A checklist for assessing sustainability performance of construction projects/Darnaus statybos projektu vykdymo ivertinimo katalogas.

Shen, Li-Yin ; Hao, Jian Li ; Tam, Vivian Wing-Yan 等

Abstract. Construction sustainability performance is indispensable to the attainment of sustainable development. Various techniques and management skills have previously been developed to help improving sustainable performance from implementing construction projects. However, these techniques seem not being effectively implemented due to the fragmentation and poor coordination among various construction participants. There is a lack of consistency and holistic methods to help participants implementing sustainable construction practice at various stages of project realisation. This paper develops a framework of sustainability performance checklist to help understanding the major factors affecting a project sustainability performance across its life cycle. This framework enables all project parties to assess the project sustainability performance in a consistent and holistic way, thus improving the cooperation among all parties to attain satisfactory project sustainability performance.

Keywords: sustainable development; construction, checklist, project sustainability performance, project life cycle.

Darnus statybu projektu vykdymas yra privalomas dalykas, norint pasiekti darnios pletros. Daugybe metodu ir valdymo igudziu buvo ispletoti ankstesniuose tyrimuose siekiant pagerinti darnu darbu vykdyma realizuojamuose statybos projektuose. Taciau sie metodai nebuvo sekmingai pritaikyti del didelio susiskaldymo ir prasto koordinavimo tarp skirtingu statybos projektu dalyviu. Jauciamas trukumas logisku ir visa apimanciu metodu, kurie padetu skirtingiems dalyviams igyvendinti darnios statybos praktika ivairiose projekto igyvendinimo stadijose. Siame straipsnyje ispletota darnaus darbu vykdymo katalogo struktura, kuri pades nustatyti pagrindinius veiksnius, darancius poveiki darniam statybos projektu igyvendinimui ju gyvavimo cikluose. Si katalogo struktura leidzia visas projekto salis ivertinti projekto vykdymo darnuma logisku ir visa apimaneiu budu, taip pat ji gerina saliu bendradarbiavima, skatina siekti darnaus projektu igyvendinimo.

Reiksminiai zodziai: darni pletra, statyba, katalogas, darnus projektu igyvendinimas, projekto gyvavimo ciklai.

1. Introduction

Previous studies have shown that construction industry and its activities have significant effects on the environment [1-5]. Sustainability performance of an individual construction project across its life cycle is an indispensable aspect in attaining the goal of sustainable development. Reports by the World Commission on Environment and Development [6] defined sustainable development as meeting the basic needs of the public and satisfying their aspirations for a better life without compromising the ability of future generations. Emphasis of this definition is placed on the balance among social development, economic development, and environmental sustainability. By adopting this conception, the impacts of construction activities on sustainable development can be considered in 3 main aspects: social, economic, and environmental. Adverse environmental effects from construction activities have been extensively addressed [7-11, 5]. These typically include energy consumption, dust and gas emission, noise pollution, waste generation, water discharge, misuse of water resources, land misuse and pollution, and consumption of non-renewable natural resources [12, 13]. Whilst there are various attributes contributing to sustainable construction practice, the environmental attribute has comprehensively been investigated. For instance, ISO 14000 series are introduced to provide a guideline to implement environmental management.

Appreciation of the significant impacts of construction activities on sustainable development has led to the development of various management approaches and methods to guide construction participants in achieving better project sustainability performance. Kibert's study [14] introduced 7 principles to implement sustainable construction practice, namely, (1) conserving (to minimise resource consumption); (2) reusing (to maximise the reuse of resources); (3) renewing/recycling (to use renewable or recyclable resources); (4) protecting the nature (to protect the natural environment); (5) using nontoxic materials to create a healthy, non-toxic environment; (6) economic benefits (to apply life cycle cost analysis); and (7) providing quality products. Hill and Bowen's study adopted 4 attributes to promote sustainable construction, including social, economic, biophysical, and technical aspects [15]. The social sustainability is to improve the quality of human life, to implement skills training and capacity enhancement of the disadvantaged, to seek fair or equitable distribution of construction social costs, and to seek intergenerational equity. The economic sustainability is to ensure financial affordability to the intended beneficiaries, to promote employment creation; to enhance competitiveness, to choose environmentally responsible suppliers and contractors, and to maintain capacity to meet the needs of future generations. The biophysical sustainability is to extract fossil fuels and minerals at rates which are not faster than their slow redeposit into the Earth's crust, to reduce the use of 4 generic resources (namely, energy, water, materials, and land); to maximise resource reuse and/or recycling; to use renewable resources in preference to non-renewable resources, to minimise air, land and water pollution, to maintain and to restore the Earth's vitality and ecological diversity; and to minimise damage to sensitive landscape. The technical sustainability is to construct durable, reliable, and functional structures; to pursue quality in creating built environment; to humanise large buildings; and to infill and to revitalise the existing urban infrastructure. Other studies presented methods to mitigate barriers in implementing environmental management in construction in order to achieve a better sustainability performance [12, 14, 7, 16-18].

However, fragmentation in using these principles cannot achieve satisfactory results. Different project participants often practice in isolation their management activities and emphasise their individual viewpoints. There is a lack of methodology to help all project participants working in a consistent and cooperative environment towards the same goal for achieving better project sustainability performance. A revolutionary solution is required to enable the integration of various methods and the working-together among all project participants. By establishing a framework of sustainability performance checklist, this paper presents a holistic and integrated research-based approach to consider the project sustainability performance. The development of this framework is largely based on conducting a comprehensive literature review. The checklist is developed from a holistic process across the project life cycle and enables all project participants to understand and contribute to the project sustainability performance.

2. Research methodology

The major objective of this study is to develop a project sustainability performance checklist that can be used by all project participants to understand and improve sustainability performance in the holistic process of the project life cycle. The data used for analysis are mainly from a comprehensive literature review. A preliminary list of sustainability performance factors was generated in the early research stage and this list was presented through interviews to the invited professionals for their comments. Interviews were invited and arranged with different project parties, including two governmental departments, 3 clients, 2 consultants, 4 contractors, 2 subcontractors and 1 supplier. These interview discussions provide valuable comments on the adequacy of the selection of the preliminary checklist, which were incorporated in the formulation of the final checklist. Team-orientated approach has been adopted throughout the study by engaging comprehensive discussions within the research team.

3. Factors affecting project sustainability performance

Factors affecting the sustainability performance of a construction project are different at various stages across project life cycle. Life cycle is widely adopted both in social and natural sciences, which is often used to represent maturational and generational processes driven by mechanisms of reproduction in natural population. In construction business, the Royal Institute of British Architects [19] defined the standard processes to operate construction projects, which include pre-design, design, preparing to building, construction, and post construction. In another typical description, the life cycle process of a construction project includes conception and feasibility studies, engineering and design, procurement, construction, start-up and implementation, and operation or utilisation. Ritz's study suggests the life cycle of construction projects, including conceptual phase, through project definition, execution, operation, and finally demolition [20]. According to "environmental code of practice for buildings and their services" published by the Building Services Research and Information Association [21], the life cycle of a construction project is divided into pre-design, design, preparing to build, construction, occupation, refurbishment, and demolition. Kibert's study described a construction project life cycle as a process of planning, development, design, use, maintenance, and deconstruction [14]. Shen et al's study separated the process of a project life cycle into inception, design, construction, operation and demolition [7, 13]. Based on the review of these previous studies, 5 major processes are applied to compose a project life cycle, namely, inception, design, construction, operation and demolition. These 5 processes are examined for developing the project sustainability performance checklist in this study.

Sustainable development represents the sustainability of economic development, social development, and environmental development [6]. In line with this conception, factors affecting sustainability performance of a construction project can be examined in 3 main categories: economic sustainability factors (ESF), social sustainability factors (SSF), and environmental sustainability factors (EnSF). A framework of project sustainability factors is proposed in a matrix format as shown in Table 1.

Based on the literature review and interview discussions with the different project stakeholders, Table 2 presents the details of the project sustainability performance checklist.

3.1. Inception stage

The major objectives of inception stage are to comparatively investigate multi-scenarios about the necessity and possibility of investment, and to address the issues in such a way as why, when, and how to invest. This stage concerns opportunities study and preliminary feasibility study, which leads to investment decisions. Project proposal needs to be developed to demonstrate the necessity of project and possibility of procurement for project resources. These activities are essential to help project clients making decisions on whether they need to proceed forward with their work. The proposal for a potential project plays a critical role to affect the project's sustainability performance. The principle of good project sustainability performance should be incorporated into the project proposal. Project feasibility studies should be in line with the principles of sustainable development, thus to investigate and to analyse the feasibility of project conditions on various aspects including engineering, technology, social aspect, economic benefits, and environmental effects.

3.2. Design stage

Design for construction projects is normally classified into preliminary design, technical design and shop-drawing design. The design stage presents the opportunity to consider the project sustainability performance in selecting its layout, structures and materials. Design process affects largely the project sustainability performance. For example, the design specifications affect functional performance of building components such as air conditioners, ventilation, lighting, electrical, heating, fire and water systems. Design specifications on project components should consider the project's economic, social and environmental performance across project life cycle.

3.3. Construction stage

The construction stage is to transfer the project design plans into reality. This process involves utilising various types of resources including human resources, equipment, materials, and financial resources. Many organisations are involved in this stage, including subcontractors, material suppliers, designers, consultants, thus management is presented with challenges of coordinating various project stakeholders to work towards common goals.

The construction stage is often described as including pre-construction and construction execution. During the pre-construction period, various subcontractors are recruited, construction materials and equipment are procured, and construction methods are planned in detail. During the construction execution period, various physical activities are undertaken according to design specifications, which involve utilisation of all types of resources including labour, construction equipment and materials. Activities during the construction stage have close association with environmental impacts such as waste generation and pollution.

3.4. Operation stage

Operation stage in a project's life cycle has major effects on project's sustainability performance. Good operation and management of the construction product can make contribution to the sustainability performance of the project, for example, by improving the operational efficiency, extending the service term, improving the social and economic profits, and mitigating the eco-environmental impacts. During project operation stage, feedbacks can be derived from continuous monitoring on the product operation through users such as the clients, end users, neighbours and local groups. Feedbacks should be seen as part of an integrated process aiming to achieve continuously the best sustainability performance. Furthermore, refurbishments will be undertaken during project operation in order to maintain the function of the product thus maintain its sustainability performance. A good plan for refurbishment can extend the service time and improve its operational efficiently, and thus enhance the sustainability performance of the project.

3.5. Demolition stage

Demolition of a construction product indicates the completion of the project's life, which will normally result in the generation of various wastes such as wood, concrete, metal, bricks, plastic, gypsum, roofing shingles, and glass. Practice suggests that the wastes from project demolition is far more than those from the construction process in a new project. Effective plans and management on project demolition can bring the lowest level of possible hazards, for example, by recycling as much as possible the dismantled materials along the material manufacturing chain.

4. Conclusions

This paper develops a project sustainability performance checklist applicable by all project participants to understand the major attributes affecting project sustainability performance in a consistent and holistic way across project life cycle. All processes across project life cycle carry the same importance to achieving better project sustainability performance. As project stakeholders such as governmental departments, clients, consultants, contractors, subcontractors and suppliers, have different extents to be involved in various project stages, usually individual parties focus on their own professions. The establishment of the sustainability performance checklist in this paper provides a tool that enable all parties to assess the sustainability performance of the project they are engaged across different stages including inception, design, construction, operation and demolition. Only all project stakeholders share the same information and knowledge of the project sustainability performance they can work together towards achieving better project performance. The use of the checklist will not only create a foundation of common understanding on key issues affecting project sustainability performance but also bring a "n-WINs" result among all participants through building up a better construction business environment.

However, the factor-checklists is by no means a definitive set but rather an introduction to a holistic and consistent approach. The approach is adaptable and needs to be applied with flexibility for assessing sustainability performance. For example, what is considered to be socially sustainable may not be sustainable in terms of economic sustainability. The procedure to assess sustainability performance is dynamic and affected by the interweaving factors. Further research is needed to investigate how to balance the factors to attain best sustainability performance by using a dynamic process.

Acknowledgements

This research was funded by the Hong Kong Research Grant Council, Hong Kong Special Administration Region, China.

Received 18 May 2007; accepted 01 Aug 2007

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Li-Yin Shen (1), Jian Li Hao (2), Vivian Wing-Yan Tam (3) and Hong Yao (4)

(1, 2, 4) Dept of Building and Real Estate, The Hong Kong Polytechnic University, Hong Kong

(3) Griffith School of Engineering, Griffith University, Australia E-mail: v.tam@griffith.edu.au

Li-Yin SHEN. Professor of construction management at the Dept of building & real estate of the Hong Kong Polytechnic University. His major research interests are problems of sustainable construction, risk management for construction and real estate, and competitive strategy for construction business. He has published widely research works in international journals. Editor of an international journal on construction management. He has been leading the research group for sustainable development within a built environment. He has a number of external appointments including the president (founding president) of the Chinese research institute of construction management (1996-2000, 2005-2007), honorary Professor at deakin University of Australia (2007-2010), external examiner for the University of central Lancashire (2001-2005); visiting Professor at the University of Technology Malaysia. Member of American Society of Civil Engineers.

Dr Jane, Jian Li HAO, received her BSc in Civil Engineering in China (1988) and PhD from the Hong Kong Polytechnic University (2002). Assistant Professor at the Dept of Building and Real Estate of the Hong Kong Polytechnic University. Her research interests include construction and demolition waste management, construction joint ventures, sustainability issues in construction process, and simulation application in construction.

Dr Vivian Wing-Yan TAM. Lecturer in the Griffith School of Engineering at the Griffith University (Australia). She maintained her PhD on sustainable construction at the Dept of Building and Construction in the City University of Hong Kong (2005). Her research interests are in the areas of environmental management in construction and sustainable development.

Hong YAO. PhD student at the Dept of Building and Real Estate, the Hong Kong Polytechnic University. YAO obtained her BEng in Industrial Engineering and Management and MEng in Management Engineering in P. R. China. She worked for China's local government and was a visiting scholar at the Schulich School of Business, York University, Canada. Her research interests are areas of sustainable construction and sustainability performance evaluation of construction projects.

Table 1. Framework of project sustainability performance
factors

 Project sustainability
Project stages performance factors

 ESF SSF EnSF

I (Inception) ESF-I SSF-I EnSF-I
II (Design) ESF-II SSF-II EnSF-II
III (Construction) ESF-III SSF-III EnSF-III
IV (Operation) ESF-IV SSF-IV EnSF-IV
V (Demolition) ESF-V SSF-V EnSF-V

Table 2. Project sustainability performance checklist across project
life cycle

ESF-I

Supply and demand Evaluating local, regional, national,
 and even global market supply and demand
 of current similar products/projects and
 in the future

Marketing forecast Predicting market size, pricing,
 marketing strategies, and marketing
 targets

Scale and business scope Project scale and the business scope
 during project operation are essential
 attributes to the project profitability

Effects on local economy A project should serve both the local
 economy and take advantage of the
 infrastructure in the local economy to
 generate economic benefits

Life cycle cost analysis Analysis should not be given to
 elementary but total cost for building-
 up, operating, maintaining, and
 disposing a construction project over
 its life

Life cycle profit analysis Analysis should not be focused on stage
 or sectional profits but the total
 profit from operating a construction
 project across its life cycle

Capital budget Capital budget should be defined to
 planning and controlling project total
 cost

Finance plan Defining and planning project finance
 schedule, for example, when, how, and
 how much to finance

Investment plan Arrangement of fixed and liquid capital
 for investment, and a cash flow plan at
 project inception stage

SSF-I

Land use Considering that the land selection for
 project site should protect cropland and
 natural resources

Conservation of cultural Avoiding negative impacts from project
and natural heritage development on any cultural heritage

Employment Project implementation should be able to
 provide local employment opportunities

Infrastructure capacity- The project improves local
building infrastructure capacity, such as
 drainage, sewage, power, road, and
 communication, transportation, dining,
 recreation, shopping, education,
 financing, and medical

Community amenities Provision of community amenities for the
 harmonization of new settlements and
 local communities

Safety assessment Assessment should be conducted to
 identify any future safety risks to the
 public and project users

EnSF-I

Eco-environmental Avoiding as much as possible the
sensitivity irretrievable impacts on the
 surroundings from implementing a project

Ecological assessment Examining potential ecological risks and
 benefits associated with the proposed
 project

Air assessment Examining potential air pollution from
 the proposed project and its impact on
 the local climate

Water assessment Examining potential water pollution from
 the proposed project, including both
 surface and ground water, and project's
 consumption on water resources

Noise assessment Examining potential noise pollution
 during both project construction and
 operation stages

Waste assessment Examining waste generation at both
 project construction and operation
 stages

Project design stage

ESF-II

Consideration of life cycle Consider the total cost involved in
cost project life cycle, including site
 formation, construction, operation,
 maintenance cost and demolition cost

Project layout Consideration being given to standard
 dimension in design specifications

Materials choice Consideration being given to economy,
 durability and availability for material
 selection

SSF-II

Safety design Considerations are given in designing
 process for emergencies such as fire,
 earthquake, flood, radiation, and
 eco-environmental accidents

Security consideration Installation of security alarm and
 security screen

EnSF-II

Designer Knowledgeable of energy savings and
 environmental issues

Life cycle design Effective communications among
 designers, clients, environmental
 professionals, and relevant governmental
 staff to ensure all environmental
 requirements are incorporated into the
 design process

Environmentally conscious Incorporation of all environmental
design considerations into project design for
 construction, operation, demolition,
 recycling, and disposal

Modular and standardised Use of modular and standardised
design components to enhance buildability and
 to reduce waste generation

Project construction stage

ESF-III

Loan interests Consideration given to the interests for
 the capital cost paid for both a fixed
 loan and liquid capital

Opportunity cost Fixed and liquid capital tied up to
 project will loose opportunities of
 investing in other projects

Labour cost Salaries paid to human resources, such
 as general construction workers,
 plumbers, pipe-liners, carpenters,
 stonemasons, and bricklayers

Professional fees Fees paid to various professionals and
 consultants such as engineers,
 environmental, ecological, geological,
 and legal experts

Materials cost Costs for all types of materials such as
 concrete, lime, steel, timber, bamboo,
 and brick

Energy cost Costs for consuming various types of
 energy such as electricity, oil, gas,
 and coal

Water cost Costs for using water resources and for
 dealing with surface water, and ground
 water

Equipment cost Costs for using various tools, vehicles,
 and tower cranes

Equipment purchase cost Costs for purchasing various equipment
 such as plants, elevators, escalators,
 and HVAC systems

Installation cost Costs for the installation of all kinds
 of equipment and facilities

Site security Various types of measures for protecting
 the site safety

SSF-III

Direct employment Provisions of working opportunities from
 implementing the project to the local
 labour market, including construction
 workers, professionals, and engineers

Indirect employment Employment generated by the up-and-down
 stream industries and services to
 construction

Construction safety Safety measures, facilities, and
 insurance for working staff

Public safety Provision of warning boards and signal
 systems, safety measures and facilities
 for the public

Improvement of Provisions of better drainage, sewage,
infrastructure road, message, heating, and electrical
 systems

Infrastructure burden Demand for water, road, energy, services
 and space for implementing the project

EnSF-III

Land use pollution Utilising land effectively and the
 measures taken to avoiding land
 pollution

Natural habitat destruction Protection of living environment for
 both human being and animals

Air emission and pollution Generation of C[O.sub.2], CO,
 S[O.sub.2], N[O.sub.2], and NO

Noise pollution Noise and vibration induced from project
 operation

Discharges and water Release of chemical waste and organic
pollution pollutants to water ways

Waste generation Waste produced from project operation

Comfort disturbance Effects on people's living environment
 and the balance on eco-systems

Energy and resource Saving energy and resources consumption
consumption including electrical, water and
 resources

Health and safety risks Ensure on-site health and safety by
 reducing the number of accidents,
 providing on-site supervision, and
 providing training programs to employees

Using renewable materials Using typical renewable materials such
 as bamboo, cork, fast-growing poplar,
 and wheat straw cabinetry, which are
 reproducible

Ozone protection Reducing the release of
 chlorofluorocarbons and hydro-
 chlorofluorocarbons thus protecting the
 onzone layer

Off-site fabrication Reducing on-site waste by using off-site
 fabrication

Material reuse Reuse of building components, rubble,
 earth, concrete, steel and timber

Structural operations Consideration being given to the
 reduction of earthwork and excavation,
 formwork, reinforcement, concreting and
 waste treatment during structural
 operation

External and internal Controlling environmental impacts from
operations walling, roofing, insulation, component
 installation, plumbing and drainage,
 painting, landscaping, and waste
 treatment

Health and safety Emphasising on site hygiene, and the
 provision of health care and safety

Project organisation Environmental management task force,
 resource coordination, supervision and
 cooperation culture

Environmental management Resource inputs for implementing
resources environmental management, including
 labour, plant, materials and finance

Organisational policy Establishment of environment management
 system, application of environmental
 management standards such as ISO 14000,
 project manuals, programs, progress
 control reports

Communication of Managing project environmental
environmental management information through information
information management expertise and information
 management facilities

Environmental management Environmental experts, environmental
technology management facilities, energy and
 resource saving technology, pollution
 reduction technology, and waste
 reduction technology

Environmental regulations Environmental protection law and
 regulations on construction activities

Project operation stage

ESF-IV

Distribution of project Reinvestment, dividends, and paybacks
income

Balance sheet from project Develop a balance sheet to continuously
operation check with the project cost and time

Labour cost Salaries for managerial staff, workers,
 professionals, and engineers

General expenses Daily water, electricity, gas, and
 consumables

Materials cost Various materials for project operation
 and maintenance

Logistics costs Materials procurement, stock costs, and
 transportation

Marketing costs Resource investment for market analysis,
 advertising, and promotion

Training costs Training employees for improving the
 quality of human resources

Improvement of local Consideration being given to benefit
economic environment economically to the local society

SSF-IV

Direct employment in Costs for employing workers, managers,
project operation and professionals

Indirect employment Employment associated with project
 operation along up-and-down stream
 industries

Provision of services Benefits of improving living standard to
 local communities

Provision of facilities Provision of spaces and facilities
 beneficial to the development of local
 communities

EnSF-IV

Land contamination Release of chemical wastes through
 dumping and landfills

Air pollution Generation of various chemicals such as
 C[O.sub.2], CO, S[O.sub.2], N[O.sub.2],
 and NO

Water pollution Release of chemical wastes and organic
 pollutants to water ways

Noise pollution Noise and vibration induced from project
 operation

Waste generation Wastes produced from project operations

Ecological impacts Negative impacts from project operations
 to flora, fauna, and ecosystems

Various energy consumption Energy consumption on electrical,
 lighting and other energy appliances

Water consumption Water usage for production of hygiene,
 cooling, and heating

Raw material consumption Use of both renewable and non-renewable
 raw materials

Environmental consciousness Providing various education and training
training among employees programs to different levels of
 employees

Environment friendly Improving productivity, reducing the
operation of facilities generation of pollution, and reducing
 resource consumption

Project demolition stage

ESF-V

Labour cost Human resources provided for planning,
 managing and operating project
 demolition

Energy consumed for Crushing, transporting and relocating
operating demolition

Waste disposal costs Costs for waste loading and unloading,
 transportation, charges for disposals

Compensation to project Compensating to affected parties during
stakeholders demolition process

Dissolution or deployment Provision of pensions, unemployment
of project staff compensation

Compensation to the Compensation made for the damaged
polluted environment environment to the local residents,
 land, water, and ecosystems

Land value for The value of the land after demolition
redevelopment for re-development

Residual value Valuable residues, such as steel, brick,
 timber, glass, equipment for reuse and
 recycle

SSF-V

Land for new development Provision of land upon the completion of
 project demolition to enable
 implementing new projects according to
 the demands of local community

Job opportunity Provision of jobs during project
 demolition for site work, transportation
 and disposal

Operational safety Presence of safety risks to labors and
 the public during project demolition
 from explosion, dismantling, toxic
 materials, and radioactive materials

Communication to the public Promotion on the public awareness of the
 project demolition and the possible
 impacts to the public

EnSF-V

Demolition plan Adequate demolition plan on hazard
 materials and waste reduction or recycle

Demolition control Supervision and control on the
 demolition activities to protect the
 environment

Environment-friendly Adoption of technologies to alleviate
demolition method the disturbance on eco-environment
 systems and neighbourhood, and to
 maximise waste reusing and recycling

Communication of Knowledge about environmental policies,
environmental information regulations, legislations, and
and policy environmental techniques

Waste classification Classification of demolition wastes for
 enabling effective treatment and
 disposal

Special waste treatment Special treatment given to toxic
 materials, heavy metals, radioactive
 chemicals released from demolition

Waste recycling and reuse Recycling and reclaiming of useful
 materials such as steel, brick, glass,
 timber, and some equipment