within

South Africa and China campuses to promote new CE enterprises [21, 38]. The US
and Brazil contribute equally to this sector through their on-campus initiatives and CE
practices [11, 36]. The term ‘Smarter Campuses’ refers to a strategic approach that
664 O. E. Ogunmakinde

leverages the power of technology and innovative practices to transform university

campuses into more sustainable, efficient, and digitally advanced spaces, in line with
the circular economy (CE) principles. This approach often incorporates advance-
ments in technology and digital systems, infrastructural development, and improved
management systems to optimise resource use, waste reduction, and overall campus
sustainability.
In the South African and Chinese contexts, smarter campuses involve the integra-
tion of Fourth Industrial Revolution (4IR) technologies such as artificial intelligence,
big data, and the Internet of Things. These technologies aid in streamlining campus
operations, enhancing resource efficiency, and promoting new CE enterprises [21,
38]. Awuzie et al. [4] and Omotayo et al. [27] agreed that smarter campus designs
are multifaceted strategies encompassing many initiatives and practices to advance
CE principles within the university setting. For effective implementation of CE on
university campuses, the smart campus approach has been proven to be the prime
approach.

4.4 Local Partnerships

Regarding local partnerships, Brazilian institutions stand out by establishing strong

ties with local communities and businesses [19]. In the context of circular economy
strategies, local partnerships refer to the collaborations and alliances between univer-
sities and local stakeholders, which include businesses, government bodies, non-
profit organisations, and communities. These partnerships aim to create an enabling
environment for circular economy initiatives, fostering sustainable development on
a regional scale.
These partnerships can take various forms and involve a range of activities. Joint
research initiatives allow universities to collaborate with local stakeholders to develop
innovative solutions and strategies for circularity. Knowledge-sharing forums provide
a platform for exchanging ideas, experiences, and best practices related to the circular
economy. Student internships with local businesses offer valuable learning opportuni-
ties for students to gain hands-on experience in implementing circular economy prin-
ciples within real-world contexts. Additionally, community engagement programmes
enable universities to involve local communities in circular economy initiatives,
raising awareness and fostering active participation.
Brazilian universities are notably proactive, forming robust connections with
local entities to push forward circular economy agendas. Maruyama et al. [19]
highlighted that these partnerships can take various forms, such as joint research
initiatives, knowledge-sharing forums, student internships with local businesses, and
community engagement programmes. By forging strong local partnerships, univer-
sities can leverage local stakeholders’ expertise, resources, and networks, promoting
knowledge transfer, driving innovation, and creating a shared commitment towards
circularity. These partnerships contribute to developing a collaborative ecosystem
Embracing Circular Economy in Australian Universities: Learning … 665

where all stakeholders work together to achieve sustainability goals and address
local challenges comprehensively and inclusively.

4.5 CE Teaching and Development Practices

CE teaching and development underline the importance of scholarly cooperation in

China, curriculum development in Brazil, and innovation in teaching and research
in the UK and the USA [9, 11, 19, 21]. CE teaching and research practices refer
to educational and scholarly approaches incorporating and promoting the circular
economy (CE) principles within academia. These practices embody disseminating
CE concepts and principles through academic curricula and advancing CE theory and
practice through scholarly research. In the context of the table above, CE teaching
and development encapsulate a variety of strategies employed in different countries.
For instance, in China, a particular emphasis is placed on scholarly cooperation,
which denotes collaborations between researchers, departments, and institutions to
foster a greater understanding of the CE [21]. CE teaching and development are inno-
vative teaching and research methods in the UK and the USA. This could include
experiential learning through simulation games, promoting student entrepreneurship,
or pioneering research into new CE approaches [9, 11]. CE teaching and develop-
ment is an overarching strategy for fostering CE adoption and advancement within
the academic sphere, albeit executed differently depending on local context and capa-
bilities. The concept of CE teaching and research practices pertains to the educational
and scholarly approaches that integrate and promote CE principles within academic
institutions. These practices encompass disseminating CE concepts and principles
through academic curricula and advancing CE theory and practice through scholarly
research. The significance of CE teaching and development practices is underscored
by their incorporation into various strategies implemented in different countries.
For example, in China, scholarly cooperation plays a central role, emphasising
collaborations between researchers, departments, and institutions to enhance the
understanding of CE principles [21]. This collaborative approach fosters a deeper
exploration and dissemination of CE knowledge within academic circles. On the
other hand, in the UK and the USA, CE teaching and development take on inno-
vative forms. These may include experiential learning through simulation games,
initiatives promoting student entrepreneurship in the CE realm, or cutting-edge
research exploring novel approaches to CE [9, 11]. These countries prioritise incorpo-
rating innovative teaching methods and research practices to advance CE education
and contribute to developing novel CE strategies. CE teaching and research prac-
tices serve as overarching strategies to foster the adoption and advancement of CE
within the academic sphere. However, the specific implementation and emphasis
may vary depending on the local context and the academic institutions’ capabilities.
By integrating CE principles into teaching and research, universities can nurture the
next generation of sustainability leaders and drive transformative change towards a
circular economy.
666 O. E. Ogunmakinde

5 Contribution to Knowledge: Proposed CE Framework

for Australian Universities

In line with universities’ role as leaders in knowledge creation and dissemination,

universities also have a unique opportunity to spearhead the implementation of
the circular economy concept. However, as Mendoza et al. [20] outlined, building
a robust business case is a critical initial step to mobilising resources and insti-
tutional support. Therefore, Australian universities must comprehensively review
their existing sustainability practices, identifying areas of strength and opportu-
nities for enhancement by applying CE principles and strategies such as those
highlighted in Fig. 1. Furthermore, as Mindt and Rieckmann [22] suggested that
embedding sustainability-driven entrepreneurship in the curriculum can effectively
engage students and foster a culture of sustainability within universities. Addition-
ally, creating ‘living laboratory’ experiences on campus that exemplify CE practices
could serve as a potent tool for enhancing student learning and promoting the adop-
tion of sustainable behaviours [15]. Universities, including Australia, significantly
drive the transition towards a circular economy. Their influence extends beyond
the confines of their campuses, impacting the broader community and contributing
towards global sustainability goals. As CE practices encompass numerous aspects of
organisational operations, universities must adopt these practices strategically and
systematically. Mendoza et al. [20] demonstrated the importance of strategic plan-
ning in implementing CE initiatives in universities, highlighting that it requires a
concerted effort to bring about institutional change. As indicated by their work, a
successful CE strategy necessitates understanding the institution’s current practices,
identifying areas for improvement, and formulating a plan of action. This plan should
set specific, measurable, achievable goals and outline the necessary steps.
Drawing upon the findings of Mendoza et al. [20], the nascent stages of a univer-
sity’s transition towards a circular economy (CE) must involve a thorough exploration
of its existing sustainability protocols, thereby pinpointing their strengths as well as
the gaps which can be bridged by incorporating the tenets of CE. This multifaceted
exercise engenders a solid business case that underpins resource mobilisation and
accrues institutional support. Further deepening their commitment to sustainability,
universities can leverage the transformative potential of education. Concurring with
Mindt and Rieckmann [22], there must be advocacy for integrating sustainability-
driven entrepreneurship within academic curricula, bolstering student engagement,
and fostering a campus culture steeped in sustainability.
Supplementing these measures, Gomez and Derr [15] contend that tangible on-
campus manifestations of CE practices, colloquially termed ‘living laboratories’,
can be a powerful mechanism to enhance student learning while simultaneously
cultivating sustainable behaviours. Universities worldwide, including Australia, are
pivotal in facilitating the transition towards a CE, extending their influence beyond
their immediate surroundings to significantly impact broader societal paradigms and
global sustainability goals. Mendoza et al. [20] advocated for the comprehensive
Embracing Circular Economy in Australian Universities: Learning … 667

Fig. 1 Proposed circular economy strategies for Australian universities

approach to CE calls for strategic and systemic adoption within universities. It neces-
sitates a painstaking assessment of the institution’s existing practices, identifying
improvement areas, and formulating an action plan.
The transformative capacity of circular practices in constructing sustainable urban
environments offers valuable guidance for Australian universities’ campus planning
and development. Education that integrates CE principles, as proposed by Peters [30],
can catalyse a culture of sustainability on campus. Universities, through education,
hold the power to equip tomorrow’s leaders with the skills and knowledge needed to
steer the transition to a CE. Establishing green policies that promote and facilitate
sustainable practices is crucial, incorporating elements such as waste management,
energy efficiency, and circular procurement. By benchmarking against best practice
examples from varied contexts, Australian universities can identify strategies most
apt for their unique circumstances, thereby building a compelling case for adopting
a circular economy.
In the context of Australian universities, CE strategic planning can be guided by
the best practices observed in universities within this study. Integrating CE prin-
ciples in Australian university teaching, as illustrated by Peters [30], can play a
pivotal role in fostering a culture of sustainability on campus. Through education,
668 O. E. Ogunmakinde

universities can equip future leaders with the knowledge and skills required to drive
the transition to a circular economy. Furthermore, Junior et al. [17] emphasised the
importance of governance in promoting sustainable development in higher educa-
tion institutions. It is essential to have green policies that encourage and facilitate
the adoption of sustainable practices, including those related to waste management,
energy efficiency, and circular procurement. By drawing on best practice examples
from different contexts, Australian universities can identify strategies most suitable
for their specific circumstances and build a robust case for implementing a circular
economy within their institutions.

6 Conclusion and Future Directions

Global transition towards CE principles is evidenced within higher educational insti-

tutions. These campuses have begun integrating diverse CE strategies, from waste
prevention and resource optimisation to circular infrastructure, smarter campuses,
local partnerships, and incorporating CE teachings into their curricula. Universi-
ties’ varied global approaches underline CE principles’ adaptability and wide appli-
cability. Focusing on Australian universities, adopting CE practices could foster
environmental sustainability, boost student engagement with pressing global issues,
and strengthen relationships with local communities and businesses. Furthermore,
embedding such principles within their curricula could equip future leaders with
the necessary skills to navigate the world’s sustainability challenges. Higher educa-
tion institutions worldwide increasingly reflect the global transition towards circular
economy principles. Their campuses have started integrating diverse strategies under-
pinning this concept, including waste prevention, resource optimisation, circular
infrastructure, smart campuses, local partnerships, and the integration of such princi-
ples into their curricula. This divergence in approach across global universities signi-
fies these principles’ adaptability and broad applicability, irrespective of geographic
or institutional contexts. For Australian universities in particular, adopting these prac-
tices offers a promising path towards achieving environmental sustainability. This
shift can catalyse increased student engagement with salient global issues, fostering
a transformative educational experience. Moreover, it strengthens relationships with
local communities and businesses, thus aligning educational objectives with broader
societal and economic goals. Furthermore, incorporating these principles into the
curricular discourse is instrumental in equipping the leaders of tomorrow with the
requisite competencies for navigating a world grappling with sustainability chal-
lenges. As these principles increasingly become integral to academic programmes,
students can harness the knowledge and skills they need to effect meaningful change
in their future professional roles, contributing to a more sustainable future.
Future research could delve into case-specific challenges and successes of imple-
menting CE strategies in Australian universities. Additionally, comparative studies
exploring the effectiveness of different CE strategies across various universities will
provide useful insights to further advance the development and implementation of
Embracing Circular Economy in Australian Universities: Learning … 669

CE principles in Australian higher education. Researchers could uncover best prac-

tices, problems, and opportunities by thoroughly investigating and comparing the
effects of varied CE principles across multiple institutions, thus assisting the contin-
uous development of CE in the university context. To complement the findings of
this study, future researchers will need to conduct additional comparative studies in
several crucial areas. The impact of CE curriculum on Australian student experiences,
behaviours, and values is one of these areas and the potential research question could
be, “How do students perceive the relevance and importance of CE principles to
their future careers and daily lives”? Another research might look at the governance
models and administrative structures in place at Australian universities to super-
vise campus-wide CE efforts. The research question can be, “How can universities
measure and track their progress towards CE goals and benchmark their performance
against peer institutions”? Similarly, the synergistic potential of CE initiatives and
sustainability programmes on Australian campuses is an intriguing area for future
research. The research may provide an answer to the question: “In what ways are
CE models complementary to existing sustainability frameworks and agendas at
Australian universities”? Another important area to examine is a broad compara-
tive analysis of CE strategies, operations, and outcomes across Australian universi-
ties. The potential research question can be, “How do international benchmarks and
practices inform CE agendas at Australian higher education institutions”?

Acknowledgements The author appreciates the comments and suggestions made by anonymous
reviewers. Additionally, the author wishes to acknowledge the contribution of the research assistant
who worked on this project.

Author Contributions Olabode Ogunmakinde contributes to conceptualisation, methodology,

analysis, investigation, data collection, draft preparation, manuscript editing, visualisation, project
administration, and funding acquisition.
Funding The funding for this project was provided by the Faculty of Society and Design, Bond
University through a Research Project Grant [RR-1-BD20].

Ethics Statement “Not applicable”.

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Circular Economy Strategies
for Enhancing the Sustainable
Performance of Building Sector:
A Systematic Review

M. Gowsiga, Thanuja Ramachandra, P. Sridarran, N. Thurairajah,

and Niluka Domingo

1 Introduction

The building sector contributes significantly to the worldwide economy, generating

about 12% of the global gross domestic product whilst using around 35% of the
world’s resources, 40% of its energy, and 12% of its potable water. This sector
is also a significant producer of waste, with one-third of it going to landfills, and
also it accounts for about 40% of the world’s carbon emissions [5, 12]. Carbon
emissions related to the building sector reached 31 billion metric tonnes in 2021, and
embodied energy is another issue that can reach 60% during a building’s lifecycle [5,
30]. For example, it is a highly material- and emission-intensive sector, consuming
between 1.2 and 1.8 Mt of materials annually in Europe and producing about 50% of
greenhouse gas emissions in the UK [1, 42], and also in the European Union, around
a billion tonnes of construction demolition waste (CDW) produced each year [22].
In addition, the Organisation for Economic Cooperation and Development [OECD]
[44] indicated that the extraction and processing of key metals and the production of
concrete will result in a 21% rise in total emissions by 2060. Subsequently, [51] also

M. Gowsiga · T. Ramachandra · P. Sridarran

University of Moratuwa, Colombo, Sri Lanka
e-mail: [email protected]
P. Sridarran
e-mail: [email protected]
N. Thurairajah
Northumbriya University, Northumbriya, UK
e-mail: [email protected]
N. Domingo (B)
Massey University, Auckland, New Zealand
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 673
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_42
674 M. Gowsiga et al.

indicated that the current linear pattern of material usage will result in the scarcity
of certain essential materials (e.g. steel and copper) in the building sector.
To address all of the aforementioned issues, the application of the circular
economy (CE) concept is deemed essential in various building lifecycle stages to
manage the building and its components from cradle to cradle [4]. The concept of
CE is a collection of principles that combines a wide range of practices with the shared
goal of reducing waste generation and resource consumption by preserving the value
of resources for as long as possible, improving material and energy efficiency, util-
ising renewable energy sources, and using environmentally friendly, toxic-free, and
low-impact materials [32]. It can be described as a living economic system as value
is created through usage (and reuse) rather than destroyed via consumption [18]. In
the long term, the CE is more effective and sustainable than the conventional system
and it commits to reducing carbon emissions whilst improving resource and energy
efficiency [43, 58]. This pushes the boundaries of environmental sustainability by
highlighting the concept of transforming products in a way that ecological systems
and economic growth can be connected in a practical way [42]. According to [55],
the building sector has the greatest potential to support the concepts of CE, as it
ensures that waste sent to landfills is reduced by maintaining the values derived
from materials in the economy for a long time. For instance, the Ellen MacArthur
Foundation [20] predicted that adopting CE in Europe’s building sector may save
£300 billion worth of primary resources by 2030. This circular way of promoting
the cycling of waste during the building’s lifecycle can improve resource efficiency,
reduce energy consumption, reduce waste, increase the number of new materials
used, and reduce carbon emissions [10, 12, 39]. Accordingly, the CE concept should
be used for building materials to keep them sustainable and lower their embodied
energy and carbon [4].
On the other hand, most of the previous strategies that were recommended in
different studies to reduce the embodied impacts in the building sector are based on
the few principles of CE, including reduce, reuse, and recycle. For example, extending
the lifespan of buildings, using less material or material with lower energy intensity,
reducing waste, reusing, and recycling [8], material minimisation, material reuse,
and recycling [3], reducing, reusing, and recovering building materials; extending
material life; and refurbishing existing buildings rather than creating new ones [46].
According to Brutting et al. [13], reuse implies higher embodied emissions savings
than recycling construction products when they reach their end of life. To prioritise
those minimising embodied emissions measures, it is necessary to first accurately
quantify the situation and then choose the best CE solutions [27]. When only looking
at direct energy and carbon savings during the use of building materials, the benefits
of CE solutions are likely to be understated. Thus, it is essential to analyse the
effects of CE solutions from a cradle-to-grave lifecycle perspective, considering the
embodied emissions of the materials.
Moreover, the use of CE in the building sector is still in its infancy, but it has
started receiving more attention from both theoretical and practical perspectives [41].
Although there is a growing amount of literature on how CE principles can be applied
to the building sector [33], detailed studies on CE strategies for the building sector
Circular Economy Strategies for Enhancing the Sustainable … 675

are limited in scope as the previous studies narrowed their focus to certain aspects.
For instance, Ghisellini et al. [23] determined whether the adoption of CE is envi-
ronmentally sustainable by focusing on selected CE principles, including reducing,
reusing, and recycling for construction and demolition waste. Wijewansha et al. [59]
have focused on the application of the 6R principles of CE, particularly during the
pre-construction stage of a construction project. In addition, [1] highlighted that there
has been limited research on the application of circular economy principles in the
built environment within a whole systems’ context. In addition, Adams et al. [1]
noticed that the primary applications of CE have been minimisation and recycling
of construction waste. Further, Akanbi et al. [2] identified that some studies on CE
in buildings believed buildings to be worth, whilst other studies on CE in buildings
viewed buildings as material banks for material extraction during operation and at the
end of life. Osobajo et al. [45] disclosed that numerous studies on CE in the building
sector have concentrated on resource consumption and waste management. More-
over, recycling, waste management, resource efficiency, reuse, and remanufacturing
were found to be the most relevant terms for CE generally by Alhawari et al. [6].
The review of the literature reveals that only a few studies have been conducted
in the global context on the application of principles of CE in the building
sector. However, evidence suggests that no research has focused on the CE strategies
for the whole R-framework (R-imperatives) of CE, particularly for all the lifecycle
stages. To this end, this study aims to investigate the current state of knowledge
regarding the use of CE strategies within the building sector. The remaining sections
of the paper are structured as follows: The study methodology is discussed in Sect. 2.
The literature findings, analysis, and summarised CE strategies for enhancing the
sustainable performance of the building sector are presented in Sect. 3. Finally, the
conclusions of the study are presented in Sect. 4.

2 Research Methodology

The systematic review technique was used to carry out the literature search in this
study. A systematic literature review is “research that bears on a particular question,
using organised, transparent, and replicable procedures at each step in the process”
[35], pp. 1–2. This research was a continuation of the previous study of the authors
[25], a systematic literature review on CE principles for the building sector, which
was carried out using Preferred Reporting Items for Systematic Reviews (PRISMA).
For the literature search, the Web of Science, Scopus, and Science Direct databases
was chosen as they contain academic papers with high rankings and indexes. In
addition, Google Scholar was also looked at to see if any other papers might have been
around and answered this research question, which is “What are the strategies of CE
for enhancing the sustainable performance of building sector?”. Circular economy,
building sector, and strategies are the basic search terms used in this study. The
Boolean operator “AND” was used to combine each keyword mentioned, wild cards
such as question marks (?) and asterisk marks (*) were introduced to several terms
676 M. Gowsiga et al.

Fig. 1 PRISMA flow diagram

to maximise the search results, and quotation marks (“”) were used to get the exact
term in this study. Figure 1 illustrates the PRISMA flow diagram of the study.
To strengthen the literature selection, the number of eligibility and exclusion
criteria was specified. Only peer-reviewed articles on the strategies of CE and the
building sector that were published in English between 2010 and 2022 were selected.
The TITLE-ABS-KEY was used as the search field.
Figure 1 illustrates the PRISMA flow diagram of the study. The total of 265
records resulted in 187 after the removal of 78 duplicate records. From that, 53
records were chosen after the title, abstract, and keyword screening processes. Then,
only 36 records were eligible for the full paper review due to the absence of 17 full
articles. Fifteen out of 36 were found to be irrelevant to the research question of the
study during the preliminary assessments. Finally, a total of 35 records, including the
remaining 21 records and 14 records from Google Scholar, are eligible for in-depth
analysis.
In the next section, the search results were further analysed and their contents
were synthesised to extract the CE strategies for the building sector.
Circular Economy Strategies for Enhancing the Sustainable … 677

3 Results and Discussion

The results of this research are presented in two parts: (1) a descriptive analysis of
the selected articles and (2) CE strategies applicable to the building sector.

3.1 Descriptive Analysis

The selected articles were scrutinised to identify the CE domains and R-imperatives
of the building sector covered in the previous scholarly works. Only 11 out of 35
studies discuss the CE domains, whether R-framework, ReSOLVE model, or CE
loops. In terms of CE domains, most of the studies (seven out of 11) have considered
the CE principles in R-frameworks, whilst only two articles covered each CE loop
and the CE ReSOLVE model. Figure 2 presents the number of articles that discussed
the different CE domains. This indicates that R-frameworks have received significant
attention in terms of CE principles applicable to the building sector.
Subsequently, the R-imperatives of the building sector that were the focus of
those seven studies were compared with the 17 R-imperatives identified as the CE
principles of the building sector by the authors [25]. Two of seven studies that consider
R-imperatives focus on 10R-frameworks by Potting et al. [47] and Reike et al. [50].
Another two studies each focus on 6R and 3R, another is about reuse and recycling,
another is only about reuse, and one is about resolve. Although reuse was considered
in all seven articles, 14 out of 17 R-imperatives are less than half of the studies
on reuse (less than or equal to three). Further, five of the 17 R-imperatives are
not considered in any of the studies including retain, return, retrofit, reverse, and
recondition. It shows the necessity of studies that discuss the CE strategies of the
building sector concerning each R-imperative of the building sector. Figure 3 presents
the R-imperatives of the building sector referred to in articles.

Fig. 2 Distribution of
articles with CE domains
678 M. Gowsiga et al.

Fig. 3 R-imperatives of the building sector referred to in articles

Following the above descriptive analysis, Fig. 4 displays the distribution of

building lifecycle stages considered in the selected articles. Thirteen out of 35 articles
have not focused specifically on a particular lifecycle stage of building, whilst 22
articles have focused on at least one of the building lifecycle stages. Six of these 22
studies focused on almost all the stages of the building lifecycle, whilst two articles
focused on the design, construction, and end-of-life stages, and five articles focused
on both the design and construction stages. However, other articles focused only on
one of the lifecycle stages: four articles about construction, two about design and
use, and one on the end-of-life stage.
Figure 5 displays the distribution of the focus of the articles in terms of materials,
waste, energy, or carbon emissions. As seen from Fig. 5, generally, studies have
considered materials and waste to discuss CE implementation in the building sector.

Fig. 4 Building lifecycle

stages referred to in articles
Circular Economy Strategies for Enhancing the Sustainable … 679

Fig. 5 Scope of the area covered in articles

Energy is also considered adequate, as 27 out of 35 studies mention it. However,

carbon emissions are only mentioned in about one-third of the selected papers.

3.2 Strategies of Circular Economy for Building Sector

CE is defined as an economic system that aims to facilitate sustainable development

by substituting the end-of-life concept, using various R-imperatives (or resource
loops) at all three levels (micro, meso, and macro) of the built environment, and
employing effective strategies for the use of resources through the whole life cycle
of the system” [24]. Further, the authors explained that CE principles in the building
sector are required to achieve the objective of CE, which is substituting the end-of-
life concept, and CE strategies are the tool to achieve the CE principles. Accordingly,
the strategies for the building sector in 86 CE that make the CE principles practically
possible were summarized with their descriptions in Tables 1 and 2, indicating which
of the 17 R-imperatives (CE principles) and phases of the building material life cycle
each strategy applies to.
In addition, materials and waste are taken into account in all of the studies that
were chosen for this study, as shown in Fig. 5. This remained true when the CE
strategies were analysed. According to Fig. 5, less than one-third of studies are
concerned with carbon emissions, and even fewer studies involve carbon emissions
in the discussion of CE strategies. Gallego-Schmid et al. [22] discussed the potential
carbon benefits of combining design for disassembly with material optimisation
to reuse building materials. For example, reusing concrete-based floor slabs, core
walls, roof slabs, columns, and beams twice or three times throughout a building’s
life can reduce material-related carbon emissions by 25–60% compared to using
original materials. Further, material substitution may be a better way to reduce carbon
680 M. Gowsiga et al.

Table 1 Strategies of circular economy for building sector

No CE strategies Description Sources
S1 Adaptability and The ability to be changed or evolve to fit changed [2, 4, 8, 15, 19,
flexibility circumstances 21–23, 26,
31–32]
S2 Allow for Substitution of a product by a non-material [3, 17, 24]
dematerialisation alternative with the same utility for users
S3 Analyse the Evaluate the potential of materials for reuse and [12]
potential of recycling
materials
S4 Application of Use the latest technologies and techniques to [4, 5, 7, 8,
modern techniques reduce raw resource consumption 15–16, 21,
and technologies 28–29, 33, 35]
S5 Application of smart Using digital tools to make maintenance more [17]
maintenance efficient
S6 Building layer Differentiates the various elements that constitute [5]
concept a building and their different lifespans
S7 Certain instructions Comprehensive guidelines for material reuse, [2, 3, 12, 21,
for material recycling, and reclamation 26, 28]
circularity
S8 Collaboration of Involvement of stakeholders in exchanging [2, 15, 26]
stakeholders information and communication among them
S9 Development of Database with a series of data describing the [11, 12, 19, 21,
material passport characteristics of the building’s elements 26]
S10 Design for A design that accommodates evolving demands [2, 5, 8, 11, 12,
adaptability/ and maximises value throughout 14, 23, 31]
flexibility
S11 Design for Design that creates products that will be loved, [14]
attachment and trust liked, or trusted longer
S12 Design for a Design products for the biological cycle not for [14]
biological cycle the technical cycle
S13 Design for Design that makes it easy to connect any [14]
compatibility firmware version with any hardware
S14 Design for re-/ Design that allows neat disassemble of [2, 7, 10, 11,
deconstruction components and materials 15, 18, 19, 21,
28, 30]
S15 Design for Design that facilitates to be reversible, and [3, 5, 7, 10–19,
disassembly dismantled connections and elements 23, 29, 31, 32]
S16 Design for Design that enables a product to endure physical [14, 17, 28, 32]
durability damage for a long time
S17 Design for ease of Design that reduces the difficulties and costs [14, 17, 31, 32]
maintenance and associated with maintaining product
repair
S18 Design for Design that allows components to be chosen [17]
interchangeability randomly for assembly and then fitted together
within the required tolerances
(continued)
Circular Economy Strategies for Enhancing the Sustainable … 681

Table 1 (continued)
No CE strategies Description Sources
S19 Design for longevity Design that takes into consideration the [17]
psychological (emotional bond) and physical
(quality, durable workmanship, good fit) aspects
that influence a product’s life
S20 Design for Design the components of the product to be [30–32]
manufacture and produced with minimal effort, and make the final
assembly product’s assembly as simple as possible
S21 Design for Design that ensures the minimum waste is [2, 3, 8, 9, 12,
modularity generated during construction processes by 17, 22, 28, 32]
emphasising the modularity of components
S22 Design for Stimulates the search for multiple functions and a [17, 29]
multi-functional use maximum combination of functions that can best
be served by the design
S23 Design optimisation Design to achieve weight reduction through [13]
shape and size modifications and optimal use of
materials to meet the design requirements
S24 Design for Design that allows assemblies that are [23]
prefabrication manufactured under factory conditions and
assembled onsite
S25 Design for Design that facilitates the dismantled connections [14, 17]
reassembly and elements to assemble again
S26 Design for Design the products or elements that can be [19, 23, 28, 31]
recyclability recyclable over multiple use cycles
S27 Design for Design that ensures the performance of a [14, 17, 28, 32]
reliability specified function within a given environment for
the expected lifecycle of a product
S28 Design for reuse Design the products or elements that can be [17, 19]
reused over multiple use cycles
S29 Design for Design to enforce a level of consistency or [2, 3, 8, 14, 17,
standardisation uniformity to certain practices or operations 19, 28, 32]
within the selected environment
S30 Design for It is a holistic design approach to the activities [2]
sustainability that emphasise the well-being of people and the
environment as the outcome
S31 Design for Design of material and energy resources to [14]
technological cycle achieve the highest levels of efficiency with the
technical and/or technological usage and
transformation
S32 Design for Design products that are capable of being [14, 17, 32]
upgradability adapted to future enhancements of product
performance and functions
S33 Design out waste Design that facilitates the zero waste [2, 3, 5, 8, 10,
28]
(continued)
682 M. Gowsiga et al.

Table 1 (continued)
No CE strategies Description Sources
S34 Easy for repair, Materials or products that are simple to maintain, [2, 8, 24, 27]
maintenance, and repair, and update
upgrade
S35 Effective schedule Prepare and follow an appropriate schedule to [11]
to monitor material track the material flow
usage
S36 Efficient Lowering the expenses and resources needed and [3, 10, 16, 22,
management of waste produced 26, 35]
resources and waste
S37 Encourage material Simplify the connections of material for easy [17, 21]
separability separability
S38 Enhancement of Enact and follow better regulations (e.g. [9, 25]
regulations Pay-As-You-Throw)
S39 Enhance Strengthen the management and supervision of [6, 9]
supervision and material consumption and waste handling
management
S40 Facilitate material Ensure material recycling or remanufacturing [2, 7, 9, 15, 21,
recovery/ back into the same product 27, 32]
reprocessing
S41 Generate predictive Make predictions about future events using [35]
data analytics historical data mixed with statistical modelling,
data mining, and machine-learning approaches
S42 Handling waste at Use proper technique for onsite sorting, and [2, 10]
the source waste collection procedure
S43 Increase the Strengthen the quality of material/product to [2, 3, 13, 16,
durability of increase the life span 19, 28, 32]
material/product
S44 Introduction of Establishing a financial incentive or reward [6, 10, 17, 25]
economic incentive/ scheme (e.g. construction waste disposal
reward scheme charging scheme or stepwise incentive system)
S45 Maintaining the Management and access to information including [2, 3, 7, 11, 21,
detailed component details, metrics, technical drawings, 25, 26]
specification of pictures, etc
materials
S46 Material flow Evaluate the status of material along the material [7, 12, 21, 22,
analysis flow 35]
S47 Material Replacement of materials with sustainable [13, 16, 22, 27,
substitution alternatives for the current ones 32]
S48 Minimal Reduce the need for maintenance as much as [2, 8, 32]
maintenance possible
S49 Minimise composite Use fewer materials that combine more than two [21]
materials materials with different physical and chemical
properties
(continued)
Circular Economy Strategies for Enhancing the Sustainable … 683

Table 1 (continued)
No CE strategies Description Sources
S50 Minimise hazardous Use less hazardous and toxic materials as much [2, 3, 19, 21,
and toxic materials as possible 28, 32]
S51 Optimise the use of Optimise/minimise the use of material and energy [2, 13, 21, 25,
resources 27, 32]
S52 PDCA cycle-based Manage the material follow effectively using a [10, 21, 25, 29,
management plan to check and act on cycle 33]
S53 Preventive Minimise recuperative maintenance with [3, 12, 19, 21,
maintenance actions preventive maintenance 29]
S54 Procure used / Choose and reuse existing materials or repairable [2, 8, 22, 27,
repairable material/ material/ component 28, 29, 31, 32]
component
S55 Procurement Change the procurement process (e.g. Green [2, 9]
transformation Procurement)
S56 Product service Offer the product as a service including hired/ [7, 11, 24]
system (PSS) shared/refunded-deposit products/ return for
service under contract or dispose
S57 Proper material Use better material storage techniques (e.g. just [32]
storage in time)
S58 Raising awareness Increase the level of awareness and provide [9, 11, 19, 25,
and offering training training to improve the practices 26, 29]
S59 Reduce the number Simplification of the products [2, 17, 21]
or types of
components
S60 Reduce the product Lessen the usage of purchased products and use [17, 29]
usage and utilise it them with more care and longer
more carefully and
thoroughly
S61 Renewable energy Using renewable energy sources or material [3, 11, 16, 25,
and material sources sources (solar, biomass) 26–29, 32]
S62 Reuse and recycling Reuse and recycle the materials [3, 8, 22, 27]
of building materials
S63 Selective demolition Selective dismantlement of building materials/ [2, 7, 10, 12,
or deconstruction components to increase their lifespan 13, 15, 19, 21,
27, 26]
S64 Sharing of product/ Share the product/component [3, 8, 17, 20,
component 24, 28, 29, 32]
S65 Take back scheme/ Return the products from end users back to either [2, 3, 8, 28]
reverse logistics the retailer or manufacturer
S66 Tender specification Detailed tender specifications with circular [34]
with circular options alternatives
S67 Use of bio-based or Use materials that are to be safely returned to the [15, 23, 24, 27,
biodegradable biosphere 29, 31, 32]
materials
(continued)
684 M. Gowsiga et al.

Table 1 (continued)
No CE strategies Description Sources
S68 Use of durable Use materials and components with high quality [22, 27, 28, 32]
material/ and long-life span
components
S69 Use eco-design OR Use environmentally friendly and smart designs [2, 8, 19, 25,
smart design 33]
S70 Use eco-labelled Use authorised environmentally friendly [28, 32]
materials materials
S71 Use of disassembled Use materials/components that can be dismantled [17, 27, 26, 32]
materials/ easily
components
S72 Use of hybrid Use of materials or parts that are bio-based, [15]
system solutions technical, and/or reused
S73 Use less or Reduce, or emission-intensive transportation as [1, 13, 35]
emission-intensive much as possible
transportation
S74 Use of lightweight Use the material/component with lightweight [17, 21, 28, 29]
materials and
components
S75 Use of local material Use locally available material [13, 25, 26, 29,
31, 32]
S76 Use of low-carbon Use materials/technology that have low-carbon [16, 26, 29]
materials and emission
technologies
S77 Use of modular Construct with standardised units or dimensions [5, 13, 21, 22,
elements or for flexibility and variety in use 25, 26, 29, 32]
components
S78 Use prefabricated Use materials, components, or elements that are [2, 5, 7–10, 12,
materials/ manufactured off-site 19, 21, 23, 24,
components/ 26, 29, 30, 32,
elements 35]
S79 Use of reclaimed or Use elements or components that were [5, 28]
remanufactured remanufactured or reclaimed
elements
S80 Use of recycled Use materials that can be recycled [1, 2, 13, 15,
materials 22, 27–29]
S81 Use of recyclable Use materials that can be recycled [3, 19, 27–29,
materials 32]
S82 Use reusable Use materials that can be reused [2, 3, 7, 12–14,
materials 15, 21, 27–29,
31–32]
S83 User behaviour and Change of use of materials, by giving it [11, 12, 17]
ownership ownership to the manufacturers to reuse the
materials after the end of life of the first building
(continued)
Circular Economy Strategies for Enhancing the Sustainable … 685

Table 1 (continued)
No CE strategies Description Sources
S84 Virtualise Use the latest technology (e.g. BIM, digital twin) [4, 7, 8, 10, 12,
information using to virtualise the information 21, 26, 29]
the latest technology
S85 Waste minimisation Set of processes and practices intended to reduce [2, 3, 8, 12, 17,
the amount of waste produced 22]
S86 Zero-waste strategy Keeping waste out of landfills and encouraging to [7, 15, 17]
produce and consume less waste
[1]—Nasir et al. [42], [2]—Adams et al. [1], [3]—Cayzer et al. [14], [4]—Swift et al. [57], [5]—
Mangialardo and Micelli [36], [6]—Huang et al. [29], [7]—Akanbi et al. [2], [8]—Chang and Hsieh
[15], [9]—Esa et al. [21], [10]—Ruiz et al. [53], [11]—Anastasiades et al. [7], [12]—Benachio
et al. [11], [13]—Gallego-Schmid et al. [22], [14]—Jansen et al. [31], [15]—Kanters [33], [16]—
Mercader-Moyano and Esquivias [38], [17]—Morseletto [40], [18]—Sanchez et al. [54], [19]—
Akhimien et al. [4], [20]—Antonini et al. [9], [21]—Bertino et al. [12], [22]—Cimen [16], [23]—
Dams et al. [18], [24]—Kosanovic et al. [34], [25]—Marika et al. [37], [26]—Rahla et al. [48]; [27]—
Rahla et al. [49]; [28]—Wijewansha et al. [59], [29]—Torgautov et al. [58], [30]—Al-Obaidy et al.
[5]; [31]—Dabaieh et al. [17]; [32]—Eberhardt et al. [19], [33]—Huang et al. [28], [34]—Ruiter
et al. [52], [35]—Spisakova et al. [56]

emissions compared to reusing some materials. Although 27 out of the 35 studies

in Fig. 5 take energy into account, far less attention is given to energy when talking
about CE strategies. The amount of energy utilised throughout the building process
and also in the production of construction materials is crucial [38]. Another study by
[59] acknowledges renewable energy as a CE’s principal source of energy, lowering
its dependence on fossil fuels for energy production. Further authors mentioned that
construction requires a significant amount of energy, as does the process of obtaining
and producing building materials.
Table 2 clearly shows that CE strategies provide significantly greater attention
to reduce, reuse, and recycle with more than 20 strategies, which is confirmed in
Fig. 3 and which implies the necessity to pay attention to the other 14 R-imperatives.
Retain, return, retrofit, reverse, and recondition were not available in Fig. 3, whilst
according to Table 2, refuse, renew, and reverse got the least attention in the CE
strategies. The categorisations are based on direct mentioned by various authors and
authors’ best judgement after careful reading. The direct mentions are shown in black
colour and authors’ interpretations are shown in red colour.
Further, the majority (more than half) of the strategies used in the material lifecycle
are related to the design phase and the manufacturing phase, but according to Fig. 4,
although the design phase got the second largest percentage (26.4%), manufacture
got the least attention with just 7.5%. In the case of construction, which got the
highest attention in Fig. 4, it got fifth place within these six material lifecycle stages
with one-third of total CE strategies. According to Fig. 4, the use and maintenance
stages are followed by the end-of-life stage, yet in Table 2, the order is reversed.
Furthermore, when looking into these CE strategies, the CE strategies are inter-
connected with one another, irrespective of the stage at which they are applied. In
Table 2 The CE strategies (in Table 1) with CE principles and stages of building material life cycle
686

CE strategies R-imperatives Lifecycle stages CE strategies R-imperatives Lifecycle stages

A B C D E F A B C D E F
S1 R6, R14 Y Y Y Y Y S44 G Y Y Y Y Y Y
S2 R5, R17 Y Y S45 G, R6, R7, R14 Y Y Y Y Y Y
S3 G Y Y S46 G Y Y Y Y Y Y
S4 G Y Y Y Y Y Y S47 R5, R6, R14, R15, R16, Y Y Y Y
R17
S5 G, R6, R8 Y S48 R6, R8 Y
S6 R6, R7, R14, R17 Y Y Y Y Y S49 R6 Y Y Y Y
S7 G Y Y Y S50 R6 Y Y Y Y
S8 G Y Y Y Y Y Y S51 G Y Y Y Y Y Y
S9 R7, R9, R11, R12, R13, Y Y Y Y Y Y S52 G Y Y Y Y Y Y
R14, R15, R16
S10 R7, R8, R9, R10, R11, R12, Y Y S53 R2, R6, R8 Y
R13
S11 R7, R8, R9, R10, R11, R12, Y S54 R7, R8 Y
R13
S12 R14, R15, R16, R17 Y Y S55 G Y
S13 R7, R8, R9, R10, R11, R12, Y Y S56 R6, R10, R11, R12, R13, Y Y
R13 R14
S14 R7, R14, R15, R16 Y Y Y S57 G Y Y Y Y Y
S15 R7, R13 R14, R15, R16, Y Y S58 G Y Y Y
R17
(continued)
M. Gowsiga et al.
Table 2 (continued)
CE strategies R-imperatives Lifecycle stages CE strategies R-imperatives Lifecycle stages
A B C D E F A B C D E F
S16 R6, R7, R8, R9, R10, R11, Y S59 R6 Y Y
R12, R13
S17 R6, R7, R8, R9, R10, R11, Y Y S60 G Y Y Y
R12, R13
S18 R8, R9, R12, R13 Y S61 R3, R15 Y Y Y Y
S19 R1, R2, R6 Y Y S62 R7, R14 Y
S20 R11, R12, R13 Y Y S63 R7, R12, R13, R14, R15, Y Y Y Y
R16
S21 R6 Y Y S64 R1, R2, R6, R7 Y Y Y
S22 R1, R2, R6 Y S65 R4, R7 Y Y
S23 R5, R6 Y S66 G Y
S24 R6 Y Y S67 R16 Y Y Y
S25 R14, R15, R16, R17 Y Y S68 R6, R7 Y Y Y
Circular Economy Strategies for Enhancing the Sustainable …

S26 R14 Y S69 G Y

S27 R6, R7, R8, R9, R10, R11, Y S70 G Y Y Y
R12, R13, R14
S28 R7 Y S71 R1, R2, R6, R7 Y Y
S29 R6, R7, R8, R9, R10, R11, Y Y S72 G Y Y Y
R12, R13, R14
S30 G Y S73 R14, R15, R16, R17 Y Y Y Y Y
S31 R14, R15, R16, R17 Y Y S74 R6 Y Y Y Y
(continued)
687
Table 2 (continued)
688

CE strategies R-imperatives Lifecycle stages CE strategies R-imperatives Lifecycle stages

A B C D E F A B C D E F
S32 R7, R8, R9, R10, R11, R12, Y Y S75 R6 Y Y Y Y
R13
S33 R2, R6 Y S76 R14, R15, R16, R17 Y Y Y Y
S34 R8, R9, R10, R11 Y Y Y S77 R6 Y Y Y
S35 G, R7, R14 Y Y Y Y S78 R6 Y Y Y Y
S36 G Y Y Y Y Y Y S79 R7, R12 Y Y Y
S37 R12, R13, R14, R15, R16 Y Y Y Y S80 R14 Y Y Y Y
S38 G Y Y Y Y Y Y S81 R14 Y Y Y Y
S39 G Y Y Y Y Y Y S82 R7 Y Y Y Y Y
S40 R15 Y Y S83 G Y
S41 G Y Y Y S84 R17 Y Y Y Y Y Y
S42 G Y Y Y S85 R6 Y Y Y Y Y
S43 R1, R2, R6, R7 Y Y S86 G Y Y Y Y Y Y
[A]—design/redesign; [B]—manufacture; [C]—material selection and procurement; [D]—construction; [E]—use and maintenance; [F]—end of life and
recover; [R1]—retain; [R2]—refuse; [R3]—renew; [R4]—reverse; [R5]—rethink; [R6]—reduce; [R7]—reuse; [R8]—repair; [R9]—retrofit; [R10]—refurbish;
[R11]—recondition; [R12]—remanufacture; [R13]—repurpose; [R14]—recycle; [R15]—recover; [R16]—return; [R17]—replace; [G]—general strategies;
[Y]—available; Roman—available in existing studies; Italic—authors’ contribution
M. Gowsiga et al.
Circular Economy Strategies for Enhancing the Sustainable … 689

terms of design principles, design for adaptability (DfA) and design for disassembly
(DfD) are well-established ideas in both the manufacturing and building sectors [18].
The way a product is designed becomes crucial to close material loops, and these two
strategies for design overlap with one another [7]. Further authors stated that DfA
and DfD make it easier for products to be repaired, reconditioned, and refurbished
to keep them in use for as long as possible. This will result in a longer lifetime for
the product, which will result in less consumption. Gallego-Schmid et al. [22] high-
lighted that the DfD is a critical approach to facilitating material reuse, including the
creation of methods to estimate possible reductions in carbon emissions. Accord-
ingly, DfA is used during the design phase to keep focus on the use and end-of-life
stages, for instance, it enables the building to be enlarged horizontally or vertically
and DfD ensures that the various materials can be readily separated for recycling
[18]. Therefore, DfA can support the “easy for repair, maintenance and upgrade”
strategy of the use stage, and DfD is associated with the “material recovery and
reprocessing” strategy of the end-of-life stage. Similarly, Kanters [33] concluded
that design for deconstruction (DfDe) enhances the flexibility of buildings. In DfDe,
each building is viewed as a storehouse for resources that, at the end of their useful
lives, should find their way back rather than being disposed of. A deconstruction plan
is required to enable the deconstruction activities to be successful, which could be
related to the strategy of “appropriately managing change using the PDCA cycle” or
“development of a material passport” [12]. Further, Gallego-Schmid et al. [22] say
that deconstruction activities must be carried out by skilled deconstruction experts,
which could be raised by the strategy “Raising the level of awareness and providing
training”.
It is crucial to recognise that in addition to the relatively easy product design, the
success of the CE also heavily depends on the less easily controllable user’s behaviour
[7]. Most consumers are ignorant of the adverse effects of their purchase patterns
and refuse to accept responsibility for changing them. This uncertainty necessitates
re-evaluating the CE’s ownership idea, and it is offered to the end user as a service.
Furthermore, this provides the manufacturer with an incentive to engage in more
intelligent product design, such as DfA and DfD, and to produce higher-quality
products. On the other hand, the “introduction of economic incentive or awarding
schemes” can be used to change the behaviour such as disposal charging schemes
that encourage waste producers to prioritise CE principles over disposal, as they can
reduce disposal costs [53]. Further Morseletto [40] mentioned that multiple tactics
can be used to promote desirable behaviours, such as implementing durability stan-
dards, extending warranty periods, ensuring producers’ accountability, or promoting
zero-waste products whenever feasible. Accordingly, specific targets can also be
used in conjunction with legislative (e.g. laws, regulations) and semi-legislative (e.g.
standards’ guidance, recommendations) or market-based (e.g. taxes, liabilities) and
non-market-based instruments (e.g. reporting, voluntary approaches). Materials can
be divided into two categories: technical (intended to be reused at the end of the
product life cycle) and bio-based (generally non-toxic, to be safely released back
into the biosphere or placed through a cascade of successive uses) [59]. Sustainably
managed bio-based materials can offer a renewable supply chain and reduce carbon
690 M. Gowsiga et al.

emissions through the natural processes of bio-material sequestering carbon, thus

locking carbon into constructed buildings [18]. Here, the CE strategies of “minimise
hazardous and toxic materials,” “use of bio-based or biodegradable materials,” and
“design for a biological cycle” are interrelated.
The CE strategy and application of modern techniques and technologies are cited
in twelve articles, but each of them discusses the same as well as different tech-
niques or technologies. For instance, in the case of technologies, Adams et al. [1]
discussed off-site technologies, whereas Torgautov et al. [58] discussed eco-friendly
technologies, Mangialardo and Micelli [36] and Spisakova et al. [56] studied modern
construction techniques, and Bertino et al. [12] discussed digital twins. Then talk
about technologies: many studies discussed building information modelling (BIM),
Spisakova et al. [56] discussed the Internet of Things (IoT), geographic information
systems (GIS), and radio frequency identification (RFID). In addition to these tech-
niques and technologies, innovative methods must be applied throughout the whole
building life cycle to make CE practically feasible. Further, CE supports these kinds of
innovative strategies, and much more innovation in this field is needed. Although this
strategy relates directly to the latest technology, a few other strategies also indirectly
relate to it. This implies the necessity of adopting the latest technology to achieve CE
in the building sector. For example, using easily accessible RFID and BIM data can
improve building adaptability, flexibility, and reuse of building materials or compo-
nents through the ability to store useful data, including the site’s location (country
and building), owner of the component or assembly, type of component, the material
used in construction, historical information about the component, dates of installa-
tion and removal, design standard, manufacturer, and its maintenance history [12].
Similar to this, there are already planning and execution strategies intended to take
building deconstruction into account. For instance, BIM is a method for optimising
the planning, construction, and management of buildings that includes all informa-
tion relating to their lifecycles and connects all the actors in the building process
along the different stages of the supply chain [12]. The authors further stated that
this consequently enables figuring out the building’s potential for deconstruction
from the beginning of the design process, preventing demolition after the end of the
lifecycle. In addition, Akanbi et al. [2] and Spisakova et al. [ 56] highlighted BIM
as an information and communication tool for effective waste management in the
building sector.

4 Conclusions

In this study, the current state of knowledge regarding the use of CE strategies within
the building sector was investigated. This study was a continuation of the previous
study of the authors [25], titled a systematic literature review on CE principles for
the building sector, and a condensed list of 17 CE principles (R-imperatives) was
derived with a logical link between the three popular domains of CE principles,
including CE loops, the ReSOLVE model, and the R-framework (R-imperatives). A
Circular Economy Strategies for Enhancing the Sustainable … 691

critical review carried out on 35 peer-reviewed scholarly articles retrieved through

the systematic review using the PRISMA tool indicated that few of the studies (11
out of 35) represented the CE domain, and seven of these 11 studies discussed R-
imperatives, which indicates that R-imperatives have received more attention in CE
strategies applicable to the building sector. Within those seven, reuse was considered
in all seven articles, whilst 14 (of 17) R-imperatives were focused on less than or
equal to three. Further, five of the 17 R-imperatives, including retain, return, retrofit,
revere, and recondition, were not considered in any of the studies. It shows the
necessity of studies that discuss the CE strategies of the building sector concerning
each R-imperative of the building sector. In addition, although almost all the studies
describe the same building material’s lifecycle stages, there are some differences in
the way they are interpreted. To avoid confusion, this study adopts the stages that
materials pass through in a typical material lifecycle: design or redesign, manufacture,
material selection and procurement, construction, use and maintenance, end of life,
and recovery. Moreover, the review provided a list of 86 CE strategies applicable to
the building sector. Of the 86 strategies, most of the study contexts (over 12 out of
23) have identified few R-imperatives, including reduce, reuse, recycle, and reuse,
whereas strategies towards retention and refuse are largely missing, although they are
considered critical for the transition towards a CE. Furthermore, the CE strategies are
interconnected with one another, irrespective of the stage at which they are applied.
Most of the strategies focused on end of life and design, and to a lesser extent, the use
stage. Technology plays a major role in CE strategies, both directly and indirectly,
which underscores the necessity of technology for CE implementation. All selected
studies considered materials and waste for CE strategy formation, while carbon and
energy received much lesser focus on this. Thus, it is recommended to focus on carbon
reduction and energy consumption to formulate CE strategies, and attention should
also be given to other stages of the material flow except for design, material selection
and procurement, manufacturing, and all other R-imperatives in the building sector.
A detailed understanding of strategies provides useful insights for the stakeholders
in the building sector to promote the transition towards CE in the building sector.
Author Contributions Authorship must be limited to those who have made a substantial contribu-
tion to this manuscript. M. Gowsiga contributes to conceptualization, methodology, analysis, draft
preparation, manuscript editing, and visualisation. T. Ramachandra, P. Sridarran, N. Thurairajah, and
N. D. Domingo contribute to draft preparation, manuscript editing, visualisation, and supervision.
All authors have read and agreed with the manuscript before its submission and publication.
Funding This research received no specific financial support from any funding agency.

Ethics Statement Not applicable.

692 M. Gowsiga et al.

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Factors Influencing Circular Economy
Adoption in the South African
Construction Sector

Kenneth Otasowie, Clinton Aigbavboa, Ayodeji Oke, and Peter Adekunle

1 Introduction

Circular economy (CE) has been propagated by the European Union (EU), and
governments of nations, which includes those of Japan, China, the UK, Canada,
France, Sweden, Finland, and the Netherlands, together with numerous enterprises
across the globe. Based on an assessment conducted by the European Commission,
the manufacturing sector of the EU might make an annual gain of up to 600 billion
euros from economic reforms associated with CE [14, 17]. Estimations provided
by the Finland Independence Celebration Fund (FICF, SITRA) and Mckinsey [19]
show that CE will benefit the national economy of Finland annually by 2.5 billion
euros. CIRAIG [8] opined that in 2008, China became the first country globally to
enact a law governing CE. As a strategy for growth is consistent with sustainability
and economic advancement, CE is advised [39]. The concept of CE can be summed
up as an economic model that focuses on maximizing the efficiency of resources
through value retention, the reduction of waste, the reduction of primary resources,
and closed-loop production for items, component parts, and materials while main-
taining socioeconomic and environmental protection. A CE might result in sustain-
able development while separating economic expansion from the detrimental effects
of depletion of resources and environmental damage [3, 22].

K. Otasowie (B) · P. Adekunle

Faculty of Engineering and the Built Environment, cidb Centre of Excellence and Sustainable
Human Settlement and Construction Research Centre, University of Johannesburg,
Johannesburg 2092, South Africa
e-mail: [email protected]
C. Aigbavboa · A. Oke
Faculty of Engineering and the Built Environment, cidb Centre for Excellence & Sustainable
Construction Management and Leadership in the Built Environment, University of Johannesburg,
Johannesburg, South Africa

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 695
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_43
696 K. Otasowie et al.

The traditional and current “extract-produce-use-dump” paradigm for energy and

material flow of the contemporary economic system is not sustainable. An alternate,
cyclical flow model for the economy is provided by CE [14]. Since the beginning
of industrialization, the idea of material cycles has existed. Desrochers [11] posited
that the idea has also been used in practice, asserting that it reduces detrimental
environmental consequences and opens up new opportunities for business right from
the start of industrialization. However, the whole development has been controlled
by the linear consumption flow paradigm, significantly hurting the environment.
Unlike conventional recycling, the realistic regulations and business-focused CE
strategy lay emphasizes on product, material, and component reuse, refurbishment,
remanufacturing, repair, upgrading, and cascading, as well as the use of wind, solar,
biomass, and waste-derived energy, all through the value chain of products and
life cycle [14]. Hence, several studies have attempted to look up the concept by
conducting literature reviews that expand knowledge on CE in an attempt to promote
the paradigm shift. For example, the reuse, reduce, and recycle (3Rs) taxonomy,
value creation along the supply chain [38], and circular business models [5, 27] are
a few research that has covered these topics. Much study has recently focused on
clarifying the CE as a paradigm, its relationship to sustainable development, and the
many ideas that characterize it [21, 25]. Despite using various approaches, each of
these investigations has the same objective.
Without a doubt, the environmental strategy of whoever adopts CE will benefit
from its implementation [29], and it will also likely result in an excellent economic
strategy [46]. Thus, some sectors are already adopting and implementing its prin-
ciples. According to Eberhardt et al. [13], methods for CE are being created and
implemented more in the construction sector now, although the process has been
inconsistent and lacks a widely accepted or set direction. It is important to note
that as economic development increases, the world has started to pay more attention
to sustainability and the environment. The construction sector attracts much atten-
tion since it uses many resources and energy and has a significant environmental
impact. The construction sector, as opined by Majdalani et al. [28], is critical because
it supplies the infrastructure and services that affluent nations require to continue
economic growth. This growth comes at a cost since it depletes natural resources,
harming the environment and all living beings. The status of the environment is
one of the most often contested topics at local, national, and international levels
[2]. According to Du Plessis [12], the construction sector has a particularly harmful
environmental impact in developing nations such as South Africa. This is owing
to emerging countries’ low degree of industrialization and continuous construction
activities.
The construction industry uses a large quantity of non-renewable natural
resources. Thus, the end-of-life phase of construction projects is considered the
least sustainable, considering how much waste the demolition process produces [9].
Furthermore, the environment is a significant source of construction materials such as
aggregates, sand, and wood. According to research, building construction consumes
25% world’s virgin timber, and 40% of raw stones, gravel, and sand each year [2,
40]. In addition, it consumes 16% of water and 40% of the energy used in a year.
Factors Influencing Circular Economy Adoption in the South African … 697

The enormous increase in energy consumption, as well as the use of finite fossil
fuel resources for the purpose of construction, has had an impact on CO2 emissions.
Sterner [41] revealed that the construction industry is the principal cause of environ-
mental damage owing to its high energy demand for home heating and electricity.
Most of this energy is produced from non-renewable resources such as coal and
petroleum-based goods. Hence, the industry is responsible for widespread deforesta-
tion, particularly in developing countries. Timber, for example, is mainly extracted
from natural forests for construction and to create the energy required to manufac-
ture building components. According to Kibert [24], around 0.8 ha of rainforest are
destroyed each second due to deforestation worldwide. As a result, around 1.8 billion
tons of CO2 are emitted yearly. Additionally, cutting down trees and their roots can
cause avalanches and landslides. Other indirect effects include desertification, silta-
tion of waterways, loss of biodiversity, and soil erosion. Large-scale deforestation
alters rainfall patterns by changing the energy and temperature of the earth’s surface
and the rate at which surface water is absorbed. Furthermore, construction activities
that result in the formation of structures like houses, roads, and dams [2, 36] irre-
versibly modify critical farmland and forests. Other activities that contribute to land
loss include quarrying and mining for building raw materials, as well as the disposal
of waste created during construction.
Hence, CE is promoted in the construction industry as a low-cost practice of
converting resources into materials that may be utilized in other processes and
products [37]. It will address aspects like recycling resources, streamlining the
supply chain and the quantity of materials required, enhancing the planning and
design phase, and implementing new eco-friendly technology. So, it has a signifi-
cant chance of lowering carbon emissions and overall waste from the construction
sector. Bao et al. [4] opined that saving the value of buildings and their parts while
minimizing construction and demolition waste (C&DW) is the primary goal of CE.
This includes the whole life cycle of the building construction process, commencing
with building design, manufacture of building materials and components, building
usage, and demolition after use. According to Business in the Community (BITC)
[7], the following are a few prevalent CE uses in construction projects: reduced use of
materials made from carbon, use of fuel ash and crushed slag as cement substitutes,
the use of lighter materials, reuse of numerous smaller structures to create one larger
structure, usage of wooden components and façade from previous structures, use of
the modular construction approach using steel from older structures, the installation
of solar panels, the use of readily available biomaterials in the area, and the use of
PVC that has been completely recycled and recyclable from electric cable covers,
pipes, and hose, development on polluted soil. Considering the above-mentioned
prevalent CE use in construction projects and the fact that there is no study that
has identified the factors or rationale behind the use or adoption of CE in the South
African (SA) construction industry, this study seeks to evaluate the factors influ-
encing the adoption of CE in the country’s construction sector. To achieve this aim,
extant literature is reviewed to understand the factors influencing the adoption of
CE in the construction sector and then benchmarking the influencing factors in the
698 K. Otasowie et al.

SA construction sector. Based on the study’s findings, the influencing factors to CE

adoption in the SA construction sector will be proposed.

2 Method

The research adopted a post-positivist stance, rooted in quantitative research method-

ology, to investigate the factors influencing the adoption of Circular Economy (CE)
practices in the South African construction sector. Employing a questionnaire survey
as the primary data collection method, the study comprised two distinct segments.
The first segment of the questionnaire focused on gathering background data from the
participants, who were qualified construction professionals—engineers, architects,
quantity surveyors, and construction managers—with a minimum of five years of
industry experience. The study specifically targeted professionals operating within
the Gauteng Province, South Africa. Due to practical constraints, a convenience
sampling method was employed. A total of 145 questionnaires were distributed to
the construction professionals, and 97 completed responses were deemed suitable
for analysis. The second segment of the questionnaire aimed to address the identi-
fied factors influencing the adoption of Circular Economy practices within the South
African construction context. Participants were requested to assess the significance
of these factors using a five-point Likert scale, ranging from 1 (not significant)
to 5 (strongly significant). To ensure the reliability of the questionnaire, a Cron-
bach’s alpha test was conducted, yielding a robust alpha value of 0.826. This result,
surpassing the conventional cutoff point of 0.6, attests to the high reliability of the
questionnaire according to established standards [42]. In the subsequent data analysis,
standard deviation, percentages, mean item scores, one-sample t-test, and Kruskal–
Wallis tests were employed, following the methodology adopted by Otasowie and
Oke [33]. These statistical tools were instrumental in elucidating patterns and trends
within the collected data, providing a comprehensive understanding of the factors
influencing the adoption of circular economy practices in the South African construc-
tion sector. The study’s meticulous approach to data analysis, coupled with the vali-
dation of questionnaire reliability, enhances the credibility and robustness of the
research findings. This research contributes valuable insights into the dynamics of
circular economy adoption within the construction industry, particularly in the South
African context.

3 Results

The survey conducted in South Africa’s Gauteng Province involved the partici-
pation of construction professionals. The survey revealed a diverse representation
of the profession, with quantity surveyors leading the way at 28% involvement,
followed by engineers (22%), architects (20%), construction managers (18%), and
Factors Influencing Circular Economy Adoption in the South African … 699

project managers for construction (12%). In terms of educational background, a

significant majority of respondents (65.2%) held bachelor’s degrees. The subsequent
levels of education varied, with 6.9% holding certificates, 14.5% having master’s
degrees, and 13.4% possessing doctoral degrees. This distribution indicates a well-
educated sample, providing a solid foundation for comprehending the survey ques-
tions. The respondents collectively demonstrated substantial industry experience,
with an average working history of 8.4 years. This extended period in the field
suggests a seasoned group of professionals, adding credibility to their responses.
The findings underscore that the study’s target respondents, namely construction
professionals, were not only adequately represented but also possessed the neces-
sary educational background and professional expertise to provide informed answers
to the survey questions [34]. The depth of professional experience among the respon-
dents further enhances the reliability and depth of insights derived from the survey
results.
The investigation employed a one-sample t-test to assess the perceived importance
of specific factors among respondents. A comprehensive analysis of respondent views
was conducted by tabulating the mean rank for each factor. The significance level,
set at the customary 95% threshold following [35], deemed a factor significant if it
achieved a mean rating of 3.5 or higher on the five-point Likert scale. Tables 1 and 2
outline the factors identified as influential in the adoption of circular economy (CE)
within the South African construction sector. In Table 2, the observed data mean is
accompanied by the standard deviation. In instances where multiple factors shared
the same mean, priority ranking was assigned based on the factor with the lowest
standard deviation, following the methodology suggested by [18]. The results of the
one-sample t-test are presented in Table 1, offering insights into the significance of
each factor. This approach provides a robust understanding of the factors shaping
perceptions and influencing the adoption of CE in the South African construction
industry.
Analyzing the p-values (significance—two-tailed) for each factor as outlined in
Table 1, it is evident that respondents collectively expressed a consensus on the
significant impact of certain listed factors on the adoption of CE in the South African
construction sector. Simultaneously, some factors did not attain statistical signifi-
cance. For each factor, the evaluation involved two distinct outcomes: one aligned
with the null hypothesis (H0: U = U 0 ), indicating no significance, and the other
corresponding to the alternative hypothesis (Ha: U > U 0 ), signifying significance.
Here, the population mean (U 0 ) was predefined at 3.5. To delve further into the
statistical outcomes, the p-values corresponding to a one-tailed test are elucidated in
Table 2. This presentation followed a multiplication by half of the original p-value
from Table 1.
The results show that potential business opportunity is the highest-ranked and the
most significant influencing factor to CE adoption in the SA construction sector (MIS
= 4.85, SD = 0.43). This was followed by production of waste (MIS = 4.74, SD =
0.32); exploitation of resources (MIS = 4.57, SD = 0.31); production of greenhouse
gases (MIS = 4.45, SD = 0.33); contribution to pollution (MIS = 4.33, SD = 0.34);
and climate change (MIS = 4.32, SD = 0.52). Others such as loss of edaphic soil (MIS
700 K. Otasowie et al.

Table 1 One-sample test for factors influencing circular economy adoption

95% confidence
interval of the
diff
Factors T Df Sig. (two-tailed) Mean diff Lower Upper
Contribution to pollution 6.963 96 0.000 0.778 0.743 0.815
Climate change 5.723 96 0.001 0.719 0.821 0.943
Deforestation 4.165 96 0.154 0.589 0.772 0.847
Habitat destruction 4.207 96 0.163 0.612 0.726 0.916
Potential business 12.193 96 0.000 0.713 0.715 0.871
opportunity
Reduce the availability of 4.501 96 0.157 0.654 0.816 0.956
arable land
Loss of marine life 4.291 96 0.169 0.732 0.745 0.837
Loss of edaphic soil 5.134 96 0.161 0.721 0.634 0.848
Removal of vegetation 4.370 96 0.146 0.662 0.751 0.817
Desertification 4.432 96 0.166 0.619 0.823 0.941
Production of greenhouse 7.511 96 0.000 0.784 0.748 0.862
gases
Exploitation of resources 9.112 96 0.000 0.723 0.853 0.973
Interference with the 4.081 96 0.153 0.788 0.647 0.783
ecosystem
Soil erosion 4.631 96 0.172 0.629 0.768 0.824
Production of waste 9.591 96 0.002 0.668 0.766 0.841
DF = Degree of freedom

= 3.32, SD = 1.17); soil erosion (MIS = 3.31, SD = 1.19); reduce the availability
of arable land (MIS = 3.30, SD = 1.22); desertification (MIS = 3.17, SD = 1.21);
removal of vegetation (MIS = 3.05, SD = 1.43); and loss of marine life (MIS =
2.96, SD = 1.25) ranked low and not considered significant factors influencing CE
adoption in SA construction sector.
Furthermore, an analysis was performed to assess the variation in responses
across diverse construction professions using the Kruskal–Wallis test. The obtained
p-values for all factors surpass the significance threshold of 0.05. This suggests that
concerning the factors influencing the adoption of circular economy practices in
the South African construction sector, there is no statistically significant difference
among participants’ responses. The detailed results are outlined in Table 3.
Factors Influencing Circular Economy Adoption in the South African … 701

Table 2 T-test summary showing factors influencing circular economy adoption

Factors t Sig. (one-tailed) x σx R
Potential business 12.193 0.000 4.85 0.427 1
opportunity
Production of waste 9.591 0.000 4.74 0.318 2
Exploitation of resources 9.112 0.000 4.57 0.307 3
Production of greenhouse 7.511 0.000 4.45 0.330 4
gases
Contribution to pollution 6.963 0.000 4.33 0.341 5
Climate change 5.723 0.000 4.32 0.523 6
Loss of edaphic soil 5.134 0.008 3.32 1.166 7
Soil erosion 4.631 0.009 3.31 1.189 8
Reduce the availability of 4.501 0.008 3.30 1.216 9
arable land
Desertification 4.432 0.008 3.17 1.212 10
Removal of vegetation 4.370 0.007 3.05 1.427 11
Loss of marine life 4.291 0.009 2.96 1.253 12
Habitat destruction 4.207 0.008 2.81 1.276 13
Deforestation 4.165 0.008 2.71 1.162 14
Interference with the 4.081 0.008 2.69 1.130 15
ecosystem
σ x = Standard deviation; x = Mean item score; R = Rank

Table 3 Test for

Factors P-values
Kruskal–Wallis showing
p-values for factors Potential business opportunity 0.060
influencing circular economy Production of waste 0.082
adoption
Exploitation of resources 0.051
Production of greenhouse gases 0.072
Contribution to pollution 0.070
Climate change 0.061
Loss of edaphic soil 0.083
Soil erosion 0.049
Reduce the availability of arable land 0.063
Desertification 0.087
Removal of vegetation 0.058
Loss of marine life 0.086
Habitat destruction 0.047
Deforestation 0.073
Interference with the ecosystem 0.092
702 K. Otasowie et al.

4 Discussion

From the study’s results, the most significant factor influencing the adoption of
CE in the SA construction sector is the business potential or opportunity provided
by the concept. This was further confirmed by the Kruskal–Wallis test conducted.
This study corroborates the position of EMF [15] that the ultimate goal of CE is to
produce many forms of value to improve the resource effectiveness and efficiency of
an economy in response to the mounting demand for natural resources. CE provides
business opportunities by modifying how economic value and the understanding of
items are addressed, It seeks to increase resource effectiveness and efficiency (by
shortening or lengthening energy and resource loops) and ultimately close energy
and resource flows [6, 10]. For instance, closing the loop in the supply chain for
goods and resources results in cost savings, resource resilience, alternative revenue
streams, and creative new products while also perhaps lowering consumption [16, 30,
32, 44]. By creating CE’s “closed loop” in the construction sector, entrepreneurial
circular economic activity within the sector may enhance economic development
while maintaining environmental sustainability.
Furthermore, entrepreneurship depends on seeing possibilities and creating busi-
nesses [45]. According to the knowledge-based perspective, new information could
provide the most significant competitive advantage [1]. Entrepreneurs’ decisions are
heavily influenced by differences in knowledge, their information emphasis, and
their attitude toward that information [23]. In addition, market failures give birth
to entrepreneurial possibilities, and environmental deterioration is one such market
failure. Market failures brought about by a lack of information can lead to opportu-
nities. CE opportunities, which include remanufacturing, reuse, or recycling, have
not been fully utilized by conventional entrepreneurs in the construction sector or
any other sector [16]. If it is profitable, construction entrepreneurs will be eager to
practice sustainability. CE opportunities can reduce the volatility of global prices,
promote innovation, boost employment, and strengthen the local economy. Hence,
for greater entrepreneurship, more employment, better environmental circumstances,
less construction waste dumped in landfills, enhanced economic sustainability, and
decreased raw material needs, governments must promote the adoption of CE in the
SA construction sector.
Also, the results of the study show that the production of waste is a significant
factor influencing the adoption of CE in the SA construction sector. This was further
confirmed by the Kruskal–Wallis test conducted. This result corroborates the find-
ings of Torgautov et al. [43] and Bao et al. [4] that one of the significant reasons
for CE adoption in construction is minimizing construction and demolition waste.
Construction and demolition waste (CDW) is a collection of extra materials left
behind after renovating, demolition, or erecting new buildings and other structures
[26]. Since there is a lack of concern for CDW reduction in the early stages of a
project, waste created by CD occurs across the life cycle of buildings, even during
the planning and design phases. Due to this massive amount of CDW production
and the world’s rapid economic growth, there are significant adverse environmental
Factors Influencing Circular Economy Adoption in the South African … 703

effects. Thus, construction professionals are under increased pressure to promote

CDW management techniques based on the 3Rs principle: reduce, recycle, and reuse.
In this context, the construction sector is now being influenced by this pressure to
consider the adoption of CE, which can help CDW management practices reach their
potential economic and environmental advantages. In the CE paradigm, construction
materials that have outlived their usefulness would be reused and their components
and pieces would be dismantled and used as material banks for future construction,
maintaining materials, and components in a closed loop.
Furthermore, the exploitation of resources is a significant factor influencing the
adoption of CE in the SA construction sector as revealed by the study. This result
corroborates the findings of Charef et al. [9]. It has been discovered that massive
amounts of virgin materials are used by the construction sector. For instance, 8%
of the global carbon dioxide emissions are produced by the cement sector alone
[31]. There is a direct correlation between the rising global population and the rising
demand for virgin materials required for manufacturing. Natural resources are heavily
used due to the existing linear economy paradigm. The move to a more efficient CE
model in the construction industry, which strives to address sustainability challenges
on a higher level, comprises two important elements: improved recycling and the
creation of material loops. For these reasons, major construction firms in Europe
and other parts of the world are currently attempting to incorporate CE thinking into
their business strategies, and while some of them have reported on cutting-edge and
experimental initiatives, the widespread and thorough translation of such reasoning
into construction operations is still at the embryonic stage.
Production of greenhouse gases, contribution to pollution, and climate change
are other significant factors influencing the adoption of CE in the SA construction
sector, as revealed by the study. Numerous environmental hazards, including noise,
air pollution, liquid and solid waste, water pollution, hazardous gases, and dust, are
produced by the building sector. According to the European Institute of Architects, the
global emissions of greenhouse gases (GHGs) from the construction sector account
for 42% of all GHG emissions and 50% of air pollution [20]. Meanwhile, it is
expected that with the growing rate of urbanization, GHG emissions from the building
sector will continue to rise. These GHG emissions bring about climate change. As a
result, building GHG emissions have been the subject of several research to manage
the construction industry’s GHG emissions as demand to find ways to lower these
emissions grows. Such research has led to the discovery that the shift to a CE has
the potential to lower GHG emissions. For instance, the design for disassembly,
repairability, modularity, adaptability, and biodegradability aids the processes of
reuse, remanufacturing, refurbishing, or regeneration and so contributes to waste
minimization. By eliminating the manufacture and use of new materials and end-of-
life processes like incineration or landfilling, the usage of recycling materials in the
system can lower GHG emissions. Utilizing renewable resources in the construction
sector would help cut GHG emissions. Therefore, the CE initiatives may have a
substantial influence on the sustainable development goals, the global effort to battle
climate change, and the reduction of GHG emissions. Hence, the SA construction
sector is slowly adopting its principles.
704 K. Otasowie et al.

However, other factors such as deforestation, soil erosion, desertification, and

loss of marine life, although they can occur due to construction activities, are not
considered by the study’s respondents as significant factors influencing the adoption
of CE in the SA construction sector. Construction activities that result in the formation
of structures like houses, roads, and dams irreversibly modify critical farmland and
forests. Other activities that contribute to land loss include quarrying and mining
for building raw materials, as well as the disposal of waste created during and after
construction.

5 Conclusion

This study examines the factors influencing CE adoption in the SA construction

sector in a bid to understand the rationale behind the adoption of CE within the
sector. This is to bring to the fore the issues and impact of the construction sector on
the environment amidst the adoption of CE. The factors were discovered after a survey
of the available literature, which was then presented to construction professionals.
The study’s results show that the most important factor influencing CE adoption in
the construction sector is the potential business opportunity. Production of waste,
exploitation of resources, production of greenhouse gases, contribution to pollution,
and climate change are the other significant influencing factors, whereas factors such
as soil erosion, desertification, loss of marine life, deforestation, and interference
with the ecosystem are not considered significant. Based on the study’s findings, it
is obvious the ultimate goal of CE is to produce many forms of value to improve
the resource effectiveness and efficiency of an economy in response to the mounting
demand for natural resources. CE provides business opportunities by modifying
how economic value and the understanding of items are addressed. CE opportunities
have not been fully utilized by conventional entrepreneurs either in the construction
sector or any other sector. If it is profitable, construction entrepreneurs will be eager
to practice sustainability. Hence, for greater entrepreneurship, more employment,
better environmental circumstances, less construction waste dumped in landfills,
enhanced economic sustainability, and decreased raw material needs, governments
must promote the adoption of CE in the SA construction sector through policies.
Finally, the current study evaluates the factors influencing CE adoption in the SA
construction sector. The findings could inform construction actors and stakeholders
on these factors and encourage them to take significant steps toward putting the
necessary policies in place to adopt a fully circular economy concept to help solve
environmental issues.
Author Contributions Clinton Aigbavboa and Ayodeji Oke contribute to conceptualization,
supervision, project administration, and funding acquisition. Kenneth Otasowie and Peter Adekunle
contribute to methodology, software, validation, analysis, investigation, data collection, draft prepa-
ration, and manuscript editing. All authors have read and agreed with the manuscript before its
submission and publication.
Factors Influencing Circular Economy Adoption in the South African … 705

Funding The authors would like to acknowledge the financial support provided by the Univer-
sity of Johannesburg-Commonwealth Bursary, School of Postgraduate Studies, University of
Johannesburg, to fund this research.

Ethics Statement “Not applicable.”

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Perceived Benefits of Circular Economy
Adoption in the South African
Construction Sector

Kenneth Otasowie, Clinton Aigbavboa, Ayodeji Oke, and Peter Adekunle

1 Introduction

There is no denying that the construction sector is a crucial part of every economy
since it is essential to a country’s social and economic growth. While [21] said that
30% of the world’s population relies on the sector for survival, the United Nations
Economic Commission [41] claimed that the construction sector contributes over
6% of the global Gross Domestic Product (GDP). However, the sector has had a
substantial negative influence on the environment [5]. Since the Industrial Revolu-
tion, when mankind saw fast exploitation of natural resources for economic expan-
sion, construction activities have been known to harm the environment. Nevertheless,
Erlandsson and Levin [12] claim that this knowledge of environmental degradation
has only recently spread worldwide. In fact, the sector has been described as the
biggest user and exploiter of Earth’s resources. Its extensive reliance on the environ-
ment’s ability to provide resources is the reason behind this. Furthermore, according
to Shen et al. [36], the primary causes of environmental contamination and deterio-
ration are construction activities. This impact starts as soon as a project is conceived
and lasts throughout its life, including building and operation. Depletion of resources
and waste creation were two environmental effects of a building that Enshassi et al.
observed. This was supported by the European Union Commission (EU), which
asserted that 35% of the waste produced in the EU comes from the building sector,

K. Otasowie (B) · P. Adekunle

Faculty of Engineering and the Built Environment, cidb Centre of Excellence and Sustainable
Human Settlement and Construction Research Centre, University of Johannesburg,
Johannesburg 2092, South Africa
e-mail: [email protected]
C. Aigbavboa · A. Oke
Faculty of Engineering and the Built Environment, cidb Centre for Excellence & Sustainable
Construction Management and Leadership in the Built Environment, University of Johannesburg,
Johannesburg, South Africa

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 709
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_44
710 K. Otasowie et al.

which accounts for nearly 50% of all materials extracted. This is particularly true in
developing nations like South Africa, where the manufacturing of building materials
results in the emission of 18 metric tonnes of carbon dioxide yearly, or 23% of the
nation’s total greenhouse gas emissions [37].
This trend has been linked to the industry’s adoption of the linear economy model,
which only adheres to the take-make-dispose maxim. In the linear economy model,
raw materials are obtained for processing, which results in a completed good that is
then used by the consumer before becoming waste. In the light of the volume of waste
produced by the demolition process, the end-of-life phase of a construction project
is the least sustainable [8]. Despite other industries, like manufacturing, switching
to a sustainable method, the linear model still predominates in the building sector.
According to Marsh et al. [24], a sustainable strategy is one that attempts to reduce
resource depletion and environmental damage to develop an ecologically friendly
building sector. Though not the only sector to use this linear strategy, the construction
sector’s very considerable adverse effects on the environment need the quick adoption
of an alternate strategy to preserve the environment. A strategy built on the idea of
zero waste, where it is possible to recycle old materials back into the production
process to reduce waste creation and resource consumption.
According to Warodell and Lindholm [43], the need for an alternative approach
that could lead to environmentally sustainable development has resulted in the intro-
duction of the circular economy (CE) model, where the focus is to conserve resources
and ensure that the design is done in such a way that waste is eliminated. This
approach is contrary to the linear model in that materials flow in a closed manner in the
economy. Ghisellini et al. [14] opined that the environmental impact of the construc-
tion industry can be reduced by applying the CE approach. This was further corrob-
orated by van Stijn and Gruis [38] that to achieve a resource-effective society within
the built environment, there must be a transition from the linear economy approach
that has negatively impacted the environment to a CE. According to Omotayo et al.
[31], there has been a belief within the construction sector that suggests that the
adoption of CE can ensure the sustainability of the sector. However, considering
how buildings are disposed of at the end of life, it seems that very unlikely materials
can be reused in the construction sector. Also, Hossain et al. [18] claimed that there
have been concerns in some quarters regarding the barriers associated with adopting
the CE approach in the construction sector. Charef and Lu [8] posited that this might
result from a lack of familiarity with the CE concept within the built environment.
The study further attributed the concerns and barriers to different causes, such as the
nature of buildings and the process of fabrication, with each client desiring a bespoke
building, the different stakeholders involved in the construction and management
of buildings from the inception to demolition, and the usually long timescale of
building life cycles which most times is between 30 and 60 years. On the other hand,
Oluleye et al. [30] attributed the lack of adoption to the non-availability of complete
circular economy business models that organizations could mimic in implementing
the necessary changes.
Perceived Benefits of Circular Economy Adoption in the South African … 711

According to Oluleye et al. [30], the adoption of CE principles in construction

will encompass resource management and waste management to extend the produc-
tive life of the resource. Agrawal et al. [1] posited that the outcome of adopting
CE principles will see a reduction in environmental degradation through reduced
demand for new materials, the durability of products, the substitution of raw mate-
rials during manufacturing, and the expansion of the secondary sector. Furthermore,
Upadhyay et al. [42] opined that the ultimate aim of CE in building construction is
to ensure the use of a modern manufacturing system in the industry that provides
economic growth without the degradation of the environment which often occurs as
a result of the need for virgin materials. However, many studies have considered the
complexities in the construction industry based on how fragmented the industry is in
the adoption of CE principles which are guided by the 3Rs of recycling, reuse, and
recovery. Nevertheless, the adoption of CE in the construction sector will reduce the
environmental impact of the sector [14]. Considering developing nations like South
Africa (SA), where the manufacturing of building materials results in the emission
of 18 metric tonnes of carbon dioxide yearly, or 23% of the nation’s total green-
house gas emissions, this study aims to examine the benefits CE adoption offers the
country’s construction sector. To realize this aim, a literature review is conducted to
understand the benefits of adopting CE and then benchmarking the benefits in the
SA construction sector. Based on the study’s findings, the benefits of CE adoption in
the construction sector in SA will be presented.

2 Method

This research adopted a post-positivist philosophical perspective and employed a

quantitative research approach, utilizing a questionnaire survey to investigate the
benefits of adopting a circular economy (CE) in the construction sector. The survey
instrument was structured into two segments: the first segment aimed to gather
background information from the participants, while the second segment focused
on exploring the perceived benefits of circular economy adoption in construction.
Respondents, comprising construction professionals, were tasked with rating the
significance of identified circular economy benefits using a five-point Likert scale.
The scale ranged from 5 (indicating “Strongly Significant”) to 1 (denoting “Not
Significant”). The study targeted qualified construction professionals, including engi-
neers, architects, quantity surveyors, and construction managers, with a minimum
of five years of professional experience. Convenient sampling was employed due to
constraints in time and financial resources. Out of the 145 questionnaires distributed,
97 were received and deemed suitable for analysis. The gathered data underwent a
comprehensive analysis, employing statistical methods such as standard deviation,
percentages, mean item scores, one-sample t-test, and Kruskal–Wallis tests. These
analytical tools were consistent with the approach used by Otasowie and Oke [33].
To ensure the reliability of the questionnaire, the researchers conducted a Cronbach’s
alpha test, yielding a robust alpha value of 0.840. This result surpassed the commonly
712 K. Otasowie et al.

accepted cutoff point of 0.6, affirming the questionnaire’s high degree of reliability as
established by Tavakol and Dennick [39]. In conclusion, the study employed research
methodologies and statistical analyses to explore the perceived benefits of circular
economy adoption in the construction sector. The use of a reliable questionnaire and
a diverse sample of experienced construction professionals in the Gauteng Province,
South Africa, enhanced the credibility and applicability of the findings.

3 Result

The survey conducted in Gauteng Province, South Africa, enlisted the participa-
tion of construction professionals. The predominant professional category amongst
respondents was quantity surveyors, constituting 28% of the surveyed group. Engi-
neers closely followed, comprising 22%, while architects and construction managers
accounted for 20% and 18%, respectively. Project managers for construction repre-
sented 12% of the respondents. Education levels amongst the participants were
diverse, with a majority (65.2%) holding bachelor’s degrees. Following this, 14.5%
possessed master’s degrees, 13.4% had doctoral degrees, and 6.9% held certificate
degrees. These varying educational backgrounds indicate a broad spectrum of exper-
tise amongst the surveyed construction professionals. The average working expe-
rience of the respondents was 8.4 years, signifying a substantial period of engage-
ment within the construction field. This extensive professional experience under-
scores the depth of knowledge and expertise within the surveyed group. The survey’s
demographic characteristics suggest a comprehensive representation of construction
professionals, ensuring a diverse range of perspectives. The substantial educational
qualifications further indicate that respondents were well-equipped to comprehend
and respond effectively to the survey questions. As highlighted by Otasowie and Oke
[34], the responses provided in the survey were grounded in a wealth of professional
expertise, further bolstering the reliability and relevance of the study’s findings.
To assess the perceived importance of specific benefits associated with the adop-
tion of CE practices in the construction sector, a one-sample t-test was utilized. The
objective was to determine whether respondents considered each benefit to be signif-
icant or not. For a comprehensive understanding of the respondents’ views, mean
ranks were calculated for each benefit. A significance level of 95%, following the
customary threshold [32], was established. A benefit was considered significant if
its mean rating on the Likert scale of five points was 3.5 or higher. The outcomes,
indicating the identified benefits of CE adoption in the construction sector, have
been presented in both Tables 1 and 2. In Table 2, the observed data mean is accom-
panied by the standard deviation, providing insights into the variability within the
responses. In cases where two or more benefits shared the same mean, the benefit with
the lowest standard deviation was accorded the highest priority ranking, aligning with
the methodology suggested by Field [13]. Table 1, which follows, encapsulates the
results of the one-sample t-test, offering valuable information on the statistical signif-
icance of each benefit. This analysis aims to contribute to a nuanced understanding
Perceived Benefits of Circular Economy Adoption in the South African … 713

of how respondents perceive the various benefits associated with CE adoption in the
construction industry.
Upon examination of the p-values [sig. (two-tailed)] associated with each benefit
in Table 1, it is evident that respondents overwhelmingly agreed on the significance
of the listed benefits in driving the adoption of circular economy practices within the
South African construction sector. For each benefit, the statistical analysis consid-
ered two distinct hypotheses: a null hypothesis (H0: U = U 0 ) suggesting no signifi-
cance and an alternative hypothesis (Ha: U > U 0 ) implying significance, where the
population mean (U 0 ) was established at 3.5. The obtained p-values supported the

Table 1 One-sample test for benefits of circular economy adoption in construction

95% confidence
interval of the diff
Benefits T Df Sig. (two-tailed) Mean diff Lower Upper
Energy cost reduction 8.491 96 0.000 0.459 0.545 0.734
Conservation of natural 5.192 96 0.000 0.524 0.728 0.911
resources
Improved public health 4.311 96 0.000 0.716 0.451 0.692
level
Foster collaboration 4.932 96 0.000 0.417 0.817 0.931
Mitigate resource 5.736 96 0.000 0.557 0.551 0.842
depletion
Standardization on 4.353 96 0.001 0.719 0.626 0.733
construction waste
collection
Availability of 4.429 96 0.001 0.389 0.685 0.811
environmentally friendly
products
Revenues from the sale of 4.638 96 0.000 0.628 0.725 0.885
construction wastes
Greenhouse gases 10.419 96 0.000 0.593 0.835 0.972
reduction
Improved efficiency and 4.302 96 0.002 0.560 0.672 0.843
productivity
Decrease waste generation 6.824 96 0.000 0.716 0.741 0.872
Improved awareness and 4.192 96 0.000 0.682 0.611 0.757
environmental
consciousness
Effective life cycle 4.245 96 0.000 0.659 0.730 0.825
management
Better designs 4.283 96 0.000 0.742 0.582 0.748
Creation of job 4.815 96 0.002 0.663 0.547 0.699
opportunities
DF = Degree of freedom
714 K. Otasowie et al.

Table 2 T-test summary showing benefits of circular economy adoption in construction

Benefits t Sig. (one-tailed) x x R
Greenhouse gases 10.419 0.000 4.69 0.402 1
reduction
Energy cost reduction 8.491 0.000 4.66 0.322 2
Decrease waste 6.824 0.000 4.59 0.329 3
generation
Mitigate resource 5.736 0.000 4.59 0.412 4
depletion
Conservation of natural 5.192 0.000 4.53 0.355 5
resources
Foster collaboration 4.932 0.000 4.52 0.308 6
Creation of job 4.815 0.000 4.52 0.370 7
opportunities
Revenues from the sale 4.638 0.000 4.51 0.316 8
of construction wastes
Availability of 4.429 0.000 4.46 0.323 9
environmentally
friendly products
Standardization on 4.353 0.000 4.43 0.391 10
construction waste
collection
Improved public health 4.311 0.000 4.40 0.328 11
level
Improved efficiency and 4.302 0.000 4.39 0.303 12
productivity
Better designs 4.283 0.000 4.37 0.341 13
Effective lifecycle 4.245 0.000 4.34 0.353 14
management
Improved awareness and 4.192 0.000 4.28 0.305 15
environmental
consciousness
σ x = Standard deviation; x = Mean item score; R = Rank

rejection of the null hypothesis in favour of the alternative hypothesis, affirming the
significance of the benefits. Notably, the chosen significance level was two-tailed,
reflecting the possibility of significance in both directions. To further emphasize the
observed significance, a subsequent one-tailed test was conducted. The significant
p-values resulting from this one-tailed test are presented in Table 2. It is important
to highlight that these values in Table 2 were derived by halving the p-values from
Table 1. This adjustment aligns with the one-tailed testing approach, reinforcing
the evidence that the listed benefits hold substantial significance in driving circular
economy adoption within the South African construction sector.
Perceived Benefits of Circular Economy Adoption in the South African … 715

The results show that greenhouse gas reduction is the highest-ranked and the most
significant benefit of CE adoption in the SA construction sector (MIS = 4.69, SD
= 0.40). This was followed by energy cost reduction (MIS = 4.66, SD = 0.32);
decrease waste generation (MIS = 4.59, SD = 0.32); mitigate resource depletion
(MIS = 4.59, SD = 0.41); conservation of natural resources (MIS = 4.53, SD =
0.36); foster collaboration (MIS = 4.52, SD = 0.31). Others include creation of
job opportunities (MIS = 4.52, SD = 0.37); revenues from the sale of construction
wastes (MIS = 4.51, SD = 0.32); availability of environmental friendly products
(MIS = 4.46, SD = 0.32); standardization on construction waste collection (MIS =
4.43, SD = 0.39); improved public health level (MIS = 4.40, SD = 0.33); improved
efficiency and productivity (MIS = 4.39, SD = 0.30); better designs (MIS = 4.37,
SD = 0.34); effective life cycle management (MIS = 4.34, SD = 0.35); and improved
awareness and environmental consciousness (MIS = 4.28, SD = 0.31).
Furthermore, an assessment of responses based on various construction occupa-
tions was conducted using a Kruskal–Wallis test. The findings indicate that there is
no statistically significant difference amongst participants’ responses regarding the
benefits of adopting a circular economy in the South African construction sector.
The detailed results are presented in Table 3.

Table 3 Test for Kruskal–Wallis showing p-values for benefits of circular economy adoption in
construction
Benefits P-values
Greenhouse gases’ reduction 0.080
Energy cost reduction 0.060
Decrease waste generation 0.052
Mitigate resource depletion 0.062
Conservation of natural resources 0.074
Foster collaboration 0.092
Creation of job opportunities 0.072
Revenues from the sale of construction wastes 0.061
Availability of environmentally friendly products 0.068
Standardization on construction waste collection 0.076
Improved public health level 0.087
Improved efficiency and productivity 0.081
Better designs 0.084
Effective life cycle management 0.066
Improved awareness and environmental consciousness 0.058
716 K. Otasowie et al.

4 Discussion

From the results of the study, the most significant benefit of CE adoption in the SA
construction sector is the greenhouse gases reduction. This was further confirmed by
the Kruskal–Wallis test conducted. Minimizing greenhouse gas (GHG) emissions
has emerged as an international priority due to the growing body of data linking
greenhouse gases (GHGs) to climate change and global warming [44]. Since 2010,
the amount of GHG emissions from the last stages of the disposal of construction
and demolition waste (CDW), such as landfilling and incineration, has been less than
6.6%. However, due to further urbanization and industrialization, this is predicted to
increase dramatically, for instance, CDW constitutes 46% of total waste in Europe,
and in Japan and China, 20% and 30–40% of total solid waste, respectively [16, 19].
Also, developing countries like South Africa, where the manufacturing of building
materials produces 18 metric tonnes of carbon dioxide yearly, or 23% of the nation’s
total greenhouse gas emissions [37]. Furthermore, as it is anticipated that by 2050,
the worldwide CDW will rise significantly [29], immediate action is needed to limit
CDW GHG emissions. Hence, this study corroborates [23], that reducing GHG is
a significant benefit of adopting CE. This would guarantee that one of the most
critical crises the world is currently facing—climate change caused by the release of
a sizable amount of GHG, the depletion of non-renewable resources, and the rise in
waste—will be resolved.
In addition, the study’s results show that energy cost reduction is a significant
benefit of CE adoption in the SA construction sector. This was further confirmed by
the Kruskal–Wallis test conducted. Most nations that are mindful of environmental
concerns and the conservation of natural resources have found that the recent rapid
global economic expansion has become a significant burden. To achieve sustainable
development, several nations and significant global corporations have concentrated
on conserving energy [3]. This is because there is still more to be done to promote
sustainable energy usage. The goal of the CE is to preserve resources for as long as
feasible. This is done through various ecological activities, including cutting back on
the usage of fossil fuels, recycling waste, lowering emissions, and more [22]. Due to
its role as the primary engine of the world economy, renewable energy now accounts
for most of the CE’s activities. The aim is to reduce the use of fossil fuels, which
is expected to significantly reduce energy costs. According to EMF [10] and Gower
and Schroeder [15], circular economy techniques can significantly boost resource
efficiency, creativity, productivity, and energy cost savings in several countries and
sectors. Thus, this study corroborates EMF [10], Gower and Schroeder [15], and
Kumar et al. [23] on the energy cost reduction potential of CE in the SA construction
sector.
Another significant benefit of CE adoption in the SA construction sector, as
revealed by the study, is the expected decrease in construction and demolition waste
(CDW) generation. Approximately 40% of waste is produced by the construction
industry [28]. As a result, it suggests that the sector is one of the biggest global waste
producers [6]. This includes developing nations like South Africa. According to
Perceived Benefits of Circular Economy Adoption in the South African … 717

Muzenda [27], construction and demolition waste comprise 21% of South Africa’s
total waste. Even though these wastes are produced due to building activity, over
three billion tonnes of materials are utilized annually to make construction products
around the globe. Hence, one of the steps required to lessen the amount of building
and demolition waste dumped in landfills is the circular economy, because the amount
of waste produced each year as building debris is disproportionately large. For this
reason, the South African construction sector is anticipating that a shift towards the
CE will reduce the waste generated during construction and at the end-of-life phase
of buildings which often requires demolition.
Furthermore, mitigation of resource depletion is a significant benefit of CE adop-
tion in the SA construction sector, as revealed by the study. Researchers and scien-
tists are more aware of how the current pace of resource use is destroying the earth’s
supporting framework [4], a phenomenon that can be linked to the building sector. Its
operations need enormous amounts of natural resources, such as water and various
energy sources. Raw material extraction, processing, and transportation all have a
tendency to deplete resources and destroy biological diversity. It is urgent to restruc-
ture the building business internationally, given the rapid pace at which resources on
earth are depleting. In response, the CE has been advocated as a means of improving
the economic, social, and environmental responsiveness of the building processes,
activities, and practices. This study reveals and corroborates [23] that mitigating
resource depletion is one crucial benefit expected from adopting CE in the SA
construction sector.
Fostering collaboration is another significant benefit of adopting CE in the SA
construction sector, as revealed by the study. Collaboration is essential to the imple-
mentation of CE along the whole construction value chain, which includes customer
awareness and partnerships between buyers and suppliers. Environmental advan-
tages of collaboration include less use of natural resources, decreased waste gener-
ation, and decreased emissions into the air, water, and land [9, 20, 35]. Due to the
utilization of resources, talents, processes, and routines found in partner organi-
zations, collaboration is seen as a catalyst for greater business performance. A few
instances of organizational collaboration include having common knowledge of envi-
ronmental planning, cooperating to decrease pollution and use resources wisely, and
defining a shared environmental goal. Consequently, businesses must work together
to achieve effective adoption of CE. The significance of collaboration in CE cannot
be overemphasized, as it addresses difficulties with rising consumption, urbaniza-
tion, and employment by developing a movement that inspires stakeholders beyond
the enterprise to act circularly [2]. Successful collaboration might result in a shared
competitive advantage that could lead to the production of value in developing nations
like South Africa, which could benefit all partners.
The creation of job opportunities is yet another significant benefit of adopting CE
in the SA construction sector, as revealed by the study. The ultimate goal of CE is
to produce many forms of value to improve the resource effectiveness and efficiency
of an economy in response to the mounting demand for natural resources [10]. Job
opportunities are provided by CE by modifying how economic value and the under-
standing of items are addressed, and it seeks to increase resource effectiveness and
718 K. Otasowie et al.

efficiency (by shortening or lengthening energy and resource loops) and ultimately
close energy and resource flows [7, 17]. For instance, closing the loop in the supply
chain for goods and resources results in cost savings, resource resilience, alternative
revenue streams, and creative new products while also perhaps lowering consump-
tion [11, 25, 26, 40]. By creating CE’s “closed loop” in the construction sector,
job opportunities within the sector will be created, which may enhance economic
development while maintaining environmental sustainability. CE job opportunities,
which include remanufacturing, reuse, or recycling, have not been fully utilised by
conventional entrepreneurs in the construction sector or any other sector [11]. CE job
opportunities can reduce the volatility of global prices, promote innovation, boost
employment, and strengthen the local economy. Hence, for greater entrepreneur-
ship, more employment, better environmental circumstances, less construction waste
dumped in landfills, enhanced economic sustainability, and decreased raw material
needs, CE adoption must be promoted in the construction sector.
Other significant expected benefits of adopting CE in the SA construction sector, as
revealed by the study, include better designs, improved public health level, improved
efficiency and productivity, and standardization of construction waste collection,
amongst others. By adopting CE in the SA construction sector, dangerous and
unsafe products and materials are kept out of landfills and the seas, where they
pose a significant threat to ecosystem life. Reusing waste products and resources also
promotes better designs that improve efficiency and productivity, and standardization
of construction waste collection.

5 Conclusion

This study examines the perceived benefits of CE adoption in the SA construction

sector in a bid to understand the expected benefits if CE is adopted in the construction
sector. The benefits were discovered after a survey of the available literature, which
was then presented to construction professionals. The study’s results show that the
most critical benefit of circular economy adoption in the construction sector is green-
house gas reduction. Energy cost reduction, decreased waste generation, mitigation
of resource depletion, conservation of natural resources, fostering collaboration, and
creation of job opportunities, amongst others, are the significant benefits. Based on
the study’s findings, it is evident that by adopting CE, dangerous and unsafe products
and materials are kept out of landfills and the seas, where they pose a significant threat
to ecosystem life. Reusing waste products and resources also promotes the creation of
regional business networks that increase economic performance and provide new job
possibilities. Despite its adverse effects on the environment and the general welfare
of the populace, the building sector is essential to SA’s economic growth. Therefore,
it is crucial that many stakeholders are made aware of the available CE concepts to
guarantee the sustainability of all of the projects that are executed across the nation.
Finally, the current study evaluates the benefits of CE adoption in the SA construc-
tion sector. Therefore, it is suggested that the government establishes a framework
Perceived Benefits of Circular Economy Adoption in the South African … 719

for CE adoption nationwide and demonstrates its commitment to CE adoption by

enacting legislation and providing incentives. To guarantee the application of rules,
the government should promote collaboration with different professional bodies.

Author Contributions Clinton Aigbavboa and Ayodeji Oke contribute to conceptualization,

supervision, project administration, and funding acquisition. Kenneth Otasowie and Peter Adekunle
contribute to methodology, software, validation, analysis, investigation, data collection, draft prepa-
ration, and manuscript editing. All authors have read and agreed with the manuscript before its
submission and publication.
Funding The authors would like to acknowledge the financial support provided by the Univer-
sity of Johannesburg-Commonwealth Bursary, School of Postgraduate Studies, University of
Johannesburg, to fund this research.

Ethics Statement “Not applicable.”

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Evaluating How Energy Performance
Certificates Could Influence the Supply
of Net Zero Carbon Buildings

Matthew Jackson and Rolien Terblanche

1 Introduction

Net zero carbon buildings have been identified as a key tool to decarbonize the
world economy [22]. The Intergovernmental Panel for Climate Change Sixth Assess-
ment Report of 2022 has made clear that climate change is a direct result of human
economic activity [7]. Consequently, there is a need to adopt sustainable economic
practices to limit climate change. In response to the interconnected global challenge
of reducing carbon emissions, the South African government has further committed
to lowering the country’s carbon emissions as part of its legal commitments to the
Paris Agreement of 2015 [13]. Consequently, there is increasing legislative action to
drive economic activity to reduce carbon emissions.
The South African built environment accounts for 15% of the country’s carbon
emissions and therefore has a key role to play in reducing carbon emissions [10].
Net zero carbon buildings offer a potential solution to carbon emission reduction of
South Africa’s built environment.
Supportive of the increased awareness of the need to decarbonize economies
is the increased use of Environmental, Social, and Governance (ESG) metrics in
the allocation of capital [16]. In the real estate sector, the provision of credible and
transparent information on energy usage and carbon emissions is an important aspect
of meeting the ESG conditions which are increasingly being incorporated into debt
funding and investment criteria for real estate companies [5]. This creates the context
in which the disclosure of reliable energy usage and carbon emissions is of equal
importance to the upfront design and capital outlay considerations in the development
of net zero carbon buildings.

M. Jackson · R. Terblanche (B)

University of the Witwatersrand, Johannesburg, South Africa
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 723
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_45
724 M. Jackson and R. Terblanche

Complimentary to the use ESG factors by funders and investors in real estate
investment decisions is the emergence of sustainable finance in recent years in
response to the various climate change legislative frameworks which presents new
opportunities to advance the supply of net zero carbon buildings as a tool for devel-
oping a lower carbon economy [10]. The recently published South African Green
Finance Taxonomy 2022 has defined a green building as net zero carbon, limiting
the energy usage intensity to a benchmark defined by South African building codes
(Page 127, National Treasury [10]). In this sense, the provision of high assurance
information through accurate measuring and regular certifying of energy usage, as
the basis for credible data for carbon emission calculation, is an important integrating
tool for the funding, construction, and ongoing management of a green building.
An Energy Performance Certificates is a government regulated energy usage
certificate which provide high assurance information on the energy efficiency of a
building [14]. The adoption of Energy Performance Certificates could help to accel-
erate the development of net zero carbon buildings as more stakeholders in the real
estate value chain recognize the value of the certification in providing credible data
on the energy usage of a building [19]. This study has three interrelated objectives
being: (1) The barriers to the supply of green buildings and sustainable practices [17,
20]. (2) The simultaneous introduction of new legislation and the adoption of ESG
factors by the financial sector in response to climate change [2, 10]. (3) Finally, the
role of Energy Performance Certificates in supporting the value of real estate and
meeting required legislative and ESG standards [23].

2 Literature Review

2.1 Introduction to the Literature Review

The review initially explores the concept and role of net zero carbon buildings and
the barriers and drivers in the supply of net zero carbon buildings [17, 20]. The review
then explores how the legislative environment has been updated, with a cross-sector
focus on resource efficiency of the built environment which may be influencing the
identified supply barriers to net zero carbon buildings.
Building on this theme, the review explores the role Energy Performance Certifi-
cates in (a) meeting regulatory and ESG standards and (b) supporting real estate value
as a potential driver of supply of net zero carbon buildings [23]. Finally, the review
will then explore how real estate value, which is a possibly driver for increasing the
supply of net zero carbon buildings, is impacted upon by the emergence of Envi-
ronmental Social and Governance (ESG) based investing and the related field of
sustainable finance [19].
Evaluating How Energy Performance Certificates Could Influence … 725

2.2 Findings from Literature Review

The key findings from the literature reviewed can be summarized as follows:
(1) The supply of net zero carbon buildings, and broader sustainable practices in
the real estate sector, has been constrained due to combined effect of limited
information, relatively weak legislative, including financing frameworks, and
the perceived high capital and certification costs of developing resource efficient
buildings [17, 20].
(2) There is evidence of the simultaneous development of more effective legislation
for managing climate change in both the financial sector, national and local
government development policies, and energy efficiency regulations [8, 27, 33].
Taken in combination, this creates a legislative context which requires that the
design, development, operation and importantly, funding of a new building must
provide more effective evidence of resource efficiency which proactively limits
the effects of climate change, and other material environmental risks, through
the lifecycle of a new building.
(3) The introduction of ESG and the related field of sustainable finance appears to
be creating the conditions where the provision of verifiable information proving
a building is green which can be audited is of equal importance to the design
and capital requirements of developing green buildings [5, 16].
(4) The use of green building rating systems has become an effective way for real
estate firms to meet the material risk disclosure requirements of ESG focused
investment and sustainable finance products for firms with the human, opera-
tional, and financial resources to undertake the relative high design fees and
registration costs to certify new buildings [17, 19].
(5) Energy Performance Certificates have been shown to create value in real estate
markets [3, 23] and the tool could assist valuers in determining property value
by way of improved operating income information [12, 19]. This tool appears
well placed to be used as a way to share operational information to determine
the climate related financial risks of an asset [16, 18].
(6) The combination of strengthened of financial standards for green buildings and
development legislation governing development of new buildings and the intro-
duction of a lowering costs’ means of green building certification through use
of a tool as an Energy Performance could create a supportive context for the
increase in the supply of net zero carbon buildings.
726 M. Jackson and R. Terblanche

3 Method

3.1 Research Approach

The study follows an inductive approach by exploring the experiences from the
sampled group of real estate developers to expand on knowledge and theory. This
approach is necessary as the study will explore the experiences and interpretations of
people about how a new legislative tool is being shaped by their ambitions to address
climate change [18]. The resulting qualitative information is useful for interpreting
whether this new tool in an evolving and supportive context could overcome the
documented reasons for limited supply of net zero carbon buildings, which has been
developed through the research into barriers of adoption of green buildings and
sustainable property practices [17, 20].

3.2 Methodology

The qualitative study explores the experiences of the real estate developers, of two
concepts: net zero carbon buildings and Energy Performance Certificates. The find-
ings are to be interpreted relative to existing knowledge regarding the barriers of
implementing net zero carbon buildings, and the documented use and influence of
Energy Performance Certificates [1]. The findings that emerged from the study are
intended to advance the broader understanding of how real estate developers experi-
ence the barriers to the supply of green buildings such as net zero carbon buildings.
Secondly, how the study group experience and understands the role that new legisla-
tive tools such as Energy Performance Certificates could play in developing new
buildings.
The study places value on the knowledge to be gained from the review of these
experiences which can be coded and assessed qualitatively against the existing under-
standing of the barriers to the supply of net zero carbon buildings. The qualitative
study and supporting semi-structured interview approach used in a study of the
barriers to adoption of sustainable practices in property have been instructive in
developing this study [20].

3.3 Research Methods

The study will undertake a quantitative study, generating findings to be reviewed

against existing knowledge, through semi-structured in-depth interviews of ten real
estate developers (study sample), to explore the experience of the study sample in
supply of green buildings, such as net zero carbon buildings [15]. The responses to
the semi-structure in-depth interviews were transcribed, grouped, and then coded to
Evaluating How Energy Performance Certificates Could Influence … 727

allow reflection against the study assumptions which seek to understand the influence
and impact that a new legislative tool, Energy Performance Certificates, may have
in enabling real estate developers to supply a net zero carbon buildings which have
been shown to be necessary to address climate change, but to date have faced barrier
in supply [8].

3.4 Population and Sampling Criteria

The study focused on the respondents working in the four functional areas, detailed
below, who are involved in the supply of buildings in South Africa and who have
undertaken developments in the past five years. This is the period in which the existing
barriers of supply have been documented and is recent enough to be aware of the
increased strengthening of green building legislation and increase the marketing of
sustainable finance.
(A) Regulation of buildings which includes local authorities who create policy
and assess new building development applications, (B) Financing of building devel-
opment projects which includes the creation of financial legislation, the financing
of and investment in new buildings, (C) Development of building development
projects, which includes the planning, design, and construction of new buildings,
and (D) Management of completed buildings which includes companies which own
and manage buildings and oversee the financial, operational and resource (utilities)
performance of completed buildings.

3.5 Limitations

This study explored the experiences of participants working in the functional areas
of the real estate development sector which shape the decision-making process in
developing new buildings. The sample size was limited to ten participants, in the four
functional areas of real estate development which influences the decision-making
process for new buildings. The findings represent the collective reported experiences
of the participants in one jurisdiction and could be limited in their replicability to
other geographies.

3.6 Selection of Participants

The research has sought to investigate the barriers to, and potential drivers of adop-
tion, for the development of net zero carbon buildings. These factors have been
identified as legislative, financial, and the broad understanding and integration of
green building approaches into new developments [17]. Consequently, the sourcing
728 M. Jackson and R. Terblanche

of participants has followed a purposive research approach using two variables.

Firstly, role players and real estate development process and secondly participants,
these participants stance in relation to identified factors influencing green building
practices.
Firstly, the research has taken a supply chain approach to understand the real
estate development process which has involved reviewing the different participants
and the related decisions that participant influences, in the process of developing
new buildings. The second variable which has determined the participant selection
approach has then been intentional in sourcing participants that are both impacted
by and influence the identified barriers to advancing further green building practices,
such as net zero carbon building.
The demographic analysis has reviewed three areas:
1. The population sample and the total number of new buildings reviewed from
2018 to 2023.
2. The grouping of the buildings into four role player areas and impact on decision-
making.
3. The existing green building practices undertaken by participants.
Prior to presenting the data in these three areas the justification for the (a) time
period, (b) rationale for planned new buildings, and (c) selection of participants and
are presented below.
(A) Time period
The time period considers new buildings from 2018 to 2023. This 5-year period
takes into account the period of time affected by the Covid 19 pandemic which would
potentially lower the level of development activities.
(B) New Building in Planning
The study has chosen to allow participants to report on all potential new building
developments which were reviewed and planned. Some of these planned new
buildings would have proceeded to construction and occupation.
The rationale for reporting on planned developments is that the decision-making
process often reviews multiple projects and a low proportion. Further, the greater
level of buildings improves the validity of the data which would be limited by the
number of participants in the study.
(C) Selection of Participants
The participants selected for the research have been chosen due to their involve-
ment in four functional areas in the decision-making process which leads to
development of a new building:
Policymakers
Policymakers who shape the statutory legislation for new buildings, energy effi-
ciency, and the broader non-statutory recommended best practice green building
standards. In this grouping of participants, the experience of attempting to shape
Evaluating How Energy Performance Certificates Could Influence … 729

new developments through new statutory or voluntary green building standards is

explored.
Financial Institutions
Funders are either participants who are working in banks providing loans to devel-
opers, or are staff who work in organizations which invest in new development
projects seeking a defined financial return. In this grouping, the terms of funding,
the responsiveness to green building practices, climate risk, and net zero corporate
strategies are of particular importance to explore.
Developer and/or Real Estate Investment Trust
These participants take the direct managerial decisions for new development
projects. This grouping primarily focusses on the staff working within the orga-
nizations, who take the lead role in managing new development projects raising the
funder, managing the professional team and the construction of the development.
This grouping may also include the external professional team who helps to support
the management decisions of the development organization.
Professional Consulting Team
This grouping of participants who have worked as part of the professional teams
which support the developer and may have also provided managerial input to the
formulation. Due to the position of this grouping in needing to interpret or help
to formulate policy, this grouping is of particular interest in how the role of green
building practices, legislation, and voluntary standards is transmitted into a new
development project.

4 Analysis of Data

This section analyzes the data sourced from conducting qualitative interviews with
role players in the real estate sector that influence the decision-making process for
new buildings. Section 5.1 presents the (1) population sample, (2) total number
of buildings, and (3) existing green building practices reported by the participants.
Section 6 then presents the data against the research objectives: (1) experience of
status of barriers to green building practices and (2) experiences of the impact of
ESG and sustainable finance. This data is intended to help provide insights into the
ways in which Energy Performance Certificates may be able influence the supply of
net zero carbon buildings.
730 M. Jackson and R. Terblanche

Table 1 Grouping of participants

Role player No of participants Planned buildings Portion (%)
Policymakers 1 out of 10 6 1
Funders 3 out of 10 155 37
Developers 3 out of 10 19 5
Professional teams 3 out of 10 240 57

4.1 Population Sample

A total of ten interviews were conducted, which accounted for the planning of 420
new buildings over the past five years, from 2018 to 2023. Table 1 details the popula-
tion sample and the total number of new buildings which were considered for planning
over the past 5 years (2018–2023). The participants were purposively sourced from
the four functional areas which inform the decision-making process for developing
new buildings.

4.2 New Buildings and Decision-Making

Table 1 also indicates the amount of new planned buildings per grouping of partic-
ipants. Financial institutions and professional consulting has the highest amount
of planned new buildings under review, accounting for 94% of all buildings under
review. For the purpose of this study, the greatest proportion of new buildings being
reviewed by financial institutions and professional consulting teams would imply
that the decision makers within these groupings are well placed to help shape and
drive the planning of green building practices.

4.3 Reporting of Existing Green Building Practices

Before reviewing the respondents’ experiences of the barriers to increasing the supply
of net zero carbon buildings, the study explored what existing green building prac-
tices the participants already undertake. This was reviewed by asking the participants
to categorise the new developments that they had been involved into four possible
practice areas:
(1) Planned energy efficiency: Net Zero Carbon
The first category is new buildings that are planned with lower carbon emissions
during the build and operational phases of the building and to be certified as Net Zero
Carbon in terms of the standards set by Green Building Council of South Africa.
(2) Planned energy/water efficiency: Green Star rating
Evaluating How Energy Performance Certificates Could Influence … 731

The second category is buildings that are proactively planned to achieve a Green
Star rating from the Green Building Council of South Africa.
(3) Planned energy/water efficiency: No certification
The third category is buildings that are planned and managed with lower water and
energy consumption in mind. However, no formal certification to provide verification
and assurance of green claims has been made.
(4) No planned energy/water efficiency
The final category are buildings with no planning for reduction in water or energy
usage.
Of the 420 new buildings which were planned, 298 buildings (equating to 71%)
had pursued a formal certification with the Green Building Council of South Africa.
While seven new buildings, which equates to 2% of the total, had been planned as
net zero carbon buildings, pursuing a formal certification. Encouragingly, there were
92 buildings (equating to 22% of all buildings) which were planned with a level of
focused water and energy efficiency in mind, while they were not formally certified.
The fact that these buildings are being proactively planned with efficiency in mind
is a positive finding.
The study found that green building practices are pervasive across all participants
with only 17 out of the total building count that is being planned with proactive
green building considerations in mind. This would seem to suggest that the legislative
environment, which does require an increasing focus on improved energy efficiency
through SANS 10400 Part XA, is having a positive effect in requiring efficiency in
planning of new developments. The study shows that the majority of new buildings are
being consciously planned with greater efficiency of water and energy management
in mind. This information, showing that planning for efficiency, largely through
metering of energy and water without certification, could provide an opportunity for
the use of Energy Performance Certificates, which require the use of metering.

5 Discussion on Findings

The research instrument explored four interrelated themes (1) barriers to green
building practices, such as the supply of net zero carbon buildings; (2) ESG as a
driver of adoption of green building practices; (3) experiences with strengthening
financial standards and incentives and government legislation for new building; and
(4) role of Energy Performance Certificates in meeting the evolving ESG reporting
and legislative environment. These areas are analyzed in two sections which follow
(1) barriers to green buildings and (2) ESG as a driver.
732 M. Jackson and R. Terblanche

5.1 Barriers to the Green Building Practices and Supply

of Net Zero Carbon Buildings

While the need to decarbonize the built environment is evident, there are barriers
to developing net zero carbon buildings which can primarily be grouped as a weak
legislative environment and the perception of the higher capital costs, and related
fees and surcharges for designing and certifying, more energy and water efficient
buildings [7, 17]. It is noted that the perceptions of the higher and or additional costs
of green building practices and related technologies were deliberately excluded as a
barrier from the study.
This study has further grouped the barriers to green building practices into four
areas: (1) limited demand for net zero carbon buildings and other green building
practices and formally certified green buildings, (2) limited understanding of the
technical inputs and environmental impact benefits of net zero carbon buildings,
and other green building, (3) weak legislative framework governing the approval
of new building approvals and certification of green buildings, which include local
authority approvals, energy efficiency standards, and green building certification,
and (4) limited capital available for net zero carbon buildings, and other types of
green buildings, including loan and equity investment capital for new development
projects.
The study found that financial institutions rank availability of capital for green
buildings, such as net zero carbon buildings, as the lowest barrier, while the perception
that there is weak legislation to enforce the requirement to lower the energy usage
and carbon emissions of a building is considered the highest barrier.

5.2 Impact of ESG and Environment and Climate Disclosure

as a Driver

This theme explored how the introduction of Environmental, Social, and Governance
factors in corporate strategy is influencing the introduction of greening building
practices and the supply of net zero carbon buildings. This was analyzed through the
(1) qualitative questions posed to the participants and secondly (2) a desktop review
of the environmental and climate risk reporting of two large commercial banks in
South Africa.

5.2.1 Qualitative Responses

The qualitative responses were grouped into four possible categories:

(1) An Environmental, Social, and Governance strategy is being followed.
(2) Formalized climate risks, such as carbon emissions, is being identified and
reported on.
Evaluating How Energy Performance Certificates Could Influence … 733

(3) Carbon emissions are being reported.

(4) Energy usage is being reported on and used in management decisions.
The study found that the majority of participants are following an ESG strategy.
Secondly, that half of all participants are reporting on climate risks such as the impact
of energy usage and sources and carbon emissions. Thirdly, that one third of all partic-
ipants are reporting on the carbon emissions generated from the business activities
and the buildings it is involved in planning, financing, developing, and managing
of buildings. Finally, that nine out of ten are reporting and making management
decisions based on the energy usage of buildings.
This may suggest that energy usage information is a clear data point from which
green building practices and alignment with ESG and climate risk reporting could
be leveraged. The study found that:
• Financial institutions are a key stand out in the participant group with a clear focus
on ESG, climate risk, carbon emissions, and energy usage reporting.
• While the cohort of developers/REITs interviewed in the research is not reporting
on the other elements, all developers are reporting on energy usage and making
management decisions using this data.
• As with developers, professional consulting teams are all reporting on energy use
in the buildings in which they are participated in the planning.

5.2.2 Review of Banks’ Published Environmental and Climate

Reporting

To further support the qualitative study, a review of the annual reports and associated
environmental reporting, climate accounting, and risk disclosure (TCFD) reporting
of the two large commercial banks in South Africa was undertaken. There is a drive to
reporting on carbon missions in the banks’ real estate operational portfolio, combined
with the practice of reporting on new green finance products and the extent of
‘financed emissions’. A key outcome from this review is that the need to improve the
quality of annually metered energy consumption and the associated energy reporting
is increasing. Energy Performance Certificates, due to their attributes of accuracy in
measured energy usage, provision of base date for carbon emission calculation, and
lower cost of certification, could be a tool to that influences the supply of net zero
carbon buildings [3, 16, 18, 21].

5.3 Conclusion to Analysis

The study undertook interviews with ten participants in the real estate development
decision-making process for new buildings. The study consisted of 420 new build-
ings which were planned and considered for new development. Integrating these
734 M. Jackson and R. Terblanche

findings shows that Energy Performance Certificates, due to the provision of opera-
tional energy usage data, seems to provide a set of data which would allow funders,
developers, and regulators the highest quality source of data to drive the develop-
ment of new sustainable buildings. A concluding finding is that the drive of climate
risk disclosure and carbon accounting relies on high assurance data of energy usage
and the source of energy such as coal, gas, solar, or wind. This practice is growing
among funders of real estate development projects. This resultant push on carbon
accounting in financial institutions is driving the lowering of carbon footprints in
their own building operations. It would appear that the increase in climate risk disclo-
sure, more than the ‘natural’ adoption of green building practices by the real estate
sector, will drive green building practices. In this sense, Energy Performance Certifi-
cates, due to the provision of high assurance information on the energy usage and
in turn carbon footprint of buildings are well placed to support funders, developers,
consultants, and regulators in the supply of net zero carbon buildings.

6 Discussion on Findings

This paper has explored how Energy Performance Certificates could be a simplified
tool to help increase the supply of net zero carbon buildings. The paper has four
broad findings:
The paper has found that while at design stage green building certification is
proactively pursued, the practice of post-completion monitoring through Energy
Performance Certificates is limited. The introduction of climate risk disclosure and
climate accounting practices in support of TCFD reporting by major banks is on the
increase. In particular, the reporting on both, total metered energy consumed and
the associated carbon footprint of operations, compared to ‘financed emissions’. The
build to rent/affordable rental housing has a high level of post-completion energy
usage monitoring and a low level of pre-development green certification. The asset
class would appear to be ‘implicitly’ green through operations. The level of under-
standing of what a net zero carbon building is and how this category of green building
essentially delivers value, is limited. This limitation in understanding restricts the
effectiveness.

7 Conclusions

This research report has sought to understand how Energy Performance Certificates
could influence the supply net zero carbon buildings. The conclusions against the
objectives are discussed.
Evaluating How Energy Performance Certificates Could Influence … 735

7.1 Barriers to Green Building Practices Are Reducing

While NZCB and GBCSA certification is not pursued beyond the first participant,
all other participants planned their developments with energy and water efficiency in
mind. However, the extent to which the efficiency targets were set is a function of the
development asset class, client demands, and financial terms for the development. It
would seem that the barriers to implementation are reducing. Finance and regulation
did not rank as high as ‘understanding’ as a key barrier. And yet conversely, the
participants are all pursuing efficiency. It would seem to suggest that the planning for
lowering consumption and allowing lower end user cost of utilities is the ‘framing’
of ‘green’. The recent strengthening of the legislative environment including new
green building policies at local government level, energy efficiency legislation, and
the creation of new financial sector frameworks would appear to be creating a context
in which these barriers could be less onerous [2, 14, 16].
Proving a building is net zero carbon post-completion, presents a cost and opera-
tional problem for developers and funders. Increasingly disclosing the energy usage,
efficiency, and carbon footprint of properties is becoming mandatory or is being
harnessed as competitive advantage [6]. The current use of green building rating
tools through certificates with entities such as the Green Building Council of South
Africa supports the disclosure of energy usage. However, these rating systems require
registration costs, which add to the costs of development. The high cost of applying
for a certification and the complexity of the certification system, are barriers to the
supply of net zero carbon buildings ([17, 20].
The introduction of a simpler tool, such as Energy Performance Certificates, could
overcome the aforementioned barriers. It is a legislative tool which requires the
measurement of energy consumption in a building. Therefore, it supports the
improved energy consumption of a building, which in turn helps owners, funders
and investors understand the energy intensity and carbon emissions of a building
[10, 14].

7.2 Net Zero Carbon Buildings not yet Pervasive

Net zero carbon buildings would appear to be seen as a ‘high aspiration’ green
building approach, rather than an approach to green building which is simple to
pursue. Conversely, when asked about the actual action of green building practices,
all participants were clear that they are pursuing design and operational efficiency
practices. This would seem to suggest that the underlying actions to achieve lower
carbon emissions from buildings are in fact being undertaken. But, the participants
are not necessarily choosing to see the link between their efficiency actions as meeting
NZCB goals.
736 M. Jackson and R. Terblanche

7.3 Affordable Rental Housing/Build to Rent is

an Under-Valued Asset Class

An interesting outcome is that the affordable rental housing asset class has a ‘low
level’ of certification and yet a high level of water and energy efficiency practices.
A further finding on this matter is that the ‘expectations’ of the broad sector is
that only ‘office and industrial’ buildings are seemingly expected to ‘green’ through
certification, whereas affordable housing is green by operations. This is due to this
sector’s high level of metering of usage which is then recovered from users. Whereas
commercial property practice is to recover water and electricity through pro-rata
usage on square meters. What this is showing is that the affordable housing is far
more likely to be operationally efficient, whereas commercial and industrial are more
likely to be design efficient. This indicates that affordable rental housing seems to
be ‘getting off the expectations’ hook and being an under targeted area for driving
net zero carbon outcomes. Yet, due to the reuse of existing buildings and the high
level of metered sqm of buildings, this asset class is in fact proving an opportunity
for high performance.

7.4 EPC’s Could Help Align Projects and Financial

Reporting

The study found that net zero carbon buildings, due to the emphasis on the reliability
of the data used to determine the claims of low energy and lowering of carbon emis-
sions, are themselves being seen as a tool for meeting high ambition environmental
objectives. This bodes well for the future of lower carbon development, as the resi-
dential sector (single family homes and build to rent/affordable) is by and large the
dominant form of new developments being undertaken [4].

7.5 Overall Conclusion

Energy Performance Certificates could be a tool that influences the supply of net
zero carbon buildings [3, 16, 18, 21] due to their attributes of:
Accuracy in measured energy usage; provision of base date for carbon emission
calculation and lower cost of certification; alignment with the finding that 90% of the
participants reported on measured energy usage; and the provision of standardized,
highly accurate information for financial institutions which is being used in annual
ESG reporting.

Acknowledgements The authors wish to thank the participants in the research who kindly offered
their experiences of greening the real estate sector.
Evaluating How Energy Performance Certificates Could Influence … 737

Author Contributions Matthew Jackson contributed to conceptualization, methodology, vali-

dation, analysis, investigation, data collection, draft preparation, manuscript editing. Rolien
Terblanche contributed to conceptualization, methodology, validation, analysis, manuscript editing,
supervision.
Funding This research received no specific financial support from any funding agency.

Ethics Statement The affiliated university’s strict ethical procedures were followed, after
obtaining an ethical clearance certificate.

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Embodied Carbon Emissions
for Net-Zero Carbon Buildings:
A Comprehensive Study of New Zealand

Sateesh Pisini, Swetha Thammadi, and Suzanne Wilkinson

1 Introduction

According to the findings of the sixth assessment report by the Intergovernmental

Panel on Climate Change (IPCC), the collective GHG emissions from the building
sector amounted to 12 gigatons of CO2 -equivalent in 2019, constituting 21% of the
global GHG emissions for that year. In this figure, on-site direct CO2 emissions
accounted for 24%, whereas 18% were attributed to embodied emissions resulting
from the production of cement and steel used in construction. In 2022, the dedicated
production of steel, cement, and aluminum for building construction contributed 7%
to the overall global emissions related to energy and industrial processes. Notably,
steel and cement manufacturing were the primary contributors, comprising 95% of
this share. This increase in emissions was driven by the demand for new building
envelopes, requiring a total of 2 million metric tons of cement and 0.5 million metric
tons of steel—a quantity double that of the year 2000 [21]. Building construction
contributes to 20% of New Zealand’s total emissions, presenting a significant chal-
lenge for the country’s construction sector. Constituting around 9% of the nation’s
carbon emissions, it stands as the second-largest emissions source within the built
environment [40]. Most of the carbon emissions associated with new construction
projects from 2020 to 2050 are expected to stem from the initial upfront emissions

S. Pisini (B) · S. Wilkinson

School of Built Environment, Massey University, Auckland 0632, New Zealand
e-mail: [email protected]
S. Wilkinson
e-mail: [email protected]
S. Thammadi
Department of Civil and Environmental Engineering, University of Auckland, Auckland 1010,
New Zealand
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 739
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_46
740 S. Pisini et al.

[22]. The global demand for raw materials is projected to nearly double by 2060,
as the world economy expands and living standards rise, aggravating the current
environmental overload [32]. Despite its significant contribution to global GHG
emissions, embodied carbon has not received adequate attention in strategies aimed
at reducing building emissions [45]. The greatest potential to minimize embodied
carbon emissions lies in the planning and design phases of project development [43].
In the USA, the construction industry stands as the third-largest contributor to
GHG emissions [46]. Within the European Union, buildings emerge as the primary
consumer of energy, constituting up to 40% of total energy consumption and approx-
imately 36% of GHG emissions [13, 17]. In Australia, embodied carbon consti-
tuted 16% of the built environment emissions in 2019 [16]. The built environment
represents 20% of New Zealand’s carbon footprint [40]. Embodied carbon linked to
the construction of the built environment contributes to approximately 20–23% of
total global energy-related GHG emissions [20, 44]. Modeling conducted as part of
New Zealand’s Ministry of Business, Innovation, and Employment (MBIE) initiative
Building for Climate Change (BfCC) program indicates that the sector is responsible
for around 15% of the nation’s annual GHG emissions [39].
Embodied energy refers to the total energy expended in the extraction, purifi-
cation, processing, transportation, and production of a material or item, including
structures. On the other hand, embodied carbon relates to the carbon emissions asso-
ciated with materials and construction processes throughout the entire lifespan of a
building or infrastructure project [47]. The goal by 2030 is for newly constructed
structures, infrastructure projects, and renovations to exhibit at least a 40% reduction
in embodied carbon, resulting in significant initial emissions reductions. By 2050,
the objective is for all new construction, infrastructure developments, and renova-
tions to achieve a state where their embodied carbon is net-zero [48]. According to
the [42] report, carbon emissions linked to the construction and renovation of build-
ings presently contribute to 20% of emissions in the built environment. As emissions
from the operational phase of buildings decrease, the anticipated trend suggests that
by 2035, embodied carbon will constitute over 50% of emissions within the built
environment.
Figure 1 depicts the compilation of potential estimates gathered from various
countries, subsequently consolidated into regional and global projections for the
year 2050. In-depth studies utilizing a bottom-up approach indicate a potential miti-
gation of up to 45% in Australia, Japan, and New Zealand by 2050 when compared
to baseline projections. It is crucial to underscore that although these figures may
experience occasional variations, the supporting evidence is robust, and there exists
a substantial consensus among experts [22].
Stages of a Building’s Life Cycle
A building is a complex industrial creation designed to endure several decades
[2]. European standards (EN 15978:2011) and international standards (ISO 21931-
1:2022 and ISO 21930:2017) delineate the life cycle of a building into distinct
modules through the entire life carbon assessment information, as depicted in Fig. 2.
Notably, these standards articulate the methodology for reporting impact scores
Embodied Carbon Emissions for Net-Zero Carbon Buildings … 741

Fig. 1 Global and regional (for Australia, Japan, and New Zealand) projections of GHG emissions
in the building sector for both 2020 and 2050, along with their potential reductions by 2050 cate-
gorized by measures (sufficiency/energy efficiency/renewable energy) and direct/indirect emission
sources. Source [22]

across the entire life cycle of a building, segmented into four distinct stages: product
stage (Modules A1–A3), construction process stage (Modules A4–A5), use stage
(Modules B1—B7), and end-of-life stage (Modules C1–C4). An additional stage
encompasses the benefits and loads beyond the system boundary (Module D). Conse-
quently, to calculate the building’s embodied carbon (EC), five distinct system bound-
aries were established: “cradle (earth) to gate” (from raw materials extraction to the
manufacturing factory gate), “cradle to site” (from raw materials to the construc-
tion site), “cradle to end of construction,” “cradle to grave” (from raw materials to
demolition), and even “cradle (earth) to cradle” (encompassing reuse, recycling, and
recovery) [34].
Whole-of-life embodied carbon (WLEC) refers to the carbon emissions associated
with materials and construction processes throughout the lifespan of a building. This
calculation excludes carbon emissions linked to the building’s operational energy and
water usage (covered by Modules B6 and B7). WLEC includes upfront carbon, use-
stage embodied carbon, and end-of-life carbon but does not encompass operational
carbon. The inclusion of Module D (benefits and loads beyond the system boundary)
depends on the specific standards being followed. However, in the case of green star
ratings for non-residential buildings in New Zealand, Module D was considered. It
is crucial to emphasize that upfront-embodied carbon emissions originating from the
product and construction phases have the most significant impact on annual CO2
emissions [9].
742 S. Pisini et al.

Fig. 2 Stages of a building’s life cycle. Source [34]

A thorough literature review was conducted to comprehend the extent of embodied

carbon reduction through the utilization of low-carbon materials, carbon storage,
construction strategies, and other relevant studies. This is a swiftly progressing field
of research, and efforts have been made to grasp the background, available tools,
and data for calculating embodied carbon emissions in New Zealand. Additionally,
global frameworks and certification schemes adapted in the New Zealand context
have been recognized. Overall, the focus is specifically on non-residential buildings,
as this represents an emerging area of rating tools for upfront and WLEC reduction
in New Zealand. Finally, potential gaps in this research area were identified, and the
scope for future investigation was delineated.

2 Literature Review

Several studies have underscored the frequent utilization of life-cycle assessment

(LCA) to scrutinize carbon emissions in buildings. When assessing carbon emissions
throughout a building’s life cycle, two key components are considered: embodied
and operational carbon emissions [26]. Although standardized methods for evalu-
ating operational carbon emissions have been established because of their significant
impact on total carbon emissions over a building’s life cycle, there has been compar-
atively less emphasis on measuring embodied carbon. Nevertheless, the significance
Embodied Carbon Emissions for Net-Zero Carbon Buildings … 743

of embodied carbon is increasing in relative terms, particularly as buildings become

more energy efficient [14]. Ali and Xiao [3] categorized the relevant research into
six groups. In this study, research dedicated to exploring various strategies aimed at
reducing the embodied carbon of buildings were broadly classified into three main
categories: (1) materials, (2) carbon storage, and (3) construction strategies.

2.1 Materials

To reduce the carbon footprint associated with construction, it is crucial to priori-

tize environmentally friendly decisions during the design stage, emphasizing adapt-
ability and flexibility. This approach aims to extend the lifespan of buildings without
requiring substantial modifications [1, 19]. Opting for local materials and suppliers
can contribute to a reduction in transportation-related carbon emissions while simul-
taneously fostering a more regional economy. Moreover, strategic design involves
integrating circular economy principles into both the construction process and end-
of-life stages, with a focus on utilizing recycled and recyclable materials [15]. This
facilitates the implementation of circularity principles aligned with sustainable devel-
opment goals and climate change mitigation initiatives [11, 12]. Additionally, recy-
cling waste materials and components is expected to conserve more energy than
manufacturing entirely new elements, resulting in a decrease in embodied carbon
emissions during the A1–A3 phases.
Keyhani et al. [23] conducted a study on the measurement and reduction of
Embodied Carbon in educational buildings in the UK, employing a “low-carbon
materials” strategy and assessing the total embodied carbon using Life-Cycle Assess-
ment (LCA) along with three distinct data sources: Environmental Product Declara-
tions (EPDs), the ICE database, and guidelines provided by the Royal Institution of
Chartered Surveyors (RICS).
Design solutions to mitigate the environmental impact associated with building
materials include reusing and recycling materials, selecting materials with a low-
carbon footprint, sourcing materials locally, choosing durable and long-lasting mate-
rials, and minimizing the overall space and resources utilized [24]. Araujo et al. [5]
conducted an assessment of GHG emissions associated with Earth-based Bamboo
Bio-Concretes (EBBCs), incorporating varying proportions of earth as replace-
ments for the cementitious component, intended for applications in the construction
industry.
Substantial progress has been made in critical materials such as steel; for example,
the Swedish company SSAB (Svenskt Stål AB) pioneered the world’s first fossil-
free steel. Engineers in Cambridge are leading the development of the world’s first
zero-emission cement. Additionally, advancements in carbon capture and storage
techniques within concrete production, including low-carbon alternatives, are led
by industry leaders, such as Heidelberg Cement and Holcim. Notably, Saint-Gobain
achieved a milestone by becoming the first global company to attain zero carbon
744 S. Pisini et al.

production for flat glass through the use of 100% recycled glass and the adoption of
100% green energy derived from biogas and electricity [48].
Circular design, recycling, and reuse opportunities exist throughout all building
phases. However, individual stakeholder efforts to decarbonize will not succeed
without policy and financial support across these phases. For instance, closing the
supply demand gap for recycled materials requires building codes that mandate
reusable components [43]. Overall, reducing the environmental impact of material
production is imperative as part of the broader goal of achieving net-zero emissions.

2.2 Carbon Storage

Carbon storage in buildings can be optimized by transitioning to bio-based materials

such as timber. For instance, the carbon stored in timber has the potential to coun-
terbalance temporary reductions in forest carbon stocks, as forests can regenerate
and resume carbon absorption. This transformation can convert buildings into urban
carbon sinks, with carbon density increasing as building density rises, provided that
wood is responsibly sourced [41]. Mass timber is a more sustainable alternative to
concrete and steel, but sustainable sourcing and regulation are imperative. Numerous
studies have indicated that bio-based materials store biogenic carbon and have lower
embodied carbon footprints. However, the literature often lacks consistent consid-
eration of negative contributions, with uncertainty regarding which module they
affect [6, 10]. Bio-based materials offer the best alternative for achieving signifi-
cant decarbonization by responsibly managing the carbon cycles. The transition to
well-managed bio-based materials has the potential to result in cumulative emission
reductions of up to 40 percent by 2050 in many regions, surpassing the reductions
achievable through low-carbon concrete and steel [43].
Carbon offsetting is employed to counteract the embodied carbon in Modules
A1–A5, B1–B5, and C by purchasing carbon credits to support green energy and
reforestation projects, aiding global or local initiatives lacking financial resources.
This aligns with weak sustainability and should be a last resort after exhaustively
reducing operational and embodied carbon. Future regulations may mandate carbon
reduction or offsetting through certified credits, possibly increasing their cost [19].
Embracing nature-based solutions (NbS) and materials that naturally sequester
carbon due to the biogenic carbon absorbed throughout their growth and lifespan
before manufacturing offers a promising path toward reaching NZCB goals [6].
Highly potential organic materials for CO2 absorption and storage include wood,
hemp, mycelium, straw, bamboo, cork, cellulose, and wool. These materials support
circular economy principles, as they can be recycled, repurposed, or disposed of
responsibly at the end of their life cycle [41].
Ximenes and Grant [49] utilized LCA to assess the GHG emissions associated
with various building materials in Australia. They discovered that structural elements
composed of concrete and bricks accounted for up to 31% and 17% of the total
greenhouse gas impact, respectively. The authors also noted that incorporating timber
Embodied Carbon Emissions for Net-Zero Carbon Buildings … 745

in the sub-floor construction resulted in reductions in embodied GHG emissions

ranging from 31 to 56%.

2.3 Construction Strategies

Advancing innovation in construction methods plays a pivotal role in the transition

toward achieving net-zero emissions. Nexii, a participant in the net-zero carbon
buildings Commitment, champions a modular and circular construction approach and
has introduced a substitute for traditional concrete. This innovative solution allows
their panels to possess both strength and lightness while maintaining low-carbon
emissions, which are approximately 35% lower than those of conventional concrete.
It also emphasizes minimal waste generation and embraces a circular approach across
their projects.
Cement can be decarbonized by reducing the clinker-to-cement ratio, using more
cement alternatives, switching to electric kilns powered by a clean, renewable energy
grid, and exploring carbon capture and utilization during manufacturing. In primary
steel production, a shift from blast furnace to direct reduced iron technology, along
with electric arc furnaces powered by renewable energy, offers substantial emission
reduction potential. This can be further enhanced by improving recycling and imple-
menting carbon capture and storage. In the aluminum industry, the greatest emission
reduction potential lies in decarbonizing the electricity grid due to its high-energy
consumption [43].
The three-year Automating Concrete Construction Project (ACORN), which was
concluded in April 2022, is dedicated to reducing carbon emissions in construction
by reimagining the use of concrete in buildings. Collaborating with industry partners,
the Universities of Bath, Cambridge, and Dundee leveraged offsite manufacturing
processes, cost-effective robotics, and robust automation to achieve a remarkable
60% reduction in embodied carbon emissions compared with traditional flat-slab
equivalents. Moreover, this approach utilized 75% less concrete offcuts [48].

2.4 Other Studies

Zani et al. [51] devised a methodology with the goal of diminishing the embodied
carbon emissions of a building. This approach was implemented during both the early
and advanced design development phases to evaluate and compare various facade
design processes with the aim of establishing and meeting NZCB targets. Similarly,
Alotaibi et al. [4] proposed a method and conducted a life-cycle assessment of a
High-Rise Residential building, concentrating on the embodied carbon across the
three phases of building construction, operation, and demolition.
Blay-Armahet al. [7] evaluated the impact of different databases on the estimation
of end-of-life embodied carbon. Ekundayo et al. [14] carried out a comparative
746 S. Pisini et al.

assessment of selected open-source tools for calculating embodied carbon in the UK.
Hamza et al. [18] explored machine learning techniques for conducting life-cycle
assessments of embodied carbon in buildings.
Rinnie et al. [35] scrutinized the environmental impacts of a five-story hybrid
apartment building in comparison to timber and reinforced concrete counterparts.
They utilized the software tool One Click LCA to estimate the environmental impacts
related to building materials, assemblies, construction, and the end-of-life treatment
over a 50-year period in Finland. Several studies have sought to quantify the risks
associated with the overall environmental performance of buildings [36]. Addition-
ally, there is a focus on promoting construction techniques that reduce the carbon
footprint, such as the Industrialized Building System in Malaysia [25].

3 Embodied Carbon Emissions for Non-Residential

Buildings in New Zealand

3.1 Background

Aligned with global efforts to limit global warming to 1.5°C, Aotearoa New Zealand
unveiled its emissions reduction plan in 2022, aiming for a near-zero level of building-
related emissions in New Zealand by 2050. The primary focus is on reducing the
embodied carbon of buildings, with key areas of emphasis including the reduction
of embodied carbon in construction materials and the acceleration of the transition
to low-carbon building practices. To facilitate this, the government is exploring the
use of a climate innovation platform to foster the swift development and adoption of
innovative low-emission building materials and approaches.
Both operational and embodied carbon emissions from buildings in New Zealand
are substantial, and there is growing pressure on the building and construction sector
to address them. In line with actions taken in other sectors, the New Zealand govern-
ment is actively implementing measures to drive transformative change, including
new regulations aimed at achieving these emission reductions. MBIE introduced the
BfCC initiative with the aim of curbing emissions from the building and construction
sector while enhancing the climate resilience of buildings. Within the BfCC frame-
work, the whole-of-life embodied carbon (WLEC) emissions’ reduction framework
sets forth three primary objectives: improving the efficiency of new buildings, opti-
mizing material usage, and reducing carbon intensity. These objectives were designed
to reduce embodied carbon, as illustrated in Fig. 3, which outlines the method for
calculating a building’s embodied carbon.
The MBIE conducted an assessment of the embodied carbon within building
components for ten non-residential construction projects in New Zealand. The anal-
ysis was based on data from projects that utilized the eTool methodology and software
tool to present a detailed breakdown of the building’s embodied carbon, as shown in
Fig. 4 [39]. This analysis includes Modules A1–A3, B3–B4, C1–C3, and D.
Embodied Carbon Emissions for Net-Zero Carbon Buildings … 747

New building Whole-of-life

Material efficiency Carbon intensity
efficiency x x = embodied carbon

m2 Kg material/m2 Kg CO 2 -eq/kg material Kg CO 2-eq

Fig. 3 Proposed objectives of the WLEC framework [27]

Fig. 4 Breakdown of the embodied carbon of ten New Zealand buildings by element

3.2 Available Tools and Data

Carbon footprint assessment

The carbon footprint is a computational method that assesses the potential climate
change implications of building designs and offers valuable insights for informed
decision-making during the design phase. Additionally, it constitutes a crucial
component of a broader evaluative process known as life-cycle assessment, encom-
passing various environmental considerations. Carbon footprint is defined as the sum
of carbon emissions and carbon removal throughout the complete or partial product
life cycle [28, 30, 31].
The carbon footprint tools developed by Building Research Association of New
Zealand (BRANZ) include CO2 NSTRUCT, CO2 MPARE, and CO2 RE, as depicted
in Fig. 5. CO2 NSTRUCT is an embodied carbon and energy dataset that provides
information on greenhouse gas emissions and energy associated with construction
materials and products. The data within CO2 NSTRUCT were sourced from various
748 S. Pisini et al.

Carbon Footprint Tools

CO₂NSTRUCT CO₂MPARE CO₂RE

Residential
Embodied carbon Building carbon
and energy dataset footprint dataset building element
carbon footprint

Fig. 5 Flowchart showing the carbon footprint tools developed by BRANZ, New Zealand

references, with associated metrics indicating data quality. CO2 MPARE is a building
carbon footprint dataset that provides average carbon footprint measurements for
residential and office buildings in New Zealand, offering additional details, such as
energy consumption intensity and key materials contributing significantly to green-
house gas emissions. On the other hand, CO2 RE is a residential building element
carbon footprint dataset calculating carbon footprints per square meter for roof,
wall, and floor constructions in residential settings, sourced from the BRANZ House
Insulation Guide (5th edition). This allows for prioritization based on the desired
construction R-value.
In New Zealand, BRANZ developed a comprehensive framework for the entire
building life cycle, aiming to provide resources, data, and insights to facilitate
informed decisions in sustainable building design. The methodology involved
employing carbon footprint analysis and life-cycle assessment techniques.
Life cycle Assessment
Thousands of building life-cycle assessments (LCAs) and carbon footprints have
been completed worldwide since the 1990s [8, 38, 50]. Databases of past international
building LCA studies have been compiled by several authors, notably the Carbon
Leadership Forum [8], and Röck et al. [38].
The LCA tools used by BRANZ included LCAQuick and LCAPlay. Figure 6
illustrates a flowchart showing the LCA by BRANZ, New Zealand. These tools
estimate not only the climate impact, but also consider additional environmental
factors, such as eutrophication and fossil fuel depletion. Although LCAQuick is a
freely available LCA tool for computing greenhouse gas emissions (along with other
environmental effects) associated with building designs, LCAPlay is a user-friendly
and quick-to-use tool for evaluating the potential greenhouse gas emissions (as well
as other environmental repercussions) of alternative building choices. Other LCA
tools accepted by NZGBC for calculating embodied carbon include eTool and One
Click EC3. Figure 7 shows the method for estimating the total environmental impact
of a building using LCA.
Embodied Carbon Emissions for Net-Zero Carbon Buildings … 749

Life Cycle Assessment Tools

LCAQuick LCAPlay

Evaluates the carbon Assess potential

footprint and other environmental impacts
environmental for commercial building
impacts of a building design concepts.
design.

Fig. 6 Flowchart showing the life-cycle assessment tools by BRANZ, New Zealand

Inventory Impacts Total

Estimation of Estimation of
quantities of x environmental = Estimation of total
materials and impacts for each environmental
processes in material and impact of building
building process

Fig. 7 Method for estimating the total environmental impact of a building. Source [9]

3.3 Frameworks and Certification Schemes

The commonly used rating tools developed and adapted in New Zealand as well as the
international rating tools for non-residential buildings in New Zealand are summa-
rized in Fig. 8. The frameworks for defining net-zero carbon in buildings include
Carbon zero Building Operations (operational carbon) developed by NZGBC and
Toitū Envirocare, Living Building Challenge (Construction and Operational carbon),
Zero Carbon Certification (Construction and Operational carbon), and Zero Energy
Certification (Planning and Operational carbon) [29]. Framework and project stages
for net-zero carbon buildings in New Zealand are shown in Fig. 9. Cost-effective and
innovative certification schemes and incentivized and dedicated financing efforts
from case studies conducted globally were demonstrated by Pisini et al. [33].
Credits (19.1, 19.2, 19.3) in green stars and the built NZv1.1 designate a mandatory
reduction of 10% for upfront carbon with 1 point for a 15% reduction to 6 points for
a reduction of 40% through Credit 19.1. Credit 19.2 specifies 1, 2, and 3 points for
750 S. Pisini et al.

International rating tools in New Zealand for non-residential buildings

Planning
BREEM

Construction
Living Building Challenge
CORE
Operational
WELL

Refurbishment
LEED
Whole of Life

Commonly used rating tools developed/adapted in New Zealand

for non-residential buildings

Planning
Green Star

Construction
NABERSNZ

Operational

Fig. 8 Frequently used rating tools designed for non-residential buildings in both the New Zealand
and global contexts

Frameworks and project stages for net zero carbon buildings in New Zealand

Carbonzero building
Net zero Planning stage
operations
energy
Living Building Construction
Challenge stage

Net zero Zero Energy Operational

carbon Certification stage

Fig. 9 Frameworks and project stages for net-zero carbon buildings in New Zealand

10%, 20%, and 30% reduction through whole-life whole-building multi-indicator

LCA. Credit 19.3 on Long-term Carbon Storage awards up to two points for carbon
stored for more than 50 years. Overall, the green star rating system for non-residential
buildings is compliant with the modular structure of EN 15978/EN 15804/ISO 21930
standards and draws on public data from BRANZ and EPDs.
Embodied Carbon Emissions for Net-Zero Carbon Buildings … 751

Constructing low-emission office buildings between 2025 and 2050 in New

Zealand could lead to an average annual reduction of 46,200 tons of CO2 -equivalent
emissions, resulting in a cumulative reduction of 1.2 million tons of CO2 -equivalent
emissions by 2050. If these office buildings were initiated in 2030, savings would
amount to just under 970,000 tons [37].

4 Discussion and Conclusions

The built environment industry has predominantly concentrated on operational

carbon reduction, emphasizing energy reduction targets in building regulations, plan-
ning requirements of local authorities, and sustainability assessment rating schemes
(such as BREEAM and LEED). Embodied carbon assessment has received less
attention, creating a research gap in exploring strategies to reduce embodied carbon
emissions. Green star, a sustainability rating system for non-residential buildings in
New Zealand, provides a well-defined embodied carbon methodology and calculator
guide along with a life-cycle impact calculator guide. However, further research is
required to understand the factors influencing embodied carbon emissions in New
Zealand, with modeling tools such as STIRPAT being applicable.
The urgency of rapid urbanization calls for immediate policy actions to tran-
sition building material life cycles toward regenerative methods. The shifting of
bio-based materials can significantly reduce emissions and promote biodiversity.
While technological advances have enabled low-carbon materials, social acceptance
remains challenging. Achieving net-zero emissions requires prioritizing renewable
or reusable materials and investing in decarbonization methods, such as electrifica-
tion and carbon capture. Developed economies should upgrade industry practices,
repurpose old concrete, and invest in research on construction material recovery
and processing equipment. Increased investment in research and development of
design and secondary manufacturing techniques, along with the necessary equipment
for recovering and processing construction, renovation, and demolition materials, is
crucial. Designing structural elements with low embodied carbon is essential, and
solutions that combine resilience and material efficiency should be explored to reduce
building emissions.
In conclusion, it is imperative to promote a circular material economy that empha-
sizes reuse and recycling to prevent fresh extraction. The transition to emerging
methods such as hybrid bio-based materials and other low-carbon alternatives may
currently lack economic viability and require substantial investments from both estab-
lished and emerging producers. This transition should be supported by incentives
and enforceable building codes, and sustainable construction management practices
should be identified through drivers within a hierarchical framework.
752 S. Pisini et al.

Author Contributions Sateesh Pisini played a role in conceptualization, methodology, anal-

ysis, drafting, and editing of the manuscript. Swetha Thammadi contributed to preparation of the
draft manuscript, figure reproduction, and editing. Suzanne Wilkinson contributed to supervision,
discussion, and technical editing. All authors have reviewed and approved the manuscript before
submission and publication.
Funding This research did not receive specific financial support from any funding agency.

Ethics Statement Not applicable.

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Performance of Sustainable Reinforced
Concrete Beams Containing Fine Plastic
Waste Aggregate and Their Life-Cycle
Costing

Svetlana V. Samchenkoa, Oksana A. Larsena, Alaa Jaleel Naji,

Dheyaa A. N. Alobaidi, Asser Elsheikh, and Alexey S. Markovich

1 Introduction

The global plastic production in 2020 was nearly 381 million tons [4]. By 2050, this
amount is predicted to rise to 1100 million tons [27]. Plastic products generated an
estimated 44 metric tons of plastic waste in the USA in 2019; approximately 86%
was buried, 9% was combusted, and 5% was reused. Buried plastics represented
considerable losses, with a market value of about US$7.2 billion [20]. Due to the
extremely rapid consumption of plastic products, the generation of plastic waste
increased. Therefore, one of the major issues threatening both the environment and
humans is the exponential rise in the consumption of plastic products [16]. Recycling
is the perfect option to reduce the accumulation of plastic waste compared with other
options like burning, burying, or throwing it into rivers and seas, polluting the air,
soil, and water [5].
The growth in the global construction sector is witnessing a significant increase.
For instance, 230 billion square meters of new construction around the world are
expected every single week [9]. Not only the cement but also the natural fine and

S. V. Samchenkoa · O. A. Larsena · D. A. N. Alobaidi

Department of Construction Materials Science, Moscow State University of Civil Engineering
(National Research University), Moscow, Russian Federation
A. J. Naji (B) · A. Elsheikh · A. S. Markovich
Department of Civil Engineering, Peoples’ Friendship University of Russia Named After Patrice
Lumumba (RUDN), Moscow, Russian Federation
e-mail: [email protected]
A. J. Naji
Roads and Transport Engineering Department, University of Al-Qadisiyah, Ad Diwaniyah, Iraq
A. Elsheikh
Structural Engineering Department, Mansoura University, Mansoura, Egypt

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 757
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_47
758 S. V. Samchenkoa et al.

coarse aggregate are the main components of the concrete matrix. Generally, they are
around 77% of the total volume of concrete, therefore, the investigation of alternative
materials is gaining more attention [14].
Recently, the production of renewable materials has received increased attention
for economic and environmental reasons, with the use of plastic waste material in
concrete being an important step toward sustainable concrete production [24]. The
scientists investigate innovative and sustainable means to reuse or recycle the plastic
waste in the construction sector to minimize its negative effects on the environment.
In addition, provide alternatives to replace the coarse and fine aggregates in the
concrete [18].
The experimental study had been published and described the behavior of high-
strength concrete beams containing coarse plastic waste aggregate made from high-
density polyethylene (HDPE) by utilizing vegetable boxes with 10%, 20%, and 30%
ratios. The crack resistance and failure time for the 30% replacement ratio were
similar to the control beam, and the stiffness increased by 24% while the ultimate
load decreased by 7% [23].
The compressive strength of concrete mixes with coarse plastic particles made
from plastic waste boxes was tested. The study conducted the ratios (20, 40, 60, and
80%) of partial substitution for natural coarse aggregate, and the findings referred to
a decrease in compressive strength [13].
Some studies investigated the influence of utilizing recycled coarse aggregates on
the long-term deformations of reinforced concrete beams; the results indicated that
recycled concrete showed higher deformations than recycled concrete. In addition,
recycled aggregate content affects concrete behavior in terms of deflection recovery
over time [2, 25].
Numerous researchers have examined the behavior of reinforced concrete beams
strengthened with plastic waste fibers that are recycled from plastic waste bottles
(polyethylene terephthalate); the results showed an improvement in the compressive
strength [1, 3, 26].
Both an experimental and numerical investigation focused on the effects of
utilizing plastic mesh layers manufactured from wastewater plastic gallons on the
flexural behavior of non-structural concrete beams, whose dimensions were 80 mm
× 280 mm. The mesh void ratio effects and the effective width of the mesh have
been checked. The results showed that using the plastic fiber mesh had improved
the ductility compared with the reference specimens, and the ultimate load of the
member increased as the effective width of the mesh increased [12].
This study carried out an experimental investigation on the utilization of fine
plastic waste aggregate as a substitute for fine natural aggregate and its impact on
the properties of concrete, the structural behavior of RC beams, and life-cycle cost.
Performance of Sustainable Reinforced Concrete Beams Containing … 759

Table 1 Gradation of coarse aggregate and properties

Size of sieve (mm) Percent passing % of coarse agg Limits (45: 1984)
37.5 100 100
20 100 95–100
9.5 53 30–60
4.75 0 0–10
SO3 content (%) 0.08 ≤ 0.1

Table 2 Gradation of fine aggregate and properties

Size of sieve (mm) Percent passing % of fine agg Limits (45: 1984)
9.5 100 100
4.75 94 90–100
2.36 94 85–100
1.18 77 75–100
0.6 63 60–79
0.3 31 12–40
0.15 0 0
SO3 content (%) 0.27 ≤ 0.1

2 Experimental Work

2.1 Concrete Materials

The materials utilized in the reference concrete mixes in this experiment were sulfur-
resistant Portland cement, meeting Iraqi Standard No. 5/1984 [15]. Table 1 shows
sieve analysis and properties for neutral coarse aggregate. Table 2 shows the sieve
analysis and properties of neutral sand aggregate.
Several trial concrete mixes (listed in Table 3) were prepared in the laboratory to
determine the optimum plastic content. The total volume of fine aggregate remained
unchanged; that is, the amount of sand decreased and the amount of plastic increased
by the same volume. The compressive strength of all concrete mixes is shown in
Table (3).

2.2 Fine Plastic Waste Aggregate

The fine plastic waste aggregate was manufactured in this study using vegetable
plastic boxes made from high-density polyethylene (HDPE). The boxes were
760 S. V. Samchenkoa et al.

Table 3 Mix proportion (kg/m3 )

Mixes Cement Fine agg Plastic fine agg Coarse agg W/ C
MR 375 670 0 1150 180
M1 375 603 67 1150 180
M2 375 536 134 1150 180
M3 375 469 201 1150 180
M4 375 402 268 1150 180
M5 375 335 335 1150 180

collected and shredded into small pieces, which were then filtered through a 4.75-
mm sieve. Additionally, recycled plastic pieces were washed and air-dried before
use. Figure 1 illustrates the process of manufacturing the fine plastic waste aggre-
gate: (a) collection of the vegetable plastic boxes; (b) shredding of the plastic boxes;
(c) washing plastic waste aggregate; and (d) drying of the plastic waste aggregate.
According to Radhi, M. M. et al., the properties of plastic waste aggregate are as
follows: density 0.949 kg/m3 , water absorption zero, modulus of elasticity 358.7
(MPa), compressive strength 26.4 (MPa), tensile strength 7.7 (MPa), and flexural
strength 878.3 (MPa) [23].

2.3 Specimens’ Design

The two reinforced concrete beams in this investigation were designed according to
ACI 318M-14 [7] to fail in flexure. The cross-section of beams shown in Fig. 2 was
150 mm in width and 250 mm in depth, with 1200 mm as the total length of the
beam. The reinforcement details of the beams were 2Ø10 mm bottom tension and
2Ø10 mm top bars. The spacing distributed along the shear spans was 10 mm closed
stirrups of 100 mm center-to-center to prevent shear. The first beam (S1S) was cast
with 100% natural fine aggregate from the concrete mix (MR). The second beam
was cast with the mix (M3) which contained 30% fine plastic waste aggregate.

2.4 Test Methods

Figure 2 illustrates the test setup for the three-point bending; 1080 mm was the test
span. The load was applied gradually by the hydraulic testing machine. A linear
variable differential transformer (LVDT) was used to record deflection at the span’s
center, while a digital image correlation approach was used to track cracks on the
reinforced concrete beam’s surface at each load step until failure. The main principle
of DIC is to take an image of the specimen before loading and an image after the
Performance of Sustainable Reinforced Concrete Beams Containing … 761

(a) Raw vegetable plastic boxes. (b) Shredding the plastic boxes.

(c) washing plastic waste aggregate (d) drying the plastic waste aggregate.

Fig. 1. a Raw vegetable plastic boxes. b Shredding the plastic boxes. c Washing plastic waste
aggregate. d Drying the plastic waste aggregate

Fig. 2 Testing and details of the reinforced concrete beams

762 S. V. Samchenkoa et al.

Fig. 3 Experimental setup of digital image correlation technique

specimen is loaded to confirm a reliable image correlation. The surface of the spec-
imen should be covered with a random gray intensity distribution (speckled pattern)
as shown in Fig. 3. The vision-based measurement system needs a camera and soft-
ware for image acquisition and processing for the estimation of the crack width. In
this work, the distribution of scale values in the image in the undeformed state and
those in the deformed state is compared as the basis for the DIC approach. As a
result, the function g (x, y) in the undeformed image represents the initial gray-level
distribution, whereas g (xt; yt) in the deformed image [17].

3 Results and Discussion

3.1 Fresh Concrete Workability

Workability of concrete mix is freshly mixed concrete that can be mixed, cast, and
finished with less homogeneity loss. Workability is a property that directly affects
strength, quality, and even the cost of labor for casting and finishing operations.
In accordance with ASTM C143, the slump test is most commonly used to check
the consistency of the concrete mix [21]. In this study, it was used to notice the
influence of the fine plastic waste aggregate on workability. In general, the densities
of the concrete mixes decreased as the replacement ratio increased. Since fine waste
plastic aggregate has a lower specific gravity than fine natural aggregate, the mixture
becomes stiffer. Also, the plastic particles cause an increase in the friction between
the particles of the concrete and act as a barrier to the flow of the concrete.
Performance of Sustainable Reinforced Concrete Beams Containing … 763

Table 4 Compressive strength mixes

Plastic waste Comp strength Split tensile Changing in Decreasing in Slump (mm)
% (fcu) MPa strength (fs) comp. strength tensile
MPa (%) strength (%)
0 30 2.94 0 0 140
10 28 2.83 −6.66 −3.74 131
20 25 2.71 −16.66 −7.82 123
30 21.5 2.08 −28.333 −29.25 108
40 20 2.03 −33.33 −44.82 104
50 17 1.85 −43.33 −37.07 97

3.2 Compressive Strength

The compressive strength of concrete is the most significant characteristic that is

used to estimate the quality of the material. Concrete compressive strength is the
ability of a concrete structural member to withstand pressure applied to its surface
without cracking or deflection. Fifteen-cm-cubic specimens were investigated to
evaluate the compressive strength of concrete mixtures with various ratios of fine
plastic aggregate. Table 4 illustrates the effect of utilizing fine plastic aggregate on
compressive strength after 28 days for each mix. Using fine plastic waste aggregate
made from vegetable plastic box waste as a replacement for natural fine aggregate in
concrete mixtures resulted in a decrease in compressive strength with an increasing
replacement ratio. The lower compressive strength is due to the fact that plastic
particles create additional pores in concrete, and bonds are weakened by the weak
arrangement around them. These results are consistent with the outcomes reported
by Hussain et al. (2018).

3.3 Split Tensile Strength

The tensile strength of concrete is one of its vital properties that greatly influences
the extent and dimension of cracking in structures. Besides, due to its brittle nature,
concrete is highly susceptible to tensile forces [21]. To determine the tensile strength
of concrete, cylinders with a diameter of 100 mm and a height of 200 mm were tested
after 28 days. Figure 4 depicts the tensile strength graphed for all concrete mixes. It
illustrated that when increasing the replacement ratio of fine plastic waste aggregate
in concrete, the splitting tensile decreases. In high replacement ratios of fine plastic
aggregate, the tensile strength decreases as a result of an increase in voids present
within the concrete. The reduction in tensile strength was clearly. Such a reduction is
also the findings of [3]. The utilizing of fine plastic waste aggregate in the concrete
decreases the bond strength between the ingredients.
764 S. V. Samchenkoa et al.

Fig. 4 Split tensile strength

3.4 Flexural Strength

The resisting ability to fail in bending a structural member is described as flex-

ural strength, which is usually calculated by a three- or four-point loading test. The
flexural tests in Fig. 3 were performed on cross-section details to test the influ-
ence of substituting 30% fine plastic waste aggregate on the behavior of reinforced
concrete beams. Figure 5 shows load–deflection curves for all specimens of flex-
urally reinforced concrete beams. The results exhibited better flexural strength for
reinforced concrete beams with 30% fine plastic waste aggregate than the reference.
Also, load–deflection curves exhibited comparable behavior for the flexible mate-
rial before cracking. The test results indicated that the direct effect of the use of
fine plastic waste aggregate in reinforced concrete beams led to a reduction in the
ultimate load capacity. But, it showed better flexural strength and resistance to the
cracks than the reference.

3.5 The Digital Image Technique and Cracking Patterns

Because of the determinants of direct image-based crack measurements, the digital

image correlation approach (DIC) has recently been applied to a large extent to check
crack patterns in experimental studies [11]. The digital-image technique (DCI) is
a non-contact and optical measurement method that has been applied as a useful
method to measure numerous parameters like deformation, strain, and cracking
on concrete surfaces as a result of the rapid development of digital imaging and
data-processing techniques. The digital image correlation (DIC) method procedure
includes converting the recorded video to digital images using converter software
Performance of Sustainable Reinforced Concrete Beams Containing … 765

Fig. 5 Load deflection curve

[22], which refers to the value of frames per second (FPS). Figure 3 illustrates the
setup of the digital image correlation technique and the result in Fig. 6. The crack
patterns are observed using a digital image correlation approach. The cracks began
to form in the middle of the beams; they started at the bottom and expanded to the
top during increased failure loads. Another notice was that cracks formed on the
reference specimens earlier than on the beam, which contained fine plastic waste
aggregate. In comparison to the reference beam, the specimen, which included fine
plastic waste aggregate, had greater crack strength.

(a) Crack patterns for beam S1S. (b) Crack patterns for beam S2S.

Fig. 6 a Crack patterns for beam S1S. b Crack patterns for beam S2S
766 S. V. Samchenkoa et al.

3.6 Life-Cycle Cost Analysis of Reinforced Beams

Containing Plastic Waste Aggregate

Life-cycle cost (LCA) is a common method used to assess the cost performance
of materials, services, or products. Furthermore, it can be used to inform decision-
makers about alternatives [28]. The life-cycle cost approach allows the designer to
choose any construction material that satisfies the project’s performance require-
ments. Not only evaluating construction materials but also their life-cycle costs is a
method for comparing and choosing a cost-effective construction material [10]. The
life-cycle cost (LCC) is mainly composed of three essential categories: construction
cost, operation and maintenance cost, and end-of-life cost [19].

LC C = C c + C r + C e . (1)

Construction costs (C c ) include three main categories: material, labor, and equip-
ment. Reinforced concrete materials consist of sand, gravel, cement, and rebar, while
equipment covers formwork, transportation, and the setup of rebar. The meter cube is
the relevant unit of measurement pertaining to the concrete beams, and the total cost
of each type of RC beam utilizing natural aggregates and plastic waste aggregates
was accounted for as listed in Table 5. Based upon the average market rates at the
time of preparing this study, all costs have been calculated. The total cost for natural
aggregate is (20$) for one cubic meter, while the total cost for plastic waste aggregate
is (30$) for one cubic meter. According to recent prices, the construction cost and
market rates were estimated. The fine aggregate often covers about 30% of the unit
rate of concrete; hence, the cost of the plastic waste aggregate was discounted and
replaced with 30% of the unit rate.
Maintenance cost (C r ) includes all the needed labor, materials, or tools, as
well as other relevant fees, to keep a structure or its parts in a condition in
which they can perform their in-demand jobs. Maintenance and operation cover
running and managing the facility, conducting corrective or responsive maintenance,
and including all related administration, such as scrub, servicing, rehabilitation,
repainting, and part replacement, where necessary to allow the created asset to be
used for its intended purposes. According to Al-Qahtani et al., the rated cost of
maintenance is assumed to account for 30% of the construction cost [6].
According to ISO 15686-5:2017, end-of-life costs (C e ) are the net cost or fee for
disposing of a material, product, or piece of equipment at the end of its useful life.
It is comprised the demolition of a building, disposal of components and materials,

Table 5 Life-cycle cost analysis of reinforced beams

Types of beams Construction cost Maintenance operation cost End-of-life cost
S1S 400 ($/m3 ) 120 ($/m3 ) –
S2S 400 ($/m3 ) 120.9 ($/m3 ) –
Performance of Sustainable Reinforced Concrete Beams Containing … 767

scrap value, site remediation, recycling, recovery, transport, and regulatory costs [8].
Both types of concrete are assumed to have the same landfill cost.
Although the price of the fine plastic waste aggregates is currently higher than that
of comparable natural sand aggregates, the life-cycle cost of RC beams using the fine
plastic waste aggregate is almost similar to that of beams using natural aggregates.
In order to enhance the compressive strength of RC beams containing fine plastic
waste aggregate, chemical additives and a lower water-to-cement ratio may be used.

4 Conclusion

An experimental study on the fresh and mechanical properties of concrete with fine
plastic waste aggregate manufactured from vegetable plastic boxes as sustainable
concrete was presented in this paper. Also, investigate the flexural behavior of rein-
forced concrete beams that contain 30% fine plastic waste aggregate. Besides, a
digital image correlation approach is used to track the cracks on the surface of the
reinforced concrete beams. Also, to assess the life-cycle cost implications of using
fine plastic waste aggregates in reinforced concrete beam structures, the findings of
this study are listed below:
• As the percentage of replacements increases, the densities of the concrete mixes
decrease as a result of the lower specific gravity of fine plastic waste aggregate
compared to natural fine aggregate, and the mixture stiffens. Also, the plastic
particles cause an increase in the friction between the particles of the concrete
and act as a barrier to the flow of the concrete.
• The increase in the replacement ratio of fine plastic waste aggregate in concrete
mixes makes for a reduction in splitting tensile strength due to an increase in voids
inside the concrete.
• Utilizing fine plastic waste aggregate in the concrete mixes makes for a reduction
in the compressive strength of the mixes with an increasing replacement ratio. The
lower compressive strength is due to the fact that plastic particles create additional
pores in concrete, and bonds are weakened by the weak arrangement around them.
• The test results indicated that the direct effect of the use of fine plastic waste
aggregate in reinforced concrete beams led to a reduction in the ultimate load
capacity. But, it showed better flexural strength and resistance to the cracks than
the reference.
• The results of the assessment of life-cycle cost support the utilization of fine
plastic waste aggregates as an alternative to neutral fine aggregate to conserve
natural resources and minimize the environmental effects of both the concrete
and plastic industries.
• In order to enhance the compressive strength of RC beams containing fine plastic
waste aggregate, chemical additives and a lower water-to-cement ratio may be
used.
768 S. V. Samchenkoa et al.

• This study supports the production of renewable materials for economic and envi-
ronmental reasons, with the use of plastic waste material in concrete being an
important step toward sustainable concrete production.

Author Contributions Svetlana V. Samchenko contributes to conceptualization, methodology,

supervision; Larsen Oksana Aleksandrovna contributes to conceptualization, supervision, software,
validation; Alaa jaleel Naji contributes to analysis, investigation, data collection, draft prepara-
tion, manuscript editing, visualization, project administration; Dheyaa A. N. Alobaidi contributes
to investigation and data collection; and Asser Elsheikh contributes to o conceptualization,
methodology, supervision and draft preparation.

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Review of the Critical Success Factors
for Stakeholders’ Management
in Sustainable Building Projects

Osabhie Paul Esangbedo, Bilge Erdogan, and Yasemin Nielsen

1 Introduction

The construction industry comprises of large number of participants called stake-

holders who work within the project success criteria. These stakeholders are referred
to as entities, having stakes in a project, or who can be affected by the project in
fulfilling its objectives [29]. According to Oppong et al. [30], each of the numerous
stakeholders on a project often present a wide range of interests to enhance project
success which are to be met through project delivery. Phung et al. [33] stated that
project success is viewed as a combination of the triple bottom line criteria of sustain-
ability (social, economic, and environmental), project performance (cost, time, and
quality), and stakeholder satisfaction. To improve sustainability, Hwang and Ng [18]
was of the view that project stakeholders can incorporate these goals into their roles
during project lifecycle since they are the actors who guarantee that project objec-
tives are delivered. According to Ibrahim et al. [19], a well-integrated and managed
team will result in a successful sustainable building project. Relationship between
project stakeholders is central to the success of projects [20].
Smart collaboration enhances multi-stakeholder partnership for sustainable devel-
opment which makes sustainable building projects complex and difficult to manage
as diverse construction professionals with varying background, level of training
and experience, collaborate to ensure project objectives are delivered successfully.
This collaborative approach should manage risks and provide good governance

O. P. Esangbedo (B) · B. Erdogan

School of Energy, Geoscience, Infrastructure, and Society, Heriot-Watt University, Edinburgh,
Scotland
e-mail: [email protected]
Y. Nielsen
School of Energy, Geoscience, infrastructure, and Society, Heriot-Watt University, Dubai, UAE

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 771
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_48
772 O. P. Esangbedo et al.

tools through flexible institutional arrangements based on technological innova-

tions. However, multi-stakeholder partnerships enable shared knowledge, expertise,
technology and financial resources to support the achievement of sustainable goals
thereby making the building construction process complex with poor coordination
and management leading to participants unsatisfied with project outcomes [14, 16].
Therefore, proper understanding of project complexity is essential to ensure effec-
tive management and establishing a management system of multi-stakeholders who
are involved on a project. This will ensure delivery of building projects that meets
the needs and expectations of stakeholders who raise concern in line with their
interest during the execution of the project. Failure to meet such concerns could
led to litigations or protest which are indications of the dissatisfaction of project
stakeholders.
Molwus et al. [27] established the relationships between the critical success
factors for stakeholders’ management and construction project success based on
an exploratory grouping. The study developed a framework for generic construction
projects and found out that stakeholders’ engagement has direct impact on project
success. A study by Phung et al. [33] developed a model for sustainable project
management of which stakeholder management was one of the five components.
Although there have been a number of research efforts on stakeholder manage-
ment and construction sustainability, there is no specific focus on different type of
projects. Building projects have complex stakeholder structures which are prone to
contradictions and conflict, and high sustainability expectations. It is necessary to
have a specific investigation on the impact of the critical success factors of stake-
holder management to achieve sustainable building projects. Therefore, there is need
to set up a management structure of multi-stakeholders who collaborate to achieve
sustainable building project. This study aims at conducting a thorough analysis of the
pertinent literature on the critical success factors (CSFs) for stakeholder management
that can result in sustainable building projects. The research questions are:
(1) What are the issues associated with sustainable construction which effective
management of stakeholders can be a panacea?
(2) What are the outcomes of previous literature about stakeholder management
and sustainable construction?
Review of the Critical Success Factors for Stakeholders’ Management … 773

2 Literature Review

2.1 Stakeholder Management and Sustainable Building

Projects

According to Marcelino-Sádaba and Pérez-Ezcurdia [23], a way to achieve sustain-

ability, is to recognise projects and their management therefore, it is necessary to
focus on stakeholders who originate, approve, finance and participate in its execu-
tion. Stakeholder management throughout the life cycle involves processes necessary
to identify stakeholders and analyse those who could influence the project [21].
The analysis enhances the development of appropriate strategies to manage the
project team and their activities. In the course of managing stakeholders, their attitude
can ascertain the level of contribution the project will attain in improving sustainable
development and compliance with sustainable principles. Sustainability ensures that
financial, social and nature responsibility factors integrates in order for the resources
to be judiciously utilised [38]. Though project management frameworks do not effec-
tively take social and environmental issues into account, integrating sustainability and
project management is vital in order to achieve project success as project manage-
ment methodologies are not excluded from the sustainability. It has been argued
that current project management frameworks do not effectively take social and envi-
ronmental issues into account, and thus require revision [7]. Few researchers like-
Silvius [35], Martens and Carvalho [24], Fernández-Sánchez and Rodríguez-López
[13], Sanchez [34], Vifell and Soneryd [39] have made attempt to integrate sustain-
ability and project management. Singh et al. [36] stated that in order to guarantee that
projects are handled in a way that would support sustainable development, indica-
tors must be created that can be utilised in decision-making to align with operational
processes.
Moreover, the motivation for incorporating sustainability principles may be both
value and business based. Achieving a balance between the triple bottom line criteria
of sustainability involves multi-disciplinary participation of different stakeholders
who collaborate to execute these projects.
According to Molwus [26], individuals, organisations or organisations with a stake
in the project and the ability to participate are known as stakeholders in construction
projects.
Stakeholders could be categories as internal and external. Srinivasan and Dhivya
[37] stated that internal stakeholders are directly involve in organisation’s decision-
making process while external stakeholders are people who gets affected by the
organisation’s act. These stakeholders have different priority requirements for
sustainability. However, proper stakeholder management is essential for sustainable
initiatives to succeed in balancing these different requirements [33]. This enables the
use of good project management approach to keep balance between the interest of
stakeholders in sustainable building projects [15].
774 O. P. Esangbedo et al.

2.2 Critical Success Factors (CSFs) of Stakeholder

Management to Achieve Sustainable Building Projects

Success factors are variables that affect the accomplishment of success criteria used
in evaluating project performance. Therefore, for the success criteria of sustainability
to be achieved, the success factors for managing stakeholders needs to be analysed
to control stakeholders’ interactions.
Several success factors for stakeholder management have previously been discov-
ered by academics. The CSFs affecting stakeholder management in construction
project was investigated by Waghmare et al. [40] and identified 30 success factors.
However, Eyiah-Botwe et al. [12] investigated the CSFs to improve the management
of stakeholders in the Ghana construction industry using questionnaire survey and
evaluated 35 CSFs. Molwus et al. [27] grouped the identified 23 factors of stake-
holder into four (4) with emphasises on the procurement route in the life cycle of
construction projects. Though stakeholder management has been broadly discussed
amongst previous studies, no study has explored stakeholder management to achieve
sustainability.
Therefore, literature review on the key success elements for achieving sustain-
able buildings served as the foundation for this study. The review focussed on
issues surrounding stakeholder management on construction projects that have been
covered in scholarly works and papers presented at conferences. Due to its recovery
precision and performance accuracy, this method has always been used to locate
important papers for investigations [31]. The search criteria term used in this study
are as follows: ‘Stakeholder management’, ‘sustainable building’, ‘critical success
factors for stakeholder management’ and ‘collaborative working’. Finding the CSFs
of managing stakeholders to achieve sustainable building was the study’s goal, hence
it was important to screen out factors that were irrelevant.
Significant contributions to the identification of CSFs for the management of
stakeholders came from Yang et al. [42], El-Sawalhi and Hammad [11], Nauman
and Piracha [28], Amoatey and Hayibor [3], Oyeyipo et al. [32], Wasiu Adeniran
et al. [41], Mashali et al. [25]. After reviewing CSFs proposed by several researchers,
this study proposed 25 critical success factors for stakeholder management in sustain-
able construction projects and grouped them into four (4) constructs, namely: Stake-
holder characteristics and project characteristics (SCPC), Stakeholder analysis (SA),
Stakeholder Dynamics (SD) and Stakeholder Engagement (SE). A list of 25 CSFs is
compiled as follows:
1. Clearly defining the project mission and shared goals
2. Ensuring the use of a favourable procurement strategy
3. Proper identification of project stakeholders
4. Clearly defining the roles and responsibilities of various professionals
5. Stakeholders’ knowledge and expertise of sustainability
6. Competence of project manager
7. Identifying the areas of stakeholders’ interest
8. Evaluating stakeholders’ attributes (power, legitimacy, proximity, Urgency)
Review of the Critical Success Factors for Stakeholders’ Management … 775

9. Identifying and analysing possible conflicts and coalitions

10. Mapping stakeholders’ behaviour towards the project
11. Establishing an effective conflict resolution strategy
12. Assessing the influence (low, medium, high) of stakeholders on project decisions
13. Conduct sustainability risk impact assessment
14. Evaluation of potential solutions by stakeholders to project problems
15. Manage changes (attributes, interest, influence, relationship) in stakeholders
16. Continuous evaluation of stakeholders’ expectations and satisfaction
17. Manage effects of project decisions on stakeholders
18. Manage conflict and controversy between diverse stakeholders
19. Participation and collaboration of stakeholders throughout project life cycle
20. Client and end-users’ involvement
21. Early engagement of external stakeholders
22. Frequently communicating with stakeholders
23. Fostering and maintaining positive relationships between stakeholders
24. Stakeholder participation in decision-making
25. Ensuring corporate social responsibilities towards stakeholders.

3 Presentation of Results

3.1 Stakeholders Characteristics and Project Characteristics

(SCPC)

Stakeholders’ characteristics and project characteristics is an important phase autho-

rising a new project and should be carried out before engagement. This stage includes
decisions to kick start a new project. Project objectives are developed in a fast
changing environment which needs the vision and project goals to be considered
in a wider perspective of different teams and stakeholders [22]. Therefore, it is an
approach of determining the ends (set of project goals), means (set of process actions
and decision rules) and how stakeholders with similar interests or rights each form
a group and their effects on project objectives.

3.2 Stakeholder Analysis (SA)

According to Atkin and Skitmore [4], different stakeholders have different levels
and type of investment and interest in projects [6]. As a result of the complex nature
of construction project, quite a considerable number of stakeholders are involved in
building projects and their needs, power, and influence should be mapped out. This
is to enable their potential impacts on the project to be better understood [11]. This
is essential as it helps project managers read the project environment in order to
776 O. P. Esangbedo et al.

ascertain the appropriate action for every stakeholder by considering their interest
[1].

3.3 Stakeholders’ Dynamics

The stakes of construction stakeholders are diverse which are dynamics over the
project life cycle [9]. The tendency for the interest to change as the project progresses
is high and appropriate strategies should be considered based on the analysis [2].

3.4 Stakeholders’ Engagement (SE)

Stakeholder engagement is a fundamental component of stakeholder theory and is

crucial when complex stakeholder networks, requirements, and expectations change
during the course of a project [43]. Chinyio and Olomolaiye [8] pointed out that
stakeholders can be allies in achieving objectives and adversaries in opposing the
mission. Stakeholders can affect the functioning of an organisation by supporting the
vision and objectives of the project which leads to success. Engaging stakeholders is a
key aspect of managing stakeholders in order to deliver sustainable project outcomes.
A well-managed stakeholder engagement approach facilitates collaboration amongst
project stakeholders to improve comfort and quality of life, while reducing adverse
environmental effects and boosting the project’s economic viability [5]. However,
a lack of communication between project managers and stakeholders can lead to a
number of risk [17].

4 Discussion

The selected articles show the increased research interest in the topic. There is a
growing interest in managing stakeholders in sustainable construction projects. The
increase can be attribute to the demand of environmental responsibility, social aware-
ness, and economic profitability. The obtained results in this study showed that there
are twenty-five core success factors for managing stakeholders to achieve sustainable
construction projects delivery. An effective stakeholder management will improve
the quality of the project as project stakeholders will effectively collaborate on the
project. Collaboration between numerous parties with disparate interests is required
to complete sustainable building projects. All along the project’s life cycle, these
stakeholders should be engaged and communicated with. Setting sustainability objec-
tives such as energy efficiency targets, incorporating renewable sources, and choosing
sustainable materials and technology is vital. The results appear to be both insight-
fully aligned with and different from other research on the success of construction
Review of the Critical Success Factors for Stakeholders’ Management … 777

projects. In terms of the alignment, it can be argued that the obtained results in this
study are somewhat in line with the identified success factors for stakeholder manage-
ment in the previous studies. The ability of project teams to accurately describe the
stakeholder environment depends on their ability to identify stakeholders and the
characteristics of the project, and this ability should be addressed before perfor-
mance measures are chosen [1]. By mapping and analysing stakeholders’ character-
istics and conduct, these aims are analysed. Possible disputes and coalition concerns
are addressed once the requirements and expectations of stakeholders have been
recognised. According to Atkin and Skitmore [4], diverse parties participating in
construction projects invest to varying degrees and with distinct types of interests.
Stakeholders can locate the project’s trouble spot and create fixes for the issues they
find [21]. Therefore, stakeholders’ engagement involves all project stakeholders in
planning, decision-making, and project implementation in order to decrease disputes
[10]. Participation lowers project opposition while stakeholder involvement entails
sharing information and seeking input. It is therefore crucial to involve stakeholders
on construction project in order to create sustainable buildings that can be designed,
built, and operated in a way that fits the needs of their users while also being good
for the environment and the larger community.

5 Conclusion

The study aimed to explore the CSFs of stakeholders’ management that can result in
sustainable building projects. This was performed through conceptualising a success
model for stakeholder management. This model includes the core success factors for
managing stakeholders, structured based on their conceptual relevance to sustain-
ability considerations into design and construction-related activities. The obtained
result in this study, which were discussed earlier, showed that construction stake-
holders are effectively managed through a combination of four constructs, namely:
stakeholder characteristics and project characteristics, stakeholder analysis, stake-
holder dynamics and stakeholder engagement. To achieve sustainability goals, it is
crucial to identify stakeholders’ beliefs, issues, and interests in the project. Stake-
holders can be included in the decision-making process to achieve sustainability-
related performance by being identified according to their level of interest and
influence. Different stakeholders may approach sustainability differently.
The findings of this study contributed to the existing body of knowledge by
exploring the CSFs of stakeholder management to achieve sustainable building
project. It is noted that this study has limitations and that using specific keywords
to find relevant papers in databases may have limited the study’s reach and maybe
compromised its validity and reliability. Like all new ideas, the developed success
model must be validated before it can be taken for granted. As a result, this is a
possible topic for more study.
778 O. P. Esangbedo et al.

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Key Indoor Environmental Quality
Indicators for Students’ Satisfaction
in Residences Built from ISBU

Noluthando Maphongwane, Clinton Aigbavboa, and Matthew Ikuabe

1 Introduction

The suitability of the living environment to the needs of the residents is very impor-
tant. A building is essential because it provides shelter and facilities for individuals
to perform daily tasks [24]. Over the years, there has been an increased demand
for comfort in residential buildings. It is found that energy consumption depends
largely on the occupants’ comfort requirements, which is affected by the thermo-
physical properties of the construction materials, architecture, and performance of
utility systems [29]. Furthermore, student residence is an important facility provided
by universities provident develop and grow academically [31]. The quality of student
residence plays an important role in a student’s academic success [23]. 1994 post-
apartheid South Africa saw increased demand for higher education to address socio-
politico historical inequalities [16]. There is a significant increase in student intake at
universities, and as a result, the demand for student residence is increasing, and most
universities cannot provide accommodation [17]. The shortage of student residences
at universities in South Africa has led to the consideration of shipping containers or
Intermodal Steel Building Units (ISBU) as an alternative building method to try and
address the residence backlog. The conversion of shipping containers to buildings
has been witnessed in the construction of social, domestic, and commercial facilities
[15] such as youth centres, classrooms, office space, artists’ studios, living space,
workspace, nurseries and retail space. Hence, it becomes imperative to evaluate the

N. Maphongwane
Department of Construction Management and Quantity Surveying, Faculty of Engineering and the
Built Environment, University of Johannesburg, Johannesburg, South Africa
C. Aigbavboa · M. Ikuabe (B)
Sustainable Human Settlement and Construction Research Centre, Faculty of Engineering and the
Built Environment, University of Johannesburg, Johannesburg, South Africa
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 781
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_49
782 N. Maphongwane et al.

indoor environmental quality indicators of the use of ISBU, as Aigbavboa et al. [2]
noted that good quality services and other associated features determine students’
residential satisfaction. The outcome of the study would make immense contribu-
tions to the growing call for a sustainable environment, on the one hand, while also
aiding the living standards of students to improve their academic performance.

2 Related Literature

Manuscripts Shipping containers are of great use during post-disaster, military and
mining scenarios. They have been viewed favourably as they have proven to be
easily transported and rapidly redeployed [18]. A typical International Standardi-
sation Organisation (ISO) shipping container is made from weathering steel, also
known as Corten steel, a unique steel alloy more corrosion-resistant than standard
steel [33]. There are 17 million shipping containers in circulation, and because
of the imbalances in international trade, more than half of these containers never
return to their point of origin [36]. These shipping containers flood the destination
ports, making them readily available [15]. ISO shipping containers used for building
construction purposes are termed Intermodal Steel Building Units (ISBU). For the
construction of residential buildings, the 6 m and 12 m long shipping containers with
a height of 2.71 m are used [7]. Containers with a height of 2.71 m are called High
Cube (HC), commercially called 20’HC (6.0 m or 20 feet long) and 40’HC (12.0 m
or 40 feet long) [7].
Over the years, there has been an increased demand for comfort in residential
buildings. It is found that energy consumption depends mainly on the occupants’
comfort requirements, which is affected by the thermo-physical properties of the
construction materials, architecture, and performance of utility systems [29]. Conse-
quently, the index of indoor environment quality (IIEQ) is proving to be an essential
indicator useful for architects and engineers, both in the design phase and with
the modernisation of construction [12]. Bluyssen [8] defines indoor environmental
quality (IEQ) as the quality of the building’s environment in terms of the well-being
and health of the occupants. As student accommodation is where reading, studying
and writing take place, IEQ plays a vital role in determining the ability of the occu-
pants to undertake these tasks optimally. IEQ also allows for the appreciation of the
energy efficiency of a building by analysing the energy consumption [8].
Catalina and Iordache [12] state that there is an interconnection between the
parameters that influence the environment, where a specific comfort component can
result in a space not being used for certain activities. For example, insufficient light
leads to concentration and attention problems, even though there are no problems
with indoor temperature, noise or ventilation, while increasing light quantity may
improve logical thinking and concentration processes [10]. Catalina and Iordache
[12] also found that modifying operative temperature between 23 °C and 29 °C by
one degree Celsius has the same effect on comfort as a change in the noise of cu 3.9
decibels. When the space is not ventilated, the result could be headaches or excessive
Key Indoor Environmental Quality Indicators for Students’ Satisfaction … 783

fatigue. IEQ measurement involves equipment with a few sensors that can measure
indoor environmental parameters and then analyse a large amount of information
quickly [20]. Although standards of IEQ were established in different laboratories
[5], the method is quite challenging to implement due to measurement procedures,
and the equipment is expensive [20].
Indoor environments are complex, and the occupants of the buildings may be
exposed to a variety of contaminants, like gases from office machines [2], carpets
and furnishings, perfume, cleaning products, construction activities, smoke from
cigarettes, water -damaged building materials, microbial growth (fungi, mould and
bacteria), insects and pollution [20]. Other factors include indoor temperature, rela-
tive humidity and ventilation levels, which can also affect how occupants respond to
the indoor environment. If the source of indoor environmental contaminants is under-
stood and controlled, it can help prevent or sometimes resolve symptoms related to
the building that affect students [2].

3 Methodology

A quantitative research technique was used for the study to evaluate the satisfaction
with IEQ in residences built from intermodal steel building units. The quantitative
approach is naturally deductive, observing phenomena and conducting experiments
by attempting to adopt an impartially detached approach [26]. This research made use
of snowball sampling. This was employed as initial respondents aided the identifica-
tion of other respondents who participated in the survey. One hundred five structured
questionnaires were distributed to students occupying ISBU residences, using Johan-
nesburg as the study area. Ninety-four responses were received, which amounts to
a 90% response rate. The method of data analysis employed was exploratory factor
analysis (EFA). This is used to obtain information about the interrelationships among
a group of variables. While principal component analysis (PCA) was used as the
extraction method as used by Ikuabe et al. [22]. According to Pallant [28], PCA is
conducted to gather information about the factors’ uni-dimensionality to yield their
factor analysability. Also, the reliability and validity of the questionnaire were put
to test using Cronbach’s alpha test. This gave a value of 0.8726, thus affirming the
reliability and validity of the research instrument [35].

4 Results

The outcome of the analysis conducted using EFA presented variables with similar
underlying dimensions given in clusters. Thereby leading to a reduction in the number
of variables and outlining them in a well-defined and better-understood framework.
To achieve this, an assessment of the appropriateness of the dataset was conducted
using the Kaiser–Meyer–Olkin (KMO) measure of sampling adequacy and Bartlett’s
784 N. Maphongwane et al.

Table 1 KMO and Bartlett’s

Kaiser–Meyer–Olkin measure of sampling 0.797
test
adequacy
Bartlett’s test of sphericity Approx. chi-square 1466.047
Df 253
Sig 0.000

test of sphericity. These were used in ascertaining the factorability of the dataset
used in the study. Pallant [28] noted that for a dataset to be affirmed suitable for
analysis, Bartlett’s test of sphericity should be significant (p < 0.05). As shown
in Table 1, the result of Bartlett’s sphericity test is significant, with a p-value of
0.000. Moreover, the KMO ought to have a value beyond the threshold of 0.6 to be
considered appropriate for the conduct of factor analysis, as recommended by past
studies [1, 21]. The outcome of the analysis presented a KMO value of 0.797. These
results give confidence to the suitability of the dataset for the EFA.
Principal component analysis with varimax rotation was conducted to assess the
underlying structure for twenty-three (23) Indoor Environmental Quality Factors
items. The assumption of independent sampling was met. The premises of normality,
linear relationships between pairs of variables, and the variables being correlated at
a moderate level were checked. This revealed the presence of six (6) factors with
eigenvalues above 1 since the items were designed to index six factors, namely:
Factor 1—ergonomics; Factor 2—lighting; Factor 3—indoor air quality; Factor 4—
finishes; Factor 5—environmental space; Factor 6—appearance. After rotation, the
first factor accounted for 16.75% of the variance, the second factor for 16.68%, the
third factor for 11.15%, the fourth factor for 7.03%, the fifth factor for 6.91% and the
sixth factor for 6.41%. Table 2 displays the items and factor loadings for the rotated
factors, with loadings less than 0.30 omitted to improve clarity.

5 Discussion of Findings

Factor 1: Ergonomics
The first factor had seven factors of indoor environmental qualities, which were: the
ability to adjust or move your furniture to meet your needs (87.4%), the amount
of space available for individual daily activities, e.g. storage, recreation (75.8%),
the extent to which furniture is designed to facilitate work while minimising stress
and strain on the body(74.3%), the comfort of the furniture (68.8%), the degree of
adjustability of the desk to allow a safe working posture (57.9%), the degree of
adjustability of the chairs (51.7%), and the ability to have conversations without
neighbours overhearing (48.0%) as shown in Table 1. This factor accounted for
16.75% of the variance. These criteria share a common link to ergonomics. As [30]
Key Indoor Environmental Quality Indicators for Students’ Satisfaction … 785

Table 2 Rotated component matrix

Indicators Factor Comm
1 2 3 4 5 6
The ability to adjust or move 0.874 0.79
your furniture to meet your
needs
The amount of space 0.758 0.724
available for individual daily
activities
The extent to which furniture 0.743 0.692
is designed to facilitate work
while minimising stress and
strain on the body
The comfort of the furniture 0.688 0.792
The degree of adjustability 0.579 0.67
of the desk allows a safe
working posture
The degree of full 0.517 0.552
adjustability of the chairs
The ability to have 0.48 0.371
conversations without
neighbours overhearing
The visual comfort of the 0.822 0.885
lighting
The Has uniformity of light 0.807 0.799
to perform tasks and improve
performance
The amount of light in your 0.708 0.794
unit is adequate
The accessibility of control 0.681 0.754
to both natural and artificial
lighting
The degree to which the 0.652 0.62
backrest of the chair
provides support for
student’s lower back
The extent to which a 0.504 0.582
student’s head/neck is
upright and centred over
their shoulders when using
the computer
The level of air circulation 0.896 0.552
sufficient
The level to which air is well 0.869 0.482
ventilated to prevent toxins,
contaminants and odours
(continued)
786 N. Maphongwane et al.

Table 2 (continued)
Indicators Factor Comm
1 2 3 4 5 6
The air quality in your unit, 0.781 0.73
i.e. stuffy/stale air,
cleanliness, odours
The room has high quality of 0.728 0.777
the fluorescent
ceiling-mounted light fixture
The extent to which the 0.703 0.851
matte finish on the desk’s
surface has a matte finish to
reduces light reflection and
glare
The amount of elbow room 0.782 0.815
at the desk
The distance between top of 0.722 0.679
a student’s legs and the desk
table
The general cleanliness of 0.666 0.608
the building
The colours and textures of 0.638 0.454
flooring, furniture and
surface finishes
Eigenvalues 3.853 3.837 2.565 1.617 1.588 1.474
% of Variance 16.75 16.681 11.153 7.029 6.905 6.409
Note. Loadings < 0.30 are
omitted
Extraction Method: Principal Component Analysis

argued, ergonomics applies information on human behaviour, abilities and limita-

tions to the design of tools, machines, tasks, jobs and environments for productive,
safe, comfortable and effective human use. Ergonomics find ways work can be done
without disturbing the body by studying a person’s comfort, efficiency, health, and
safety [27].
Factor 2: Lighting
Six factors were extracted for factor 2, as shown in Table 1. These are the visual
comfort of the lighting, e.g. glare, reflections, contrast (82.2%), the uniformity of
light to perform tasks and improve performance (80.7%), the adequacy of light in
the unit (70.8%), control of both natural and artificial lighting (68.1%), the degree to
which the backrest of the chair provides support for student’s lower back (65.2%), and
the extent to which a student’s head/neck is upright and centred over their shoulders
when using the computer (50.4%). This factor accounted for 16.68% of the variance.
Poor lighting poses challenges to human health by increasing the rate of visual
Key Indoor Environmental Quality Indicators for Students’ Satisfaction … 787

fatigue and general tension, resulting in poor posture to improve vision [13]. Most
design professionals often omit lighting requirements at the initial design stage. This
oversight may cause a deterioration in the health of the students as well as a decline
in their academic excellence [13]. De Carli and De Giuli [13] suggested that daytime
lighting should also be considered because if it is not addressed correctly, the student
may suffer from problems such as itchy skin. Student accommodations have rooms
for different activities, such as the computer room, laundry room, study area and
television room, each requiring different amounts of light [4].
Factor 3: Indoor Air Quality
This factor accounted for 11.15% of the variance, and three factors were extracted,
namely: a sufficient level of air circulation (89.6%), the level to which air is well
ventilated to prevent toxins, contaminants and odours (86.9%) and the air quality in
your unit, i.e. stuffy/stale air, cleanliness, odours (78.1%). The indoor air’s physical,
chemical and biological characteristics determine indoor air quality (IAQ). Indoor
air is a multifaceted environment with visible and invisible airborne toxins [6]. If the
building is not evaluated for an extended period, the air quality deteriorates, leading to
poor ventilation and pests, which are harmful to humans [8]. The air is then polluted
due to poor indoor air. Carbon dioxide, for example, is a colourless, odourless gas
which causes a blockage of the transportation of oxygen in the human body [8].
Energy-saving mechanisms are applied in some residences to save on energy costs,
resulting in minimum access to natural air [14]. Reduced access to natural air is a
major factor in the build-up of indoor toxins and air pollutants, ultimately leading to
the ‘sick building syndrome’ [11].
Factor 4: Glare
This factor accounted for 7.03% of the variance, and two factors of indoor envi-
ronmental qualities were extracted. The factors were: the presence of a high-quality
fluorescent ceiling-mounted light fixture (72.8%) and the extent to which the matte
finish on the desk’s surface reduces light reflection and glare (70.3%). Students would
need 500 to 700 lx on their study tables, as too bright lighting (over 1000 lx) can
lead to visual strain caused by reflections, high glare, and the contrast between light
and shadow [9]. If the lighting is too dim (less than 500 lx), the student will suffer
from eyestrain which will cause stress and dizziness [3]. Lighting levels depend on
the visual acuity required to carry out the task.
Factor 5: Furniture
This factor accounted for 6.91% of the variance, and two factors of indoor environ-
mental qualities were extracted: the amount of elbow room at the desk (78.2%) and
the distance between the top of a student’s legs and the desk table (72.2%). Furniture
is defined as the movable, functional objects that support humans in executing their
tasks, such as beds, chairs, wardrobes, tables and sofas. Different types of furniture
are designed for different tasks [19]. Smardzewski [34] states that furniture can be
classified according to features such as the materials from which it is made, the
function, craftsmanship and style. Other categories include status, belief, culture, era
788 N. Maphongwane et al.

and psychographic and demographic factors. Contemporary or current designs vary

because of the new needs, trends, and ergonomic advances [32]. Student accom-
modation must provide basic furniture like a wardrobe, bed, study desk, chair and
cupboard.
Factor 6: Appearance
Factor 6 has two indicators: the general cleanliness of the building (66.6%) and the
colours and textures of flooring, furniture and surface finishes (63.8%). The phys-
ical environment is seen as the potent predictor of residential satisfaction. Khozaei
et al. [25] recognised some predictors of student residence satisfaction, including
cleanliness of the housing, safety of the housing (including security measures), hall
programmes and activities provided while residing there. Aigbavboa et al. [2] confirm
that satisfaction with student accommodation comes with more than the building
features. When the student receives good, quality services if the services rendered
meet or exceed their expectations and if the student is happy, then satisfaction with
accommodation is greater [2].

6 Conclusion

This study examined student satisfaction with indoor environmental quality in resi-
dences built from intermodal steel building units in Johannesburg. Data for the anal-
ysis were obtained from students living in residences built by ISBUs. A detailed
review of extant literature identified twenty-two indoor environmental quality indi-
cators that influence students’ satisfaction using ISBUs. Adopting a quantitative
technique, the study elicited data from the target respondents while retrieved data
was analysed using exploratory factor analysis. Based on the factor analysis, influ-
ential indicators that contribute to students’ satisfaction with indoor environmental
quality were grouped into six (6) factors: ergonomics; lighting; indoor air quality;
finishes; environmental space; and appearance. The study contributes to the body of
knowledge by unravelling the required parameters for students’ satisfaction in ISBUs.
Based on the findings of the study, it is recommended that container buildings can be
designed very similarly to conventional buildings and should be heavily considered
in today’s market to address the backlog of student accommodation in Johannes-
burg. Also, there is a need for relevant stakeholders saddled with the responsibility
of setting up student accommodation using ISBU to prioritise the critical indica-
tors showcased in this study. It is essential to state that this study was conducted in
Johannesburg, Gauteng province; hence care must be made to generalise its findings.
Further studies can be conducted in other provinces to provide a more robust outcome
from a national perspective.
Key Indoor Environmental Quality Indicators for Students’ Satisfaction … 789

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A Review of Indoor Air Quality
and Thermal Comfort Guidelines
for New Zealand Primary School
Classrooms: A Comparison of DQLS
Document (Old Versus New)

Vineet Arya, Eziaku Onyeizu Rasheed, Don Samarasinghe,

and Suzanne Wilkinson

1 Introduction

Providing good indoor air quality in a classroom is essential for children. It offers an
indoor space with fresh air, which is vital for their health and well-being. However,
the Environmental Protection Agency of the United States of America (USEPA) has
listed IAQ within an indoor environment as a top concern with context to respiratory
and ill health-related issues [30, 50]. Studies in school premises examining IAQ
have been a popular concern for years. The adverse effects of poor IAQ have been
extensively studied in past works. For instance, Ivošević et al. [24] showed that
the impact of poor IAQ is reaching far beyond children’s health. Poor IAQ impacts
children’s health and lowers their learning abilities [24]. Korsavi et al. [28] noted that
IAQ in school environments is considered one of the crucial factors which impact
children’s health and well-being, and further, it costs their academic results.
Children are found to spend approximately 10–12% of their time within the school
classroom [35]. Henceforth, it becomes crucial for governing bodies and school
authorities to ensure the IAQ prevalent in the classroom is well maintained for chil-
dren [10, 11]. Monitoring IAQ in a school classroom is mainly done by assessing the
concentration of carbon dioxide and ventilation rates. The physics shows that higher
levels of carbon dioxide in the indoor environment are directly proportional to lower
ventilation rates. Thus, both the concentration of carbon dioxide and ventilation rates
are considered significant proxies or indicators for checking the quality of indoor air
[5, 10, 11].

V. Arya (B) · E. O. Rasheed · D. Samarasinghe · S. Wilkinson

School of Built Environment, Massey University, Albany, Auckland 0632, New Zealand
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 791
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_50
792 V. Arya et al.

The concentration of carbon dioxide above 1000 ppm indicates inadequate venti-
lation rates within the indoor environment. High carbon dioxide levels are associ-
ated with an unpleasant indoor atmosphere, which can negatively impact indoor air
quality [4]. Inadequate ventilation hinders the proper exchange of fresh air, accu-
mulating carbon dioxide and potentially other pollutants. This affects the comfort of
the individuals present in the space and indicates a potential decline in the indoor air
quality, which is associated with an unpleasant environment [4]. Poor IAQ creates
an unhealthy indoor environment for children, which is also considered a signifi-
cant cause of the development of chronic illnesses related to the respiratory tract in
children [47].
The design requirement expressed in the DQLS document applies to all the school
dwellings to be “Newly—Built” or “ Existing”.
The recently updated 2022 DQLS document aimed to address the problems with
prevalent inadequate IAQ in school buildings. This paper critically examined these
changes to highlight the specific changes and ascertain the appropriateness of these
changes in providing the required IAQ in class rooms.

2 Literature Review

2.1 Indoor Air Quality (IAQ) and School Children’s

Performance

Studies related to health have shown vast evidence of environmental agents like
thermal discomfort (high temperatures) and air pollution impacting and challenging
individuals’ physical and mental health. Air pollution agents like fine particulate
matter and ozone are directly associated with the development of cardio and respira-
tory illness in the human body [29]. A scientific study by Taylor et al. [48] shows that
long-term exposure to air pollution can cause fatal damage to the human neurological
system, leading to cognitive disability, stroke attacks, fatigue, and depression in the
adult population. The abovementioned impacts are likely to cause more detrimental
effects among young children due to not fully grown body parts and systems. Hence,
children are accounted to be more vulnerable and susceptible to air pollution as their
nervous system, immune system, and respiratory system are in the developing stage,
also due to a higher percentage of breathing than adults [32].
IAQ in school is commonly found to be poor due to the higher number of occupants
and inadequate ventilation rates, resulting in thermal discomfort. Similarly, class-
rooms are usually considered overcrowded and vary in temperature (high temper-
ature) with lower airflow [28]. Poor IAQ in school buildings is a combined result
of the building design, maintenance, and occupancy-related factors [45]. Studies
conducted in epidemiology and neuroscience with context to cognitive ability and
children have shown significant evidence that most schools do not maintain carbon
A Review of Indoor Air Quality and Thermal Comfort Guidelines … 793

dioxide concentration below 1000 ppm, impacting children’s cognitive performance

[17].
Coley and Beisteiner [13] state that a higher number of children in the classroom
is directly associated with high carbon dioxide levels. Children aged between 5
and 9 years tend to produce around 14 L of carbon dioxide each hour in a regular
breathing routine. Various international organizing bodies worldwide have made a
tolerance limit for the maximum percentage of carbon dioxide in the classroom,
which should be approximately 1500 ppm. Looking at the young children aged
between 5 and 9 years, their tolerance limit is anticipated to be achieved sooner to
1000 ppm. Additionally, after a specific limit depending upon rates of ventilation
and the number of occupancy, the movement of the air becomes stagnant, which can
cause nausea, severe headache, concentration issues, a problem with vision, fatigue,
and other severe problems in young children [42].
Numerous studies have shown a significant association between enhancing the
quality of indoor air in classrooms and improving student performance in academic
results and well-being [9, 12, 20, 41, 43]. A study conducted in the State of America
involving the participation of 100 schools noted that by improving ventilation rates,
significant results were observed in student academic records in mathematics and
reading abilities [21]. In another study conducted in Austria, which involved the
participation of around 400 children, the findings observed lower cognitive abilities
due to a higher percentage of carbon dioxide and particulate matter [23]. Similarly,
in a Scotland study, which involved the participation of 60 schools, the finding stated
that a higher level of carbon dioxide presence was associated with absenteeism and
lower academic results in reading, writing, and mathematics tests [19]. Additionally,
in Portugal, a study involving 50 primary schools found that a higher percentage of
carbon dioxide was associated with less concentration of attention in children within
a classroom [49].
Previous studies have already shown enough robust evidence that good IAQ and
TC supports children’s learning outcomes and helps improve their health and well-
being [1, 3, 6, 51]. Good indoor quality within educational facilities or spaces not
only offers support to the teacher but also provides help to learners efficiently toward
success. Poorly ventilated indoor areas can create undesired thermal discomfort and
high level of carbon dioxide, which can further lead to tiredness and often feeling
sleepy [2]. Pollution in the indoor environment is commonly found to be noxious
and can create irritation within the eyes and nose leading to itchiness, which can
interfere with learning tasks. Young children in school premises are considered more
susceptible to indoor air contaminants than adults as they tend to breathe more air,
and their body parts are actively developing. Due to such differences in body parts
and higher metabolism rates, children are also considered to be quite sensitive to
higher indoor temperatures. Children, compared to adults, tend to have more physical
activities, making them sensitive to high temperatures. Thus, children are anticipated
to stay more comfortable in a few lower temperatures within the indoor spaces.
Children in NZ are expected to spend the majority of their time within an indoor
environment, i.e., a school classroom where they are considerably exposed to poor
IAQ and pollutants. Severe respiratory conditions like asthma and high absenteeism
794 V. Arya et al.

rates are common in NZ [8]. Exposure to continuous poor IAQ is responsible for
worsening these symptoms at a high rate [31]. Pollutants from indoors and outdoors
impact the quality of the air in classrooms, as research has shown that indoor partic-
ulate matter (PM) concentrations in classrooms are closely connected with outside
ones [44]. This is concerning since many schools and day-care centers are situated on
major highways with high levels of traffic-related air pollution, which elevates during
schooling hours [46]. Similar to other Western countries’ studies, enhancing venti-
lation rates in NZ school classrooms has brought significant attention to improving
the children’s well-being and learning abilities and less the percentage of school
absenteeism [14].

2.2 New Zealand School Buildings’ Design and Maintenance

and the Designing Quality Learning Spaces (DQLS)
Documents

It is anticipated that more than two-thirds of students attend a state school in

NZ. Approximately 11% attends integrated school and 4% attends privately owned
schools. The Ministry of Education (MOE), NZ, is the governing body that proposes
regulation and design requirements for school classrooms. MOE, NZ, owns a
majority of state schools worth around NZD 30 billion [22]. MOE, NZ holds one of
the largest real estate properties, with over 15,000 properties, over 35,000 educational
spots, and around 2,100 teaching institutions.
Over the past 30 years, a majority of these school buildings have been in poor
conditions, experiencing New Zealand’s educational facilities. During these years,
schools that underwent renovation projects also experienced problems such as leaky
conditions related to poor design and maintenance. In response to these issues, MOE,
NZ released a document—“The School Property Guide” [36]—to address the quality
and aesthetics problems associated with school buildings.
The School Property Guide document provided recommendations for procedure,
capacity or area, and budget for school buildings. Specifically, the document required
all new and ongoing upgrading projects related to school dwellings to be certified by
MOE and must undergo a design review procedure as per the document’s require-
ments. Also, the “School Property Guide” document specified space criteria for
classrooms as 78 m2 for primary school classrooms and 70 m2 for secondary school
classrooms [39]. In 2016, the Ministry of Education noted that to achieve healthy
indoor environmental quality in a better-quality learning classroom, the ideal area
with a single teacher and 30 students should be around 90–120 m2 instead of 70–78
m2 [37]. This increase reduces the concentration of CO2 levels in the classroom at a
given time.
As an improvement, MOE released the Designing Quality Learning Spaces
(DQLS) for IAQ and Thermal Comfort (TC) guideline in 2007. The DQLS document
A Review of Indoor Air Quality and Thermal Comfort Guidelines … 795

states the minimum standards and addressing suggestions while constructing or reno-
vating school dwellings. In collaboration with the Building Research Association of
New Zealand (BRANZ), the document was released in two different sections, i.e.,
Designing Quality Learning Spaces—Heating and Insulation, and Ventilation and
IAQ.
The DQLS document has undergone a substantial upgrade since its first release. In
2017, the Ministry of Education New Zealand amalgamated the two sections into one
document: Designing Quality Learning Spaces: IAQ and Thermal Comfort (Version
1.0). The significant changes incorporated in version 1.0, included a recommenda-
tion to present teaching practices and adaptable learning practices to the designed
space. The upgraded document specified minimum criteria as “Mandatory” and “Rec-
ommendation” for architects, engineers and designers involved with educational
construction practices to newly built or upgrade designs. In particular, the document
established that the average and maximum threshold for the concentration of CO2
should not go beyond 1500–3000 ppm during peak hours for newly built and existing
schools in the state for upgrades [38].
The advent of COVID-19 in February 2020 in New Zealand has significantly
impacted school children around the world. Thus, ensuring the critical emphasis on
COVID-19, the MOE updated the latest version 2.0, 2022, focusing on good venti-
lation is crucial in spreading COVID-19 and other air-borne diseases. The document
aims to create healthier and more comfortable school buildings by the following:
• Enhanced performance requirements for fresh air entry or distribution.
• Improved recommendations for heating and cooling with respect to different
climatic conditions.
• Reliability with checking designs i.e., verification and compliance of design,
followed by modeling for bigger buildings.
• A mandate for Indoor Environmental monitoring tools within each classroom will
keep a continuous connection with ventilation system operations.
The document also states, the Ministry will regularly review the latest public health findings
and adjust its building design advice accordingly. However effective building design is just
one aspect of providing safe learning environments. Proper operation and maintenance are
also vital to keeping the building safer and healthier. This might involve, opening and closing
windows to achieve healthier internal conditions, if mechanically ventilated adjusting its
setting to reach healthier environments, and continuously checking for air filters to be kept
clean.

As such, in 2022, MOE, New Zealand released the latest version, 2.0 for the
DQLS document, adding further changes to the minimum criteria for “Mandatory”
and “Recommendation” for designing quality learning spaces stronger and to better
complying industry standards and recent construction reviews. This latest 2.0 version,
strengthens the mandatory requirements to support MOE’s School Property Strategy
2030 program. The program’s objective is to provide quality educational spaces for
learning and teaching practices and keep well-being in focus simultaneously for
all individuals present on school premises. In addition, the design and upgrade of
796 V. Arya et al.

educational learning spaces are now commissioned through a variety of procedures

by both national and regional governing levels [40].
The major purpose behind setting out requirements for IAQ and TC in the 2022
DQLS version recognized that approximately 90% of primary schools in New
Zealand are designed to be reliable on natural sources of ventilation, which is by
opening doors and windows [33]. These requirements ensure that indoor learning
environments are thermally comfortable, supporting different learning and teaching
techniques and traditions. They aimed to MOE [40]:
• Set out the compulsory minimum threshold limit to achieve quality indoor learning
spaces.
• Set out the basic evaluation requirement for IAQ and TC with context to the project
designing phase and Post Occupancy Evaluation (POEs).
• Assist in designing and modeling schools by emphasizing the cost-value model,
with pressing attention toward enhancing academic results.
The New Zealand Ministry of Education aims to provide healthy classrooms by
enhancing the IAQ and thermal comfort. Looking at the compounded nature of the
classroom, the indoor environmental quality (IEQ) of such complex spaces requires
greater detailed attention. The designers must ensure that during the design stage of
the classroom, the requirement set out in the DQLS document is to be applied together
for IAQ and TC along with acoustics and vision/lighting requirements in parallel.
However, indoor environmental quality (IEQ) is considered a system in commis-
sioning the entire building quality, which comprises different variables: IAQ, thermal
comfort, acoustics, and lightning. These variables should be evaluated throughout the
process of designing to ensure holistic comfort. A complete strategy is required, and
every indoor environmental quality variable should be changed after first considering
its impact on the others [40].
This study compares the requirements of IAQ and TC for designing quality
learning spaces in two different versions of the DQLS document.

3 Methodology

The study opts a qualitative method using content analysis. The literature review
related to schools, children, IAQ, ventilation, thermal comfort, academic result,
and well-being were reviewed using online database resources like Google Scholar,
Massey Library, and PubMed. Abstracts and titles were read thoroughly to under-
stand the relativity of the available online source to the present study. Hence, after
reviewing the abstract, titles and keywords, the relative journal articles and other
resources opted to support the finding for this study. The steps undertaken to perform
this study are stipulated below in Fig. 1.
Next, we compared measurable variables responsible for Indoor air quality,
Ventilation and Thermal comfort evaluation within an indoor environment. The
two versions of the Designing Quality Learning Spaces documents (Versions 1.0
A Review of Indoor Air Quality and Thermal Comfort Guidelines … 797

Fig. 1 Research method Step 1. Formulating the Aim

flowchart

Step 2. Review the DQLS document

Step 3. Identifying the IAQ and TC variables for

comparison

Step 4. Identifying the relevant literature to support

variables comparison

Step 5. Comparing the IAQ and TC variables between

the two versions of the DQLS document

Step 6. Discuss the finding in the light of relevant

literature

and 2.0) were analyzed, focusing on the Indoor Air Quality and Thermal Comfort
requirements.
• Designing Quality Learning Spaces, Version 1.0 (2017): Aims to ensure
learning spaces in New Zealand support offering quality outcomes by improving
IAQ and TC.
• Designing Quality Learning Spaces, Version 2.0 (2022): The main objective
is to ensure learning spaces in New Zealand support academic outcomes and
improve the health and well-being of every individual present within the school
premises.
These two versions of the DQLS: IAQ and TC document were critically
reviewed based on the following measurable variables as these variables are closely
interconnected [16]:
• Carbon dioxide (CO2 ) concerntration
• Ventilation rates
• Indoor temperature
798 V. Arya et al.

• Relative Humidity
• Widow-to-wall ratio
The findings are discussed in the section below.

4 Findings and Discussion

Tables 1 and 2 present the minimum to maximum requirements for IAQ, ventilation
and Thermal Comfort between the two sets of DQLS documents published in 2017
and 2022 with individual upgrades to previous versions.
The mandatory minimum and maximum allowable criteria for IAQ, Ventilation
and Thermal Comfort for New Zealand classrooms depicted in Tables 1 and 2 show
significant changes between version 1.0 and 2.0. These changes are discussed below.

4.1 Carbon Dioxide (CO2 ) Concentration

Looking at carbon dioxide concentration and ventilation range for DQLS, 2017, the
minimum range lies between 1000 and 1500 ppm and the maximum permissible
range to 3000 ppm, whereas in DQLS, 2022, the minimum range has been mini-
mized to 800–1250 ppm and maximum permissible range to 2000 ppm. According
to Wargocki et al. [52], around 12% improvement in performance and a 2% improve-
ment in accuracy were observed in children when the average minimum concentration

Table 1 IAQ, ventilation and thermal comfort—DQLS, 2017

Season Summer Winter
Minimum Maximum
Carbon dioxide (ppm) 1000–1500 (Average) 3000
Outdoor air supply (ACPH) 2.5–5 0.5–2
Outdoor air supply (l/s/p) 6–8 1.5–5
Ventilation effectiveness Ideally achievable (average) Poor ventilation
Subjective response Light odor Odors, stuffiness, headaches, and
fatigue
Student performance (%) Averagely close to 100 Minimizes by 5–1
Absenteeism (%) Close to 5 Increase to 15
Indoor temperature (°C) 18–28 18–25
Relative humidity –
Window to wall (%) 30–50
A Review of Indoor Air Quality and Thermal Comfort Guidelines … 799

Table 2 IAQ, ventilation and thermal comfort—DQLS, 2022

Season Summer Winter
Minimum Maximum
On-Demand Average
Carbon dioxide 800 ppmm 1250 ppm 2000 ppm
Outdoor air supply (ACPH) 3 7.5 2
Outdoor air supply (l/s/p) 8 12 3.5–4
Ventilation effectiveness Well-ventilated to an ideal range Poor ventilation
Subjective response Close to supply of fresh air Odor and stuffiness
Student performance (%) 110–100 Slightly lower to 95
Absenteeism (%) Less than 5 Increase to 10
Indoor temperature 19–28 °C (No more than 40 Occupied hours)
Relative humidity Should by 35–70%
Window-to-wall ratio 25–35%
(To reduce Overheating and allow more daylight)

of carbon dioxide was decreased from 2000 to 900 ppm. Using attendance as a posi-
tive indicator for healthy IAQ in the classroom, a 2.5% improvement was observed
when carbon dioxide ranges below 1000 ppm daily [54].

4.2 Ventilation Rates

For the supply of outdoor air (l/s/p), DQLS, 2017 ranges between 6 and 8 l/s/p,
whereas in DQLS, 2022, the supply of outdoor air is to 8–12 l/s/p. The 10 l/s/p air
flow of outdoor air supply is closely associated with the range of carbon dioxide below
1000 ppm [52]. Research conducted in California found that increasing the ventilation
rates by 1 l/s/p improved academic results in primary schools [34]. Another study
stated that doubling the ventilation rates in primary school classrooms showed an
improvement in children’s performance by 14% [54]. Moreover, 10% less spread of
illness is anticipated when the air supply is doubled in the classroom [18].

4.3 Indoor Temperature

The indoor temperature (Classroom) range for DQLS 2017 is set between 18 and
28 °C. It is a mandatory requirement that during the occupied hours, the internal
temperature should not go beyond two threshold limits, i.e., 25and 28 °C. In addi-
tion, the difference between indoor and outdoor temperatures during occupied hours
should not exceed 5 °C. In contrast to DQLS 2022, the minimum requirement for
800 V. Arya et al.

indoor temperature should be 19 °C (±1 °C), while the maximum permissible indoor
temperature should be 28 °C for no more than 40 occupied hours. Previous studies
conducted in a classroom with context to thermal comfort and children’s health,
well- and academic performance have shown that every 1 °C fall (Minimum) within
the indoor temperature resulted in a positive by 2–4% in children’s academic results
[27, 53–55].

4.4 Relative Humidity

The relative humidity in DQLS 2017 was not exactly mentioned, but in DQLS 2022,
the RH range should be maintained within 35–70%. According to Jin et al. [25, 26],
the percentage of RH does not directly impact thermal discomfort, but its effects get
intense with higher differences between indoor and outdoor temperatures and higher
metabolic rates.

4.5 Window–Wall Ratio

By improving the window–wall ratio requirement in school dwellings, can readily

achieve better ventilation or aeration which can significantly help to reduce over-
heating. As, adequate ventilation can help with dissipating the heat stored, and also
allows for better circulation of fresh air within confined spaces such as classrooms.
Adding more, improved window wall ratio also allows for more natural light to
enter and minimizes the need for artificial lights during the daytime. Natural light
not only improves visible comfort ness but also the well-being of the occupants.
Natural daylight can create a more pleasant and productive indoor environment [15].
However, it is important to balance the benefits of increased natural light and venti-
lation with potential drawbacks, such as increased heat gain during warmer seasons
and potential glare issues. Proper shading, orientation, and the use of energy-efficient
glazing can help mitigate these concerns while maximizing the advantages of an
increased window–wall ratio.
Classrooms are supposed to be contemporary or adaptable learning spaces. Inno-
vative learning surroundings, creative learning spaces, flexible learning, and quality
learning environments have been used to describe newly constructed or upgraded
classrooms [7].
Version 1.0 typically focuses on the usability of learning space and its impact
on academic outcomes, whereas Version 2.0 includes enhancement with educa-
tion results, maintaining health and well–being. Moreover, the minimum necessary
requirement in Version 2.0 is established in response to best practices and in partic-
ular, to MOE’s requirements. Still, it is also stated that the current Version 2.0 DQLS
document design does not address each possible case. In addition, it provides the
A Review of Indoor Air Quality and Thermal Comfort Guidelines … 801

solution to the problem on behalf of recent research, technology, innovation, new

methods, and feedback to address common issues.
Overall, both document has their advantage and disadvantage with context to
published time. However, according to the study point of view, DQLS Version 1.0
solely focused on IAQ, Ventilation and Thermal Comfort, whereas DQLS Version
2.0 understand that strengthening standards will work. Still, it has to be a holistic
approach which addresses overall performance. Additional new information or
changes incorporated in Version 2.0 is an understanding of the importance of indoor
environmental quality. However, IAQ, ventilation and thermal comfort are three sub-
sections of IEQ as a holistic model for a dwelling. Furthermore, version 2.0 holds a
sub-section in the document, which provides significant information about adequate
ventilation rates and minimizing the aerial pathogen and COVID-19. In version 2.0,
there has been a significant change with window-to-wall ratio to version 1.0, as
DQLS, 2022 focuses on reducing overheating and allowing more daylight. Both
version 1.0 and 2.0 stress following natural means of ventilation in New Zealand
schools, although there is a requirement for adopting mechanical ventilation.

5 Conclusion

After a thorough review of both the DQLS documents and other relevant online
data sources, including a comprehensive scientific literature review, the authors of
the study have arrived at the following conclusion that the minimum requirements
and recommendations stated in DQLS documents align with international guidelines
followed by different countries to enhance the IAQ, ventilation and thermal comfort
standards for school dwellings. The DQLS document developed used Thermal
Comfort: ANSI/ASHRAE standard 2005 and CIBSE TM52 and Ventilation: UK
Building Bulletin 101 (Ventilation for school building). The minimum airflow was
developed from NZS 4303:1990 in mechanically ventilated school classrooms. The
latest version, 2.0, released in 2022, has significantly enhanced the minimum manda-
tory requirement for the concentration of carbon dioxide, air flow rates, indoor
temperature, and window-to-wall ratio. However, neither version 1.0 nor version
2.0 have provided specific criteria for occupant density and space. However, from a
literature point of view, it is found that in New Zealand primary school classrooms,
the maximum number of occupancy for children is 30 with a single teacher for a total
space area of 70 to 78 m2 . Moreover, following the OECD country’s guidelines for
better holistically enhancing the IEQ within indoor educational spaces, the minimum
occupant density should be around 3–4 m2 , ideally making a total classroom learning
area around 90–120 m2 .
The novelty of this research includes critiquing the DQLS documents, which have
never been done before. Also, the documents are an integral part of the governing
entity of New Zealand, the Ministry of Education and the research conducted is an
educational perspective to understand the importance of IAQ and Thermal Comfort
standards, thus making the outcome with an unbiased point of view. However, the
802 V. Arya et al.

study compared the two DQLS documents with context to IAQ and TC standards
for healthy indoor environments in New Zealand classrooms. The study is limited to
the New Zealand context, which can be expanded when compared to other Western
countries for IAQ and TC classroom standards. Another limitation is the methodology
used in this study. Future studies can incorporate a mixed-method approach using
both qualitative and quantitative analysis.

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Sustainability of Post-disaster
Temporary Houses: A Review
of Principles and Assessment Methods

Alireza Shamloo, Suzanne Wilkinson, Mohamed Elkharboutly,

and Niluka Domingo

1 Introduction

The growing population of the world, global climate change, and the mounting
number of climate-related disasters have increased the number of displaced people
and the need for post-disaster housing [44]. According to the latest report by the
United Nations High Commissioner for Refugees (UNHCR), the overall number
of people forcibly displaced worldwide has grown to 108.4 million in 2022, which
is more than twice the number of forcibly displaced people a decade ago [55]. As
the “Global Report on Internal Displacement (GRID) 2023” report by the Internal
Displacement Monitoring Centre (IDMC) shows, over 32 million displacements
in 2022 have been related to disasters, which indicates the extent of the need for
reconstruction of houses and settlements around the world [30]. According to the
building back better concept, to prevent the recreation of the vulnerabilities in the built
environment, the resilience and sustainability factors should be considered carefully
in reconstruction projects [38].
Global challenges like climate change have shown that sustainable development
is an inevitable roadmap for saving future generations. It has been proved that
embracing sustainable development principles in the construction sector is crucial
to safeguarding the environment, improving quality of life, promoting economic
growth, and addressing climate change challenges. It aligns with the broader goal of
creating a balanced and resilient society that meets the needs of the present without
compromising the ability of future generations to meet their own needs. Sustain-
able reconstruction is becoming an essential need, and temporary housing needs to
meet sustainability standards as a part of the reconstruction process. Despite this,

A. Shamloo (B) · S. Wilkinson · M. Elkharboutly · N. Domingo

School of Built Environment, College of Science, Massey University, Auckland, New Zealand
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 805
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_51
806 A. Shamloo et al.

temporary housing solutions such as prefabricated units are often criticized for weak
sustainability performance [1, 27].

1.1 Research Method

The research method employed for this review paper is a critical and comprehensive
approach to gathering and synthesizing existing scholarly works related to sustain-
ability in reconstruction and temporary houses. This method involves a thorough
search of reputable academic databases to identify relevant articles, books, and other
sources. After the initial selection, a secondary screening process is conducted to
ensure the inclusion of high-quality and pertinent literature. To classify the state of
knowledge on the subject, the findings are classified into three subsections: sustain-
able housing, sustainable reconstruction, and sustainable temporary housing. The
main goal of this study is to review sustainability principles and assessment tools
in the post-disaster context. For this purpose, the paper starts with general sustain-
able housing attributes and assessment systems and then studies the post-disaster
construction characteristics and related sustainability guidelines and assessment
tools.

2 Post-disaster Construction

Post-disaster housing processes start with emergency sheltering and finish after the
permanent housing stage. Quarantelli [48] defines four main stages for housing
recovery: emergency sheltering, temporary sheltering, temporary housing, and
permanent housing. The first stage includes finding a safe place to stay for the
first nights. Other references, for instance [13], summarized post-disaster housing
into a three-stage model of temporary sheltering, temporary or transitional housing,
and permanent housing. Post-disaster temporary housing strategy is not necessarily
the best solution after a disaster. Temporary housing units (ready-made units) have
several problems, including high expenditures that may lead to delays in permanent
housing, being undesirable or unacceptable in meeting displaced people’s needs,
limiting their participation capabilities in the reconstruction process, and also adverse
effects on the environment [2, 27]. An alternative solution is a two-stage recovery
in which the transitional housing can be omitted. This model of housing recovery
is based on extending the emergency shelter usage or using alternative available
settlement options and accelerating the permanent housing process. It requires pre-
plans for reconstruction and the use of rapid construction technologies for permanent
housing [13].
However, temporary housing is considered to have a critical role in the recovery
process. Providing a temporary “home” as a safe place for survivors to live in (until
the permanent houses are built) is among the first essential steps in the recovery
Sustainability of Post-disaster Temporary Houses: A Review … 807

process. This is rooted in the fact that losing a house is more than just a physical
loss and affects all aspects of the survivors’ lives, from privacy and mental health to
security and safety against illnesses and pollution [3]. The experiences of previous
disasters have shown that extensive usage of temporary housing facilities is inevitable
in some cases, which is mostly a function of the disaster scale, resourcing shortages,
and the weather conditions [18, 33, 36, 43].

2.1 Temporary Housing

The temporary housing phase begins after the emergency and temporary sheltering
stage and usually lasts for six months to 3 years [43]. Temporary housing has two
major options. The first option is using existing facilities, such as available rental
accommodations, collective living spaces, re-purposed public buildings, and so on,
and the second option is providing temporary houses by building them in place or
assembling kit structures or delivering prefabricated units [36].
According to Hosseini et al. [28], an appropriate strategy in selecting a suitable
temporary housing type is derived from the capability of that system to match the local
circumstances and the lack of coordination between the selected temporary housing
system’s specifications and the local stakeholders’ needs will result in failure of
the recovery project. Temporary houses have a wide variety and are built using a
wide range of structural systems and materials. Some of the most commonly used
temporary housing solutions are listed in Table 1.

3 Sustainability

Since 1990, numerous sustainability guidelines and principles have been proposed
worldwide [51]. According to one of the first definitions by the World Commission
on Environment and Development report in 1987, “Sustainable development is a
development that meets the needs of the present without compromising the ability
of future generations to meet their own needs” [6]. UNESCO considers four dimen-
sions for sustainable development: society, environment, culture, and economy. The
United Nations Department of Economic and Social Affairs, in the “Transforming our
World: 2030 Agenda for Sustainable Development” [54], has defined 17 sustainable
development goals (SDGs). In this guideline, the sustainability of human settlements
is the 11th goal, and it is emphasized that sustainable housing and urban development
are among the essential SDGs crucial to the quality of life of people. Sustainable
housing is considered one of the most important individual elements of sustainable
development [15].
Among the 17 SDGs, sustainable construction firstly contributes to SDG 11, which
aims to make cities and human settlements inclusive, safe, resilient, and sustainable.
Sustainable construction practices reduce urban sprawl, promote energy efficiency,
808 A. Shamloo et al.

Table 1 Temporary housing structures and materials retrieved from sources: [7, 8, 12, 13, 19, 57,
58]
Temporary housing structural systems Main materials
Sandwich panel units EPS, steel/aluminum sheet, plywood/
fiberboard/PVC wall covering
Shipping containers Corrugated steel sheets and profiles
Bamboo/reed structures Bamboo, reeds, straw, or metal or plastic
sheet roofing
Paper tube structures Paper tube, fiberboard floor, metal or plastic
sheet roofing
Reinforced masonry structures Stone, brick, concrete, steel rebar, corrugated
metal roofs
Steel framed structures Steel profile, different wall options (brick/
concrete, clay, or AAC blocks)
Timber-framed/wooden structures Sawn timber, wooden walls, corrugated sheet
or straw roofing
Concrete structures (cast-in-place, 3D panel) Concrete (cement, water, aggregates), steel
mesh/rebar, EPS
Earthen structures Rammed earth, Superadobe, compressed
earth blocks
Hybrid and composite structures Different options (wood/plastic/metal/
fiberglass and …)
3D-printed structures/3D-printed components Concrete, soil, corrugated sheet roofing
Modular structures/kit structures Different options (wood/plastic/metal/
fiberglass and …)
Tensile structures/long-term tents Polyester, fabric, ETFE, and …

and enhance infrastructure, thereby fostering more livable and eco-friendly cities.
Furthermore, sustainable construction aligns with SDG 9 by developing innova-
tion and building resilient infrastructure, essential for economic growth and indus-
trial development. By prioritizing sustainable materials, efficient energy use, and
waste reduction, it directly supports SDG 12, which targets responsible consump-
tion and production patterns. Lastly, sustainable construction also advances SDG
13 on climate action, as it reduces carbon emissions and helps mitigate the impacts
of climate change. In essence, sustainable construction emerges as a linchpin in
the global pursuit of the SDGs, providing the foundation for a more equitable,
prosperous, and sustainable future for all [42, 50].
Sustainable reconstruction has gained more notice in recent years because of the
increasing number of climate-related disasters and awareness of the unsustainable
development consequences. According to Goubran [25], the building industry is the
most significant sector in terms of emissions, and the construction and real estate
sectors can contribute to achieving 44% of all targets in all 17 SDGs. In this regard,
sustainable reconstruction as an opportunity to build-back-better and a significant
part of the construction industry plays an important role in achieving the SDGs.
Sustainability of Post-disaster Temporary Houses: A Review … 809

3.1 Sustainable Housing

Sustainable housing is not a new concept; numerous studies and practices have been
done in this field in the last three decades, and there are clear guidelines, principles,
and assessment systems for sustainable development and sustainable housing [15,
39]. The built environment and construction industry account for a large portion of
the global energy consumption and greenhouse gasses (GHGs) emissions. Buildings
are responsible for half of the global energy use and over 30% of CO2 emissions
[31, 35, 41]. In this sector, considering the overgrowing population of the world,
the housing industry and residential buildings play an important role, as they form
the largest part of the built environment. Housing has the potential to contribute to
sustainability by being built of local materials and with less carbon footprint [40, 56].
Sustainable housing, as a cornerstone of sustainable construction, focuses on
energy-efficient design, renewable energy integration, and environmentally friendly
building materials. By reducing energy consumption and carbon emissions, sustain-
able housing plays a vital role in mitigating climate change. Sustainable housing not
only minimize the carbon footprint of individual dwellings but also sets a precedent
for sustainable urban development. Moreover, sustainable housing fosters healthier
and more comfortable living environments, promoting well-being while addressing
social and economic aspects of sustainability. In essence, sustainable housing serves
as a critical component of the broader effort to curb climate change and promote a
more resilient and environmentally conscious future [24, 32].
Robichaud and Anantatmula [49] believe that the main goals of sustainable
housing can be summarized as minimizing the environmental footprint, improving
the health of occupants, returning the investments to local communities, meeting
sociocultural requirements, and enhancing the lifecycle considerations.
Having examined the literature, sustainable housing attributes can be sorted based
on three pillars: environmental, economic, and sociocultural indexes. Figure 1 shows
the most common attributes and indicators of sustainable housing retrieved from the
literature. Greenhouse gas (GHGs) emissions and carbon footprint and their impacts
on climate change have gained more attention among the extensive characteristics
and indicators of sustainable housing, and most of the sustainability attributes of
Table 1 have direct or indirect impacts on GHG emissions.

3.2 Sustainable Reconstruction

Disasters can easily disrupt the usual functions of a society [22]. From another point
of view, disasters are also valuable opportunities for addressing the deficiencies and
vulnerabilities of the built environment and, moreover, implementing sustainability
and resilience principles to create a more resistant and greener community [53].
Sustainable housing (temporary and permanent) in a post-disaster context has a
distinctive difference from sustainable housing in general terms, it is mixed with
810 A. Shamloo et al.

Fig. 1 List of sustainable housing factors retrieved from the literature [15, 39, 49, 52]

necessity and urgency. The need for immediate decisions and restoring services
while considering the long-term requirements of sustainable development is the main
challenge in sustainable reconstruction, which can mean housing recovery projects
have conflicting objectives [33, 37].
Sustainability principles encompass a holistic approach that considers environ-
mental, social, and economic dimensions, advocating for efficient resource utiliza-
tion, reduced carbon footprint, equitable access to resources, and community engage-
ment. By prioritizing sustainable infrastructure, renewable energy sources, disaster-
resistant designs, and inclusive decision-making processes, post-disaster reconstruc-
tion can mitigate future risks, foster adaptive capacities, and promote equitable devel-
opment trajectories. The imperative for sustainability in post-disaster reconstruction
resonates with global commitments to sustainable development and climate action,
underscoring the pivotal role it plays in shaping the trajectories of disaster-affected
regions and fostering a more resilient and harmonious coexistence between human
societies and the natural world [14].
Meeting post-disaster housing requirements through sustainable and resilient
reconstruction methods should be a goal for strategic decision-makers and people.
According to research by Charlesworth and Ahmed [9] and Mannakkara et al. [38],
the experiences of the practitioners in the field show that sustainable reconstruction
Sustainability of Post-disaster Temporary Houses: A Review … 811

success depends on the appropriate implementation of several factors, including inte-

gration of housing with infrastructures, supporting livelihoods and local economy,
sustained engagement of organizations, ensuring multi-stakeholders engagement,
using local built environment professionals help, and having an owner-driven
approach.

3.3 Temporary Housing Sustainability

Although sustainability is a key factor in urban development and housing, it is often

neglected in post-disaster sheltering or temporary housing [45]. Temporary housing
solutions are normally considered to be used for several months or a few years, but
experiences across the world show that, in practice, they may be in use for several
years [59].
Research by [3, 29, 33, 57] show that the most important factors for achieving a
successful and sustainable temporary housing are:
• Meeting the displaced people’s needs and cultural properties.
• Low costs and availability.
• Meeting climatic and geographic specifications.
• Short building/provision/delivery time and ease of construction or transportation.
• Safety and Security.
• Privacy and comfort.
• Suitable location and communication.
• Supporting livelihoods.
• The ability to be reused or recycled.
• Minimizing environmental impacts.
With an increasingly developing climate crisis, providing sustainable temporary
houses will remain one of the most important and influential objectives. Changing
material types and a need to provide reduced resource usage means that new mecha-
nisms for sustainable temporary houses are required. The most frequently observed
problems with temporary housing projects within the literature include the following:
incompatibility with the survivors’ needs; high expenditure; wrong location; and
environmental impacts [16, 21]. These incompatibilities have led to rejection of the
survivors to use temporary houses or using them with dissatisfaction in several cases.
For instance, after the 2003 earthquake in Bam (Iran), parts of the temporary facilities
remained useless due to their inappropriate location; or after the 2004 tsunami of
Aceh (Indonesia) the changes in the recovery approach led to late delivery and poor
quality of temporary housing [11, 13, 20].
According to the mentioned sustainability principles, to have a sustainable shelter,
not only the materials should be from reusable, recyclable, or biodegradable sources,
but also, the reasonable costs, compatibility with climate and social requirements,
and availability are some of the most important factors. Figure 2 shows two shelter
812 A. Shamloo et al.

Fig. 2 Temporary housing solutions designed by Shigeru Ban [5]

concepts designed by the humanitarian architect, Shigeru Ban. One of them is mostly
based on reeds and plants and the other one is built using the paper tubes.

4 Assessment Systems and Methods

Building sustainability assessment systems are designed and used in order to find
out to what extent a building meets the requirements of sustainability. According
to Beardsley et al. [4], the main purposes of assessments include the following:
improving the designing and building process of new buildings, evaluating the
sustainability of existing buildings, verifying compliance with national and inter-
national regulations, and raising general awareness and educational purposes.
The assessments are based on weighting and aggregating sustainability indices and
their components [23]. The literature shows that in the past 30 years, the number and
complexity of environmental assessment tools designed for buildings have increased,
and now, there are over 150 tools for the assessment and benchmarking of buildings
[4]. Among these assessment tools, some of the internationally recognized systems
are LEED, BREEAM, CASBEE, SBTool, SBAT, HQE, GBND, GBI, and so on
[4, 10]. Most of these assessment systems have a set of tools developed for various
categories, such as sustainability assessment of houses, neighborhoods, urban infras-
tructures, and so on. Despite the availability of a wide variety of assessment tools,
researchers and organizations are constantly developing new sustainability assess-
ment tools, which are mostly customized tools for special locations and types of
buildings.
A recent study by Lazar and Chithra [35] shows that the majority of building
sustainability assessment tools are designed based on environmental sustainability,
and this is because of the important role of environmental considerations in
sustainable development.
Sustainability of Post-disaster Temporary Houses: A Review … 813

4.1 Reconstruction Sustainability Assessment

Sustainability assessments of post-disaster or post-crisis reconstruction programs

are done to show how much the processes are compatible with long-term goals of
sustainability. This can help planners and decision-makers improve future reconstruc-
tion efforts and decrease the harmful consequences of inappropriate environmental
choices [57].
There are tools especially developed for the assessment of post-disaster recon-
struction processes. One of these tools is QSAND (Quantifying Sustainability in the
Aftermath of Natural Disasters). QSAND is an open-source shelter and settlement
sustainability and resilience self-assessment tool. It has been developed on behalf of
The International Federation of Red Cross and Red Crescent Societies (IFRC) and
follows the standards developed by the BREEAM assessment system. It covers eight
categories of sustainability factors that are as follows:
• Shelter and community.
• Settlement.
• Material and waste.
• Energy.
• Water and sanitation.
• Natural environment.
• Communications.
• Cross-cutting [47].
The other tools include PASSA (Participatory Approach for Safe Shelter Aware-
ness), and T3B (Talk to the Buildings) which is more based on achieving sustain-
ability qualities through design and architectural patterns. In this method, ten essen-
tial patterns of creating a “Home” are the basis for sustainability assessment of
post-disaster shelters and houses [46].

4.2 Sustainability Assessment of Temporary Houses

Temporary housing sustainability assessment is a part of the whole post-disaster

recovery assessment. Regarding the long period of survivors’ settlement in post-
disaster temporary houses (which lasts for several months to a few years), their
sustainability as a part of residential buildings needs to be assessed. This can
contribute to minimizing the negative environmental impacts of human settlements
[1].
Temporary housing sustainability assessment includes the assessment of the whole
process and the life-cycle assessment of temporary houses/units. Post-disaster tempo-
rary housing as a process, needs several decision-makings; including the location
of temporary houses, type and technology, building method, materials etc. [34].
Hosseini et al. [27] believe that the appropriate decision over the selection of an
814 A. Shamloo et al.

optimal temporary housing strategy is a result of considering the natural hazard

characteristics, the local characteristics and the temporary house characteristics;
and experts from different disciplines should be involved in the temporary housing
processes.
Examining the literature shows that sustainability assessment and decision-
making over temporary houses and shelters has a shorter history compared to perma-
nent houses. One of the first researches was done by El-Anwar et al. [17], in which
they developed a model by quantifying the qualitative specification of temporary
houses and their impacts on the users. During the last decade, several other pieces of
research have been done on temporary housing sustainability assessments. Hosseini
et al. [26] developed a selection model based on sustainability indicators of tempo-
rary houses, including provision cost, maintenance cost, health, well-being, resource
consumption, pollution, solid waste, and reusability.
Reviewing the literature reveals that because of the limited number of tools in
reconstruction sustainability assessment, and especially in temporary housing assess-
ment, researchers have tried to develop new methods and tools for the assessment of
temporary housing sustainability. The most used method for developing a sustain-
ability assessment is Multi-Criteria Decision-Making (MCDM), which is a tech-
nique that combines each parameter’s performance over numerous qualitative and/
or quantitative criteria (sometimes contradicting each other) and results in a solution
that needs a consensus. In this method, each assessment parameter is evaluated by
considering its weight and impact [35].

5 Discussion and Conclusion

Sustainability assessment in post-disaster construction plays a vital role in ensuring

that rebuilding efforts not only restore communities but also contribute to long-term
environmental and societal resilience. This process involves evaluating the environ-
mental impact, resource efficiency, and social considerations of construction projects
in the aftermath of natural or man-made disasters. By prioritizing sustainable building
materials, energy-efficient designs, and community engagement, these assessments
help minimize the ecological footprint, enhance disaster resilience, and promote the
well-being of affected populations.
In this study, the main characteristics of sustainable housing and sustainable recon-
struction have been collected and classified. Post-disaster housing processes and
post-disaster temporary housing characteristics are explained. Finally, sustainability
assessment methods in general and post-disaster fields are reviewed. According to
the literature, despite the difficulties of considering the long-term requirements of
sustainable construction in the emergency circumstances of post-disaster recovery,
moving toward sustainable reconstruction (temporary and permanent) is inevitable.
The reason is climate change and the increasing number of natural disasters. Sustain-
able housing reconstruction should prevent future vulnerabilities and contribute to
the reduction of climate change effects.
Sustainability of Post-disaster Temporary Houses: A Review … 815

The findings of this study show that despite the numerous sustainability assess-
ment systems in the world and in the built environment sector, there are limited
resources and principles for the sustainability assessment of temporary houses, and
one of the most used techniques is MCDM.
Although temporary housing sustainability assessment tools may have limitations
and deficiencies in results, they can support post-disaster decision-makers in choosing
the most appropriate solutions. Future research needs to provide a method for opti-
mizing and advancing the sustainable features of temporary houses. Also, further
research needs to be done on whether sustainability assessments of the most used
temporary housing solutions in each country/region against the prevalent disasters
actually reduce climate change impacts or not.

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Construction and Demolition Waste
Management in Affluent Economies
in Transition: Implementing the 3R
Strategy

Shadeedha Mohamed Saradara, Malik Mansoor Ali Khalfan,

Juan Carlos Flores Lara, Abdul Rauf, and Mutasem El Fadel

1 Introduction

The construction industry plays a significant role in modifying the natural envi-
ronment, but it also gives rise to significant environmental impacts such as resource
depletion, pollution, and waste generation. Recently, there has been a growing recog-
nition of the importance of sustainability and effective waste management in the
construction sector. Sustainability within this sector covers a variety of initiatives
aimed at mitigating adverse effects, promoting societal well-being, and ensuring
economic viability throughout the whole construction lifecycle. These concepts
comprise the promotion of energy efficiency, resource preservation, waste mini-
mization, and the utilization of ecologically sustainable products [25]. Economic

S. M. Saradara · M. M. A. Khalfan (B) · J. C. F. Lara

Department of Management Science and Engineering, Khalifa University, Abu Dhabi, United
Arab Emirates
e-mail: [email protected]
S. M. Saradara
e-mail: [email protected]
J. C. F. Lara
e-mail: [email protected]
A. Rauf
Department of Architectural Engineering, United Arab Emirates University, Abu Dhabi, United
Arab Emirates
e-mail: [email protected]
M. E. Fadel
Department of Civil Infrastructure and Environmental Engineering, Khalifa University, Abu
Dhabi, United Arab Emirates
e-mail: [email protected]

© The Author(s), under exclusive license to Springer Nature Switzerland AG 2024 819
J. O. B. Rotimi et al. (eds.), Advances in Engineering Management, Innovation, and
Sustainability, Lecture Notes in Civil Engineering 480,
https://doi.org/10.1007/978-3-031-56544-1_52
820 S. M. Saradara et al.

development, coupled with the swift pace of urbanization, caused the global prolif-
eration of CDW generation, which is recognized as a significant concern within the
construction industry, primarily because of its adverse effects on the environment
and the overall efficiency of the construction sector [24].
Waste generation creates a widespread challenge that impacts communities at
a global scale. Construction waste refers to unwanted materials generated directly
or indirectly from construction activities. This encompasses various construction
components, including insulation, nails, electrical wiring, and rebar, alongside waste
materials generated during site preparation, such as dredging materials, tree stumps,
and rubble. On the other hand, demolition waste refers to the debris generated from
demolishing a building, including insulation, electrical wiring, rebar, wood, concrete,
and bricks. Both construction and demolition wastes may contain lead, asbestos, or
other potentially harmful materials [32, 47]. However, it is important to note that
data on CDW is not consistently collected, resulting in most published Figures being
estimated and requiring careful interpretation. Estimates indicate that in 2012, the
European Union generated over 8,200 million tons of CDW. In the same year, Japan
produced 77 million tons, China 33 million tons, and India 17 million tons. Addi-
tionally, the fast-developing cities of Dubai and Abu Dhabi each generated nearly 7
million tons of CDW in 2011 and 2013, respectively [48]. At a global level, a signifi-
cant fraction of CDW, ~ 35%, is disposed of in landfills [23]. Effective CDW manage-
ment is imperative in preserving the environment, conserving natural resources,
sustaining the economy, and benefiting society as a whole. Numerous studies have
been conducted in the field of CDW management, with a specific focus on the hierar-
chical approach of reduce, reuse, and recycle techniques that are widely recognized
as the core principle in CDW management with well-documented implementation
efforts individually or in combination [23, 24].
Governments and communities acknowledged the importance of handling CDW
by implementing regulations and policies targeting effective management techniques.
Policies about sustainability in the construction industry usually prioritize waste
reduction, promotion of recycling, and adherence to responsible disposal require-
ments. Prioritizing sustainability and efficient management of CDW is crucial as it
reduces negative impacts and improves social well-being and economic viability.
The appropriate management of construction waste contributes to the mitigation of
resource depletion and the alleviation of the industry’s associated burdens [26, 49].
In recent years, a growing global interest in the concept of circular economy
(CE) is evident as a potential solution to address the prevailing production and
consumption paradigm, which relies on perpetual growth and escalating resource
utilization. Implementing closing-the-loop production patterns involves integrating
sustainable practices throughout the product lifecycle, from design and production to
consumption and disposal. This approach aims to minimize resource consumption,
waste generation, and environmental impacts by maximizing the reuse, recycling,
and recovery of materials. By adopting closing-the-loop production patterns, orga-
nizations can reduce their reliance on raw resources and decrease waste sent to land
[18].
Construction and Demolition Waste Management in Affluent … 821

Several studies examined the five fundamental stages of the waste management
hierarchy (WMH) [13], including waste reduction, reuse, recycling (3Rs), treat-
ment, and disposal. While treatment or recovery options are typically categorized
within general waste management practices, disposal is not considered an efficient
approach to proper management. The management hierarchy of CDW prioritizes
options based on their preference, with waste avoidance being the most desirable
outcome and disposal being the least desirable end. The waste management hier-
archy encompasses five distinct levels. However, from the academic perspective, the
primary parts of CDW management techniques are the 3R’s principle of waste mini-
mization [27]. Historically, the hierarchical approach to CDW management, which
encompasses the 3Rs principles, has been perceived as a viable strategy for exploring
CDW management [23, 24].
This study examines the legislative and management practices related to CDW in
the UAE, with a specific emphasis on implementing effective methods based on the
3R principle. The study focuses on the crucial factors that influence the management
of CDW in response to its escalating quantity resulting from fast urban expansion.
The significance of minimizing waste generation, advocating for material reuse, and
establishing recycling infrastructure is underscored, with a focus on strategies to
improve CDW management practices. These approaches encompass public aware-
ness campaigns, incentivization strategies, penalties for non-compliance, invest-
ments in recycling infrastructure, regulatory enhancements, and capacity-building
initiatives within the construction sector. The primary objective is to make a valuable
contribution toward the sustainable management of CDW in light of the increasing
construction activities in the UAE.

1.1 The UAE Context

The UAE is a constitutional federation comprising seven emirates. Over the last five
decades, the UAE has successfully transitioned its economy from primarily reliant
on fishing and agriculture to a technologically advanced and highly competitive
one [39]. This transformation has positioned the UAE as a global leader in terms
of economic performance, boasting one of the highest per capita incomes glob-
ally. While the economy continues to rely on the oil sector, its contribution to the
gross domestic product (GDP) is gradually diminishing [7, 34]. Figure 1 shows the
economic growth in terms of GDP from the year 2010–2022 for various economic
activities. The economic sectors of mining and quarrying, including the extraction
of crude oil and natural gas, contribute to around 27% of the GDP. The construc-
tion and manufacturing sectors collectively account for 20% of the GDP [16]. The
construction industry and related activities are widely acknowledged as substantial
economic growth and development contributors. The two main emirates of Dubai and
Abu Dhabi emerged as prominent leaders in the construction and real estate of mega-
projects, assuming a crucial role in the attraction of foreign investment, promotion
822 S. M. Saradara et al.

prices)for the period of 2010 -

Gross Domestic Product at 400,000
Constant prices (at 2010

2022 (in Million US $)

300,000

200,000

100,000

-
2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022

Non-oil Gross Domestic Product Mining and Quarrying (includes crude oil and natural gas)

Fig. 1 Economic growth in terms of GDP (Data from Federal Competitiveness and Statistics
Centre, 2022a)

of tourism, and elevating the international standing of the country. The sector facili-
tates generating employment opportunities and job prospects for a diverse range of
individuals possessing different skill levels, encompassing unskilled, semi-skilled,
and skilled laborers. Furthermore, it is crucial in generating income in both the
formal and informal sectors. It functions as an additional source of foreign exchange
earnings, supplementing those derived from the trade of construction materials and
engineering services [11, 34].
Despite positive contributions made through the construction industry, it is essen-
tial to acknowledge and address its adverse environmental effects. The built envi-
ronment accounts for approximately 40% of global carbon emissions [21]. This
encompasses both operational carbon emissions, which occur during the regular use
of a building, and embodied carbon emissions originating from the inherent carbon
content of the building materials [14]. The construction sector is also responsible for
contributing to the environmental impacts of increased CDW. In the context of the
UAE, CDW contributes to the exacerbation of environmental challenges, including
air pollution, habitat disruption, resource depletion, and heightened energy consump-
tion. The UAE is witnessing an increase in urbanization that exacerbates urban chal-
lenges, emphasizing the need for sustainable management of CDW under an affluent
economy in transition [22, 29, 37]. Figure 2 illustrates the CDW produced in the
UAE from 2016 to 2021. A significant portion of non-hazardous waste attributable
to CDW reached 82% of the total waste produced in 2021, an increase of 50% from
2020 [17].
The quantity of waste produced by construction projects has the potential to
increase due to the need to accommodate the growing population and expanding
industrial sector with a need to implement strategies to minimize waste generation
[30]. As such, the government adopted legislative measures and developed compre-
hensive strategies and policies to support the implementation of integrated waste
management practices. Hence, the primary objective of this study is to examine the
Construction and Demolition Waste Management in Affluent … 823

70,000 64,951
by Source, Method Treatment and
Collected Non Hazardous Wastes

Disposing(000 Tonne) 60,000

50,000 42,872
40,000
30,000 25,838
22,818 21,528 20,263
20,000
10,000
0
2016 2017 2018 2019 2020 2021

Fig. 2 Quantity of collected non-hazardous wastes (Data from Federal Competitiveness and
Statistics Centre, 2021a)

legislative and policy measures set by the UAE government for the purpose of inte-
grated CDW management and identify factors that can constrain or facilitate CDW
management in the UAE within the framework of the 3R (reduce, reuse, and recycle)
principle.

2 Methodology

To achieve our study goals, we have implemented a comprehensive desk based

research approach with the purpose of acquiring a profound comprehension of the
practices involved in the treatment and management of CDW in the UAE. In order
to attain the overarching objective, our main sources of information consisted of
the official websites of the government, particularly those that are managed by the
Ministry and pertinent government entities. A comprehensive and rigorous anal-
ysis was undertaken to derive significant information about the existing policies and
treatment procedures pertaining to CDW management from these online sites.
A comprehensive review of academic literature sourced from credible sources,
such as Google Scholar and Scopus, in order to investigate the obstacles and facil-
itators associated with CDW management in the UAE was carried out for this
study with the aim of optimizing the discovery of relevant research resources.
The search keywords were modified and improved by integrating new informatics
approaches and employing Boolean operators to enhance accuracy and inclusive-
ness. The systematic strategy was implemented in the following manner: Systematic
searches were conducted inside the Scopus database, employing strategic utilization
of key terms such as “Construction and Demolition Waste Management,” “United
Arab Emirates,” “Circular Economy,” and “Construction.“ The selected keywords
were strategically utilized throughout several sections, such as the topic, article title,
abstract, and keywords, to ensure a thorough and comprehensive exploration of the
subject matter. It is important to highlight that over the duration of our study, we met
824 S. M. Saradara et al.

a significant dearth of pertinent material pertaining to the management of CDW in

the UAE, particularly in relation to the legal framework and regulations governing
this field.
Our investigation is predicated on an in-depth grasp of the challenges that are
experienced as well as the suggested solutions that are intended to enhance the
productiveness of the management of CDW. This provides the basis for our inves-
tigation. The fundamental ideas underlying the circular economy are the primary
focus of our investigation, with a particular concentration placed on the “3R” model.

3 Existing Conditions: CDW Policies, Legislative

and Treatment Modes in the UAE

The scarcity of relevant literature concerning the UAE’s CDW management is note-
worthy, particularly concerning the laws and legislation governing this domain. As
such, the analysis is guided by the challenges faced and proposed solutions aimed
at enhancing the effectiveness of CDW management, with a specific focus on the
principles of the Circular Economy, notably the “3R” framework.

3.1 National and Regional Policies and Legislation

The UAE Federal Environmental Agency was formed in 1993 by Federal Law No.
(7) with a mandate to develop policies, assess environmental impacts, enforce laws,
and promote sustainability. Federal Law No. 24 of 1999—Protection and Develop-
ment of the Environment covers the primary legislation for environmental protection
and CDWM regulations in the UAE [20], which aims to establish guidelines for the
appropriate management, treatment, and disposal of waste materials. The legislation
endeavors to advance the principles of recycling, waste minimization, and pollu-
tion mitigation to safeguard the environment and cultivate sustainable development
throughout the nation.
Federal Law No. 12 of 2018 by the Ministry of Climate Change and Environment
on integrated waste management has put forth 35 articles to establish a system-
atic approach to waste management and standardize the tools utilized for proper
disposal by implementing effective and advanced procedures and methodologies. The
legal framework encompasses all stages of waste management, including production,
sorting, transportation, storage, recycling, treatment, and disposal, except radioactive
waste [43]. The legislation also defines the penalties for illegal dumping of waste at
undesignated sites.
Ministerial Resolution No. 21 of 2019 was also issued by the Ministry of Climate
Change and Environment to increase the recycling rate toward fulfilling the country’s
zero waste target. It pertains to using recycled aggregates derived from CDW in
Construction and Demolition Waste Management in Affluent … 825

constructing roads and other infrastructure projects undertaken by the UAE’s public
and private sectors. The resolution outlines environmental prerequisites for recycling
cement, concrete, steel, bricks, gravel, sand, asphalt, timber, and gypsum waste into
new high-value materials. The decree mandates concerned local departments to have
contractors collect and sort waste generated at construction and demolition sites.
Depending on their size, the recycled materials can be used for paving roads, grading
dirt roads and parking areas, or earth filling at construction sites. The aggregates must
undergo quality testing in laboratories to verify compliance with UAE standards and
LEED and BREEAM certification requirements [44]. The local authorities oversee
waste management responsibilities in different emirates of the UAE. The National
Waste Management Database was implemented by the UAE government in 2018.
This database is a platform for facilitating the connection and collaboration among
waste management authorities across all emirates within the country. Several other
national-related policies and legislation are presented in Table 1.

3.2 CWD Treatment and Recycling Centers in the UAE

The successful enforcement of legislative measures led to a significant enhancement

in the recycling rate of CDW by 2021, reaching an impressive 85% and aligning with
the increasing global interest in enhancing waste management [17]. The management
of waste concerns is addressed by implementing recycling practices, converting waste
into energy and valuable resources, using innovative technology, and enhancing waste
separation and collection systems. The UAE is committed to mitigating the adverse
environmental effects in urban areas, improving air quality, and enhancing waste
management practices at the municipal and beyond [40].
Recycling CDW has proven to be an efficient method for minimizing the overall
waste generated by construction and demolition activities. The recycling process of
this waste is facilitated by establishing facilities in various parts of the country dedi-
cated to this specific purpose [24]. More specifically, the Centre of Waste Manage-
ment Tadweer, which was created by the Government of Abu Dhabi in 2008, oversees
the Emirate’s policy, Strategy, and contractual waste management mechanisms. The
initial facility is located in Abu Dhabi, followed by a second in Al Ain and a third
in the Al Dhafra region. Collectively, these facilities possess a combined annual
capacity of 10,000 tons per day. The recycling activities associated with CDW yield
four distinct sizes of gravel with applications in infrastructure projects. Addition-
ally, sand generated from treatment procedures is utilized to cover waste materials
that are subsequently deposited in landfills [2]. The Integrated Waste Management
Master Plan of Dubai Municipality was formulated by its Waste Management Depart-
ment in 2012 with the primary objective of eliminating waste disposal in landfills
within 20 years, using an integrated and pioneering methodology. The Dubai Munic-
ipality has recently made public its plans to construct the most extensive Middle
East facility dedicated to converting solid waste into electricity [19]. The Bee’ah
CDW recycling facility of Sharjah handles a large quantity of waste, consisting of
826 S. M. Saradara et al.

Table 1 Key construction and demolition waste management laws and regulations
Year Description Source
1999 Federal Law No. (24) of 1999, modified by Federal Law No. 11 for 2006 MOCCE
for the protection and development of the environment, includes
provisions for waste management, focusing on pollution control, waste
reduction, recycling, and proper disposal to protect the environment
2001 Cabinet Order No.37 of 2001 for Executive Order of Federal Law No. 24 MOCCE
of 1999 for regulation of handling hazardous materials, hazardous waste,
and medical waste
2018 The 2018 Federal Law No. 12 on integrated waste management. The law MOCCE
regulates every aspect of waste management: production to classification,
transport, storage, recycling, treatment, and disposal
2019 Ministerial Decision No.21 of 2019 on the use of recycled materials from MOCCE
construction and demolition waste in road and infrastructure projects
2021 Cabinet Resolution No.39 of 2021 regarding the Executive Regulations MOCCE
of Federal Law No.12 of 2018 regarding integrated waste management
2003 Local Order No. (5) of 2003 Amending Local Order (7) of 2002 DM
concerning waste disposal sites in the Emirate of Dubai
2015 Technical guidelines No.7 mandatory waste segregation enforces waste DM
generators to segregate inert aggregates, metals, timber, dry recyclables,
and hazardous materials
2015 Technical guidelines No. 5 waste classification defines the types of DM
materials that could be available in CD waste
2017 Executive Council Resolution No. (58) of 2017 on approving fees and DM
fines for waste disposal in the Emirate of Dubai
2021 Technical Guideline No. 9 recyclable waste materials promotes the DM
utilization of recyclable materials in order to reduce environmental
impact and promote a circular economy
2005 Law No. (21) Of 2005 for waste management in The Emirate Of Abu EA–AD
Dhabi to promote the reduction of generated waste, recycling, and reuse
2009 Abu Dhabi Decree No.2 G24 of 2009 for the tariff system EA–AD
2022 Environmental management policy to empower optimized waste EA–AD
management and encourage circular economy principles
2019 Waste collection—segregation—transfer and tracking policy EA–AD
2019 Waste classification policy EA–AD
2019 Waste planning policy EA–AD
2019 Waste reuse-recycling-resource recovery—treatment and disposal policy EA–AD
2019 Licensing and enforcement policy for the waste sector EA–AD
2008 Centre for waste management technical guidelines Tadweer–AD
2011 Law No. 4 of 2011 On Amending Law No. 2 of 2007 of Environment Ras al
protection and development Khaima
2022 Recycling quality policy, Bee’ah recycling provide zero waste strategies Sharjah
AD: Abu Dhabi; DM: Dubai municipality; EA: Environment agency; MOCCE: Ministry of climate
change and environment
Construction and Demolition Waste Management in Affluent … 827

concrete, bricks, wood, insulation, and asphalt, enabling the diversion of CDW from
landfills. Bee’ah utilizes reclaimed CDW to manufacture various sustainable prod-
ucts, including concrete eco-curbstones, aggregates for road-base construction, recy-
cled concrete eco-interlocks, and recycled concrete eco-blocks. Additional materials
were retrieved, including stainless steel, rebar steel, aluminum, and copper. The
by-products from this process comprise five distinct grades of aggregate frequently
used to construct roads, pavements, and industry-certified recyclable products like
curb stones and interlocks. The recycled aggregate is also commonly employed
as a base or sub-base material for roads and other construction applications [8].
Concurrently, there has been a discernible rise in the country’s production of CDW,
invariably leading to environmental impacts. While increased awareness levels in this
context are evident at a national scale, the construction industry still lacks expertise or
adequate incentives for the successful implementation of efficient waste management
practices.

4 Challenges and Enablers Based on the 3R Principles

The management of waste poses a significant challenge within the construction sector
in the UAE and beyond. Inadequate planning, insufficient skills, and non-equitable
contracts collectively impede the attainment of optimal performance within this crit-
ical industry. Consequently, the country incurs financial losses due to the inadequate
execution of projects [30]. The construction industry is commonly perceived as prior-
itizing project delivery with limited concern for environmental protection, albeit the
recognition of adverse impacts on the local ecosystem with broader effects beyond
the immediate area. Such impacts are not limited to waste generation during the
construction phase but also encompass waste generation during the decommissioning
and demolition of constructed structures [15].
The causes and sources of construction waste generation are influenced by various
factors, such as procurement processes, material handling procedures, construction
practices, and the attitudes and behavior of the construction team. Inefficient prac-
tices contribute significantly to waste generation. Such practices encompass inade-
quate waste management strategies, inaccuracies in material procurement, substan-
dard quality of procured materials, improper storage practices, reliance on conven-
tional construction techniques, insufficient segregation, inadequate coordination of
documents, and the need for rework resulting from errors. Also, the lack of aware-
ness of the negative impact of waste on the environment, the absence of adequate
training in environmental and waste management practices, the absence of manage-
rial backing for waste management initiatives, and lack of absence of a construction
waste management plan are some of the factors that lead to waste generation in the
UAE.
This section examines the primary problems encountered by the management
of CDW, as well as the factors that facilitate its success. The analysis of waste
management practices in the UAE is approached from a comprehensive standpoint
828 S. M. Saradara et al.

Table 2 Key challenges and enablers in the management of CDW

3Rs Challenges Enablers
Reduce • Design change effect on CDW • Building information modeling (BIM)
increase • Lean construction practices
• Supply chain and material handling • Sustainability assessment tools
• Planning and methods for building
construction
• Work culture and lack of
environmental awareness
Reuse • Guidance for effective CDW • Cost saving
collection and sorting
• Knowledge and standards for reused
CDW
Recycle • Under-developed market for • National and regional legislation
recycled CDW • On-site segregation mandates by green
• Material contamination building regulations

that incorporates the principles of reduce, reuse, and recycle, which are fundamental
to the notion of circular economy. Table 2 highlights challenges and enablers in the
management of CDW in the UAE based on the core tenets of the Circular Economy,
namely the 3Rs principle, further detailed below.
Embracing this perspective allows the uncovering of the diverse obstacles that
CDW management faces within a fast-moving economy such as the UAE and the
concomitant analysis of potential solutions. The perspective enables exploring the
complex dynamics of waste management with beneficial solutions consistent with
the principles of circularity, making a valuable contribution to a more sustainable
and ecologically conscious framework for managing CDW.

4.1 Reduce

Waste reduction is considered the most effective and efficient approach since it allows
for minimizing costs associated with waste management (transport, recycling, and
disposal). Among the 3Rs, waste reduction is the most favorable owing to its minimal
adverse effects on the environment, and hence, it is commonly prioritized in devel-
oping CDW management plans [23]. While the recycling rate in the UAE is high, the
continuously increasing rate and volume of CDW generation remains a challenge
and can be minimized through active stakeholders’ participation in the construction
sector.
Construction and Demolition Waste Management in Affluent … 829

4.1.1 Reduction Challenges

. Design Change Effect on CDW Increase has the highest impact in generating
construction waste due to frequent occurrence of design revisions, particularly
after the startup of construction activities due mainly to lack of effective commu-
nication among contractors, designers, and clients during the design phase when
stakeholders must convene to reach a final decision before the commencement
of construction projects [33]. Design changes after construction commencement,
mistakes in project documents, incomplete information, and lack of contractors’
influence on contract documentation are common challenges causing increased
CDW in the UAE construction industry [10]. The absence of awareness by the
design team on the effect of CDW on the environment can equally influence waste
generation [22].
. Supply Chain and Material Handling is another common cause of waste genera-
tion associated with errors in the quantity of ordered products that can manifest
themselves in two ways: ordering a considerable amount or ordering an insuffi-
ciently small quantity of products. In addition, the procurement of goods that fail
to meet the necessary technical specifications, material damage during transport/
transfer from one location to another, and improper storage at the site are critical
factors in increased waste generation [5, 10].
. Planning and Methods for Building Construction are characterized by a compli-
cated and multifaceted nature, with several factors contributing to the complexity
(Luangcharoenrat et al. 2019), including the divergent goals and interests among
stakeholders (i.e., owners, architects, engineers, contractors, and subcontractors)
which affects building project progression. The potential outcome of this diver-
gence invariably involves modifications to the contract, alterations to the scope of
work, and an increase in waste generation, particularly when the preordering of
long lead items occurs. Furthermore, subtle planning considerations such as inad-
equate site inspection and harsh weather conditions can contribute significantly
to increased CDW at construction sites [10] (El-Sayegh et al. 2020).
. Work Culture and Lack of Environmental Awareness are often associated with
professionals in the construction industry since their primary focus and dedication
are directed toward expediting project completion [28]. Poor waste management
and environmental education, insufficient management commitment to waste
reduction, and no building waste management strategy in place led to increased
CDW in the construction sector [10, 22, 37].

4.1.2 Reduction Enablers

. Building Information Modeling (BIM) in Construction Design has transformed the

Architecture, Engineering, and Construction (AEC) sector by enhancing collab-
oration and coordination among various parties involved in a project, leading
to more efficient data and information management. Additionally, it contributes
to improved decision-making capabilities throughout the construction process,
830 S. M. Saradara et al.

aiding in the identification and resolution of possible difficulties that may arise
throughout this phase benefiting all stakeholders [36]. The UAE has allocated
substantial funds to develop building and infrastructure sectors with an increasing
trend toward adopting BIM to enhance the effectiveness and sustainability of these
endeavors. The UAE has emerged as a prominent frontrunner in the Middle East
region regarding its adoption and implementation of BIM, with Dubai Munic-
ipality pioneering the adoption of BIM across the region [1]. Using BIM in
construction has been reported to reduce construction waste due to design changes
and reworks [31].
. Lean Construction Practices are advocated to design production systems to mini-
mize the waste of materials, time, and effort to generate the maximum possible
amount of value [46]. The construction process in the UAE exhibits distinct char-
acteristics leading to potential variations in waste generation and the use of lean
construction methodologies. In a manner akin to lean manufacturing and services
principles, six sigma can serve as a synergistic component within the context of
lean construction. Enhancing quality within the construction domain aligns with
lean methodology principles, prioritizing efficient project completion and cost
efficiency. This is achieved by minimizing the need for rework, delays, and repe-
titions in completed jobs and assuring the quality of materials delivered to the
building site. However, one of the primary obstacles to implementing lean tech-
niques in the UAE is the limited awareness and interest in the concept and value of
lean construction. Additionally, there is a notable hesitancy among construction
professionals to disclose information about the types of waste in their projects
[4, 46].
. Sustainability Assessment Tools have exhibited a growing trend since 2006,
including international green building standards like LEED (Leadership in Energy
and Environmental Design) certification by the USA and BREEAM (Building
Research Establishment Environmental Assessment Method) certification by the
UK. These certifications are globally acknowledged as a standard for evalu-
ating and recognizing environmentally sustainable construction (Emirates Green
Building Council 2020) and have been implemented in various projects within the
UAE, catalyzing the formulation and enforcement of customized regulations and
rating systems for sustainable construction practices. Abu Dhabi, for instance,
took the initiative of implementing a requirement for the Estidama Pearl Rating
System (Abu Dhabi Urban Planning Council 2010a). Similarly, Dubai formulated
the Dubai Green Building Regulations and Specifications, which were replaced
by the Al Safat Rating System. Implementing these regulations has facilitated the
establishment of a regional marketplace for environmentally friendly building
materials and technologies. Additionally, it has enhanced the knowledge and
understanding among professionals in the industry about energy efficiency, water
conservation, waste management, indoor environmental quality, and other sustain-
able building attributes (Yas and Jaafer 2020). In 2019, the Emirate of Ras Al
Khaimah introduced its set of regulations, the Barjeel Green Building Regulations.
In the same year, the Ministry of Infrastructure Development implemented the
Green Building Guidelines for Federal Buildings in the UAE [35]. Furthermore,
Construction and Demolition Waste Management in Affluent … 831

the Sharjah Municipality has recently introduced its inaugural green building
guidelines, which are currently being tested in the Emirate. The directive mandates
that all newly constructed structures must meet predetermined benchmarks to
effectively limit energy and water consumption while mitigating construction
waste by recycling building materials.

4.2 Reuse

The reuse of CDW holds significant importance in the context of sustainable waste
management. The utilization of CDW materials, including reclaimed wood, concrete,
and metals, holds substantial potential for mitigating the environmental impacts
associated with construction endeavors by preserving natural resources and mini-
mizing energy use and waste disposal. It is, however, imperative to acknowledge the
constraints of quality control and adhering to regulatory compliance. Nevertheless,
incorporating reuse into construction practices is expected to advance the principles
of the circular economy while simultaneously yielding economic advantages and
addressing the environmental consequences linked to resource extraction and waste
generation within the building industry [24].

4.2.1 Reuse Challenges

. Guidance for Effective CDW Collection and Sorting remains lacking, albeit it
is critical in waste minimization and management [29], but it is exclusively
addressed during internal site progress meetings. Despite the potential cost
savings and greater profitability associated with waste minimization, various
stakeholders (consultants, contractors, client’s representatives) prioritize moni-
toring the progress and quality of work, emphasizing mainly site cleanliness as a
component of site safety measures, albeit acknowledging that waste minimization
is a component of their cost control and value management practices. Furthermore,
it is imperative to enhance the efficiency of waste measurement and segregation
techniques in construction sites [6].
. Knowledge and Standards for Reused CDW remain equally lacking, with the
complete absence of established criteria governing the utilization of recycled
CDW materials leading customers to question the inherent characteristics of such
materials. The utilization of CDW is not common due to concerns regarding the
uncertain quality of these materials. Furthermore, it is frequently observed that
materials are insufficient to be derived from recycled CDW [3, 9].
832 S. M. Saradara et al.

4.2.2 Reuse Enablers

. Cost Saving: Is invariably the primary advantage and motivating factor for mini-
mizing material waste in building projects, as perceived by most stakeholders.
Reducing expenses associated with waste disposal and transportation and utiliza-
tion of on-site or off-cut materials within construction sites offers a cost-saving
advantage and enhances profitability [5, 28].

4.3 Recycling

In the context of sustainable development, the recycling of CDW holds significant

importance. The implementation of CDW recycling in the region has become more
important due to the significant expansion of construction projects. This practice
can alleviate the burden on landfills and effectively preserve valuable resources. The
recycling facilities in the UAE utilize sophisticated technologies to categorize and
treat various materials such as concrete, steel, and gypsum, thereby fostering a culture
of environmental protection and accountability. This practice is in accordance with
the UAE’s dedication to environmentally friendly efforts aimed at mitigating carbon
emissions and minimizing resource depletion. Moreover, it plays a significant role in
promoting the development of a circular economy that stimulates economic growth
and protects the environment. The recycling of CDW plays a crucial role in ensuring
a sustainable trajectory [2, 42].

4.3.1 Recycling Challenges

. Under-Developed Market for Recycled CDW limits the acceptance and utiliza-
tion of building materials derived from recycled CDW. In the UAE, a standardized
market for reused building materials remains lacking, impeding the efficient circu-
lation of such resources throughout the construction sector. The system still does
not facilitate the involvement of contractors in the process of material selection and
the establishment of circular procurement criteria [3]. As a result, conventional
procurement dominates in the country.
. Material Contamination by the waste producer remains a concern. In this context,
source segregation is the most significant factor in ensuring proper recycling of
CDW, which may contain small amounts of hazardous materials such as solvents
and asbestos, causing specific hazards to the environment and hindering the
process of recycling [38]. While concrete masonry blocks are the predominant
building products that generate CDW, the latter is a heterogeneous mixture of
several constituents, including concrete, mortar, and cement. When maintenance
or demolition is necessary, it becomes exceedingly challenging to dismantle the
structure in its original form, hence impeding its ability to be recycled back to its
Construction and Demolition Waste Management in Affluent … 833

initial state. Consequently, CDW is disposed of after the building reaches the end
of its lifespan [9].

4.3.2 Recycling Enablers

. National and Regional Legislation (Table 1), coupled with policies for sustain-
able infrastructure and development, drive CDW away from landfills. Notable
policies include the UAE Vision 2021, the UAE-UN sustainable development
goals, the National Sustainable Production and Consumption Plan (2019–2030),
the UAE Net Zero 2050, and the UAE Circular Economy Policy. Collectively,
they aim to reduce GHG emissions and limit the rise in global temperature
to 1.5 °C compared to pre-industrial levels, as well as to facilitate the shift
toward a circular economy to attain sustainable resource management and opti-
mize resource utilization. In this context, the participation of the private sector is
imperative in advocating for the adoption of more environmentally friendly manu-
facturing practices and the increased utilization of cleaner production techniques
within the industry. Advocate for adopting production and consumption practices
that mitigate environmental strain and effectively provide essential human needs
[41, 42, 45].
. On-site Segregation Mandates by Green Building Regulations have encouraged
the 3R principle and the diversion of CWD from landfills. For instance, the Al
Safat Green Building Regulation in Dubai requires buildings outside the CBD area
a 50% diversion of CDW from landfills (by volume or weight of waste material
generated during the construction and/or demolition of buildings) to be recycled or
reused [12]. Similarly, the Barjeel Green Building Regulation (Ras Al Khaimah)
stipulates the segregation of construction waste to facilitate recycling [35]. In
Abu Dhabi, the Estidama Pearl Building Rating System calls for identifying site
clearance, demolition, and construction materials and demonstrating that waste
materials will be separated into several categories or according to material type
with the aim to also achieve a minimum recycling rate of 50% (by weight or
volume) (Abu Dhabi Urban Planning Council 2010b)

5 Conclusion

The increase in CDW generation presents significant environmental and economic

difficulties, necessitating an effective control and management strategy. We exam-
ined the current CDW management policies and operational circumstances in the
UAE, with emphasis on the 3R (Reduce, Reuse, and Recycle) principle to improve the
Circular Economy framework. Recently, the UAE adopted several strategic measures
toward sustainable CDW management consistent with the more ambitious objective
of attaining net-zero waste by 2050. While relying on recycled CDW aggregates
834 S. M. Saradara et al.

in the construction sector represents a circular framework, the escalating demand

for building material highlights the importance of government participation in moni-
toring and providing incentives for recycling CWD to reduce raw material extraction,
along with the efficient management of CDW, mostly by promoting the 3R principle
of the Circular Economy. The analysis identified obstacles impeding the effective
management of CDW, including the lack of standardized design methodologies,
excessive ordering processes, inadequate planning, and a limited understanding of
environmental considerations. Reusing CDW is challenged by the collection, sorting,
and implementation of standardized procedures with various constraints, including an
underdeveloped market and material contamination, hindering the recycling process.
Nevertheless, viable opportunities can be considered through implementing BIM,
Lean Practices, and sustainability assessment tools. In addition, recycling initiatives
are supported by national and regional laws, legislations, and on-site segregation
mandates.
The study recommends that it is crucial for the United Arab Emirates (UAE) to
prioritize the implementation of efficient and innovative strategies and frameworks
in order to enhance circular practices within the construction industry. This involves
not just the reduction of waste but also the optimization of resource consumption
throughout the entirety of building projects’ lifecycle. It is imperative to highlight the
significance of the potential knowledge that can be acquired through such attempts,
as they have the capacity to provide valuable information and direction for the
broad implementation of sustainable CDW management systems. These insights
may encompass the identification of optimal methodologies, the evaluation of the
economic feasibility of circular strategies, and the comprehension of the environ-
mental advantages associated with reducing the formation of CDW while optimizing
its reuse and recycling. The use of circularity principles within the building sector has
the potential to yield both environmental and economic advantages, hence fostering
the development of a sustainable and resilient built environment.
Future research endeavors will investigate business models that aim to improve
the preservation of high residual values of materials within a framework that recog-
nizes the circular nature of CDW management, while avoiding methods that involve
the disposal of resources in landfills. In this particular context, it is crucial to involve
several stakeholders in the construction sector in order to promote the implementa-
tion of waste circularity practices and tackle the prevalent tendencies of neglect and
avoidance that are frequently found in building and demolition activities. The effi-
cacy of CDW management is contingent upon the substantiation provided by relevant
case studies, which serve as a catalyst for the establishment of a durable and cyclical
trajectory toward the future. Additional study can delve into the perspectives of stake-
holders on the circular economy, providing recommendations for policy improvement
and examining different tactics and models related to the circular economy.

Ethics Statement All authors who contributed to the preparation of this paper have no conflicts of
interest arising from its publication and confirm no plagiarism, no data fabrication, or reproducibility
concerns.
Construction and Demolition Waste Management in Affluent … 835

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