Elias Bjarnason MSC PDF
Elias Bjarnason MSC PDF
Elias Bjarnason MSC PDF
June 2015
Critical Success Factors for Planning, Scheduling and Control
in Design and Construction
Elías Bjarnason
June 2015
Supervisors:
Kai Haakon Kristensen, Ph.D
Project Manager at Faveo Prosjektledelse AS
Examiner:
Halldór Ó. Zoёga, MPA
Specialist, Icelandic Transport Authority
Abstract
Background: This study is within the field of construction management where the critical success
factors for planning, scheduling and control are analyzed for two different management methods,
namely Lean Construction Planning Systems and Traditional Construction Management Planning
Methods.
Studies have shown that more than 50% of time wasted during construction is attributable to poor
management practices. This thesis therefore focuses on the success perspectives of the planners, the
objectives (success criteria) of planning, scheduling and control, and the factors that influence the
success or failure of planning, scheduling and control. Also, this study aims to identify the strengths,
weaknesses, opportunities and threats of the planning methods mentioned above, in regard to
successful planning, scheduling and control.
Methods: This is an exploratory study which applies an inductive approach with the use of qualitative
case studies, by collecting and analyzing textual data through document analysis, interviews and
observations. SWOT analysis was used to evaluate the methods. Statsbygg provided the following two
construction projects for this study, both which are being implemented for different educational
institutions in Norway. Case 1: A project which applied a traditional approach to design and
construction. Case 2: A project which applied a Lean approach to design and construction.
Principle results: The client had an operational, tactical and strategic success perspective whereas the
contractor and the design team mainly had an operational success perspective. The objectives (criteria)
by which planning and scheduling success can be judged are: Understand the Goals, Reduce
Uncertainty, Apply Realistic Estimates, Improve efficiency, Establish Basis for Control. The factors
which influenced planning and scheduling success were: Commitment to Planning, Human factor
(planning, organizing, coordination and motivating skills), Motivation, Tendering Method, Feedback
Capabilities and Project Related Factors. The objectives (criteria) by which control success can be
judged are: Determine Project Status, Evaluate Performance, Manage Actual Changes. The factors
which influenced planning and scheduling success were: Commitment to planning, Human factor
(planning and cooperation skills), Control of subcontractors’ works, Tendering method. The Lean
approach showed better results than the Traditional approach in the SWOT analysis.
Conclusions: A critical factor for successful planning, scheduling and control is commitment to
planning. The study findings showed that the Lean approach achieve more successful planning and
control than the traditional approach. This study by itself can however not conclude the ultimate
capabilities of these methods since it only examined two projects.
Keywords: Critical success factors, Planning, Scheduling, Control, Lean Construction, Traditional
Construction.
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Ágrip
Titill á íslensku: Afgerandi velgengnisþættir í skipulagningu, áætlanagerð og stjórnun við hönnun og
framkvæmd.
Rannsóknir hafa sýnt að meira en 50% af þeim tíma sem er sóað í byggingarframkvæmdum má rekja
til lélegra stjórnunarhátta. Þessi ritgerð einblínir á velgengnisjónarmið skipuleggjenda, markmið
(velgengins viðmið) í skipulagningu, áætlanagerð og stjórnun, en skoðar einnig þá þætti sem hafa áhrif
á velgengni eða mistök í skipulaginu, áætlanagerð og stjórnun. Markmið rannsóknarinnar er einnig að
bera kennsl á styrkleika, veikleika, ógnanir og tækifæri í stjórnunaraðferðunum, sem nefndar hafa
verið, með tilliti til velgengni í skipulagningu, áætlanagerð og stjórnun.
Aðferðir: Þetta er athugunarrannsókn sem notast við tilleiðslu (inductive resoning) í eigindalegri
tilviksrannsókn (case study) þar sem gögnum var safnað saman með viðtölum, vettvangsathugunum
og skjölum sem tengdust rannsókninni. Þessi gögn voru síðan borin saman og notuð var SVÓT
greining til að leggja mat á fyrrnefndar stjórnunaraðferðir. Statsbygg sá um að útvega eftirfarandi
framkvæmdarverkefni fyrir rannsóknina en þessi verkefni tengjast mismunandi menntastofnunum í
Noregi. Annars vegar verkefni þar sem notast er við hefðbundnar aðferðir við hönnun og
framkvæmdir og hins vegar verkefni þar sem notast er við Lean straumlínustjórnun við hönnun og
framkvæmdir.
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DEDICATION
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Acknowledgements
This project was provided and funded by Statsbygg, the Norwegian government‟s key adviser in
construction and property affairs, building commissioner, property manager and property developer.
I would like to thank Statsbygg for giving me the opportunity to conduct my research at their project
sites. The staff at Statsbygg´s headquarters, Gry Ahlsand and Thomas Roel Moen, thank you for
getting me in contact with my supervisor and for funding my trips to the project sites. Thank you for
granting me access to your personnel, meetings and documents.
The staff at the two different project sites, thank you for your warm welcome and your participation in
this research. Thank you for making time in your busy schedules to discuss your work with me and the
trust you have showed me. I would especially like to thank the project managers, Bikramjit Singh and
Kristin Juul.
My supervisor provided by Statsbygg, Ph.D Kai Haakon Kristensen, thank you for your guidance,
wisdom and patience throughout this process. I would also like to thank my supervisor and teacher
Þórður Víkingur Friðgeirsson for your counseling and advice.
Thank you to my friends and family in Norway who gave me a place to stay while I was conducting
my research. Also I would like to thank Birkir Bjarnason, Bjarni Gíslason, Gríma Katrín Ólafsdóttir,
and Hildur Björg Gunnarsdóttir for refining and proofreading parts of the thesis. To all my family and
friends, thank you for your support and understanding.
I am very grateful for my learning opportunities at Reykjavik University. Thank you to my fellow
students for your wisdom and friendship throughout these last years.
Finally, I would like to thank my lovely wife, Hildur Björg Gunnarsdóttir, for her endless support and
motivation during my studies at the University.
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Table of Contents
1 Introduction .......................................................................................................................................... 1
1.1 Background ................................................................................................................................... 1
1.2 Aims and Objectives of the Research ............................................................................................ 2
1.3 Research Questions ....................................................................................................................... 2
1.4 Restrictions .................................................................................................................................... 3
1.5 Research approach ......................................................................................................................... 4
1.6 Thesis outline ................................................................................................................................ 5
2 Theoretical framework ......................................................................................................................... 6
2.1 Introduction ................................................................................................................................... 6
2.1.1 Project..................................................................................................................................... 6
2.1.2 Construction Project ............................................................................................................... 7
2.1.3 Project Management ............................................................................................................... 8
2.1.4 Construction Management...................................................................................................... 9
2.2 Planning, Scheduling and Control ............................................................................................... 15
2.2.1 Planning ................................................................................................................................ 15
2.2.2 Scheduling ............................................................................................................................ 18
2.2.3 Control .................................................................................................................................. 23
2.3 Critical Success Factors............................................................................................................... 27
2.3.1 Defining Success .................................................................................................................. 27
2.3.2 The Evolving Understanding of Project Success ................................................................. 27
2.3.3 Success Perspectives ............................................................................................................ 28
2.3.4 Criteria and Factors that Determine and Influence Project Success or Failure .................... 30
2.3.5 Defining CSFs ...................................................................................................................... 32
2.3.6 CSFs in Project and Construction Management ................................................................... 32
2.3.7 CSFs: Research Framework ................................................................................................. 34
2.4 Traditional Construction Management Methods ......................................................................... 35
2.4.1 Traditional Production Philosophy ....................................................................................... 35
2.4.2 Traditional Construction Management Planning Methods ................................................... 36
2.5 Lean Construction Planning Systems .......................................................................................... 39
2.5.1 The New Production Philosophy .......................................................................................... 39
2.5.2 Lean Construction Planning Systems ................................................................................... 40
2.6 Comparison of the Methods ........................................................................................................ 46
2.6.1 Comparing the Production Philosophies .............................................................................. 46
2.6.2 Comparing the Delivery Systems ......................................................................................... 47
3 Research Methodology ....................................................................................................................... 48
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3.1 Introduction ................................................................................................................................. 48
3.2 Research Approach...................................................................................................................... 49
3.3 Research Philosophy ................................................................................................................... 49
3.4 Research Design .......................................................................................................................... 50
3.4.1 Case Study Designs .............................................................................................................. 51
3.5 Research Method ......................................................................................................................... 52
3.5.1 Data Collection ..................................................................................................................... 52
3.5.2 Data Analysis ....................................................................................................................... 53
3.5.3 Reliability and Validity ........................................................................................................ 55
3.6 Literature Review ........................................................................................................................ 56
4 Case Study .......................................................................................................................................... 57
4.1 Case Study Protocol .................................................................................................................... 57
4.1.1 Field Procedures ................................................................................................................... 57
4.1.2 Case Study Questions ........................................................................................................... 58
4.2 Statsbygg ..................................................................................................................................... 59
4.3 Case 1: Sør-Trøndelag University College.................................................................................. 60
4.3.1 Background .......................................................................................................................... 60
4.3.2 Contract - Design & Build.................................................................................................... 60
4.3.3 Organizational Chart ............................................................................................................ 61
4.3.4 Data Collection ..................................................................................................................... 62
4.4 Case 2: Norwegian University of Life Sciences.......................................................................... 65
4.4.1 Background .......................................................................................................................... 65
4.4.2 Contract - Prime Contracting................................................................................................ 65
4.4.3 Organizational Chart ............................................................................................................ 66
4.4.4 Data Collection ..................................................................................................................... 67
5 Results and Discussion ....................................................................................................................... 70
5.1 Success Perspectives ................................................................................................................... 70
5.1.1 Case 1: Sør-Trøndelag University College ........................................................................... 70
5.1.2 Case 2: Norwegian University of Life Sciences ................................................................... 72
5.2 Objective Achievement and Success Factors .............................................................................. 75
5.2.1 Case 1: Sør-Trøndelag University College ........................................................................... 76
5.2.2 Case 2: Norwegian University of Life Sciences ................................................................... 86
5.3 Comparing the Methods .................................................................................................................. 95
5.3.1 SWOT Analysis .................................................................................................................... 95
5.3.2 Lessons Learned ................................................................................................................... 97
6 Conclusions ........................................................................................................................................ 99
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6.1 Main Findings.............................................................................................................................. 99
6.1.1 Main Findings: Research Question 1 ................................................................................... 99
6.1.2 Main Findings: Research Question 2 ................................................................................. 100
6.2 Further Research........................................................................................................................ 100
7 References ........................................................................................................................................ 101
8 Appendixes ....................................................................................................................................... 106
8.1. Appendix A .............................................................................................................................. 106
8.2 Appendix B................................................................................................................................ 109
8.3 Appendix C................................................................................................................................ 110
8.4 Appendix D ............................................................................................................................... 111
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List of Figures
Figure 1 - Research methodology............................................................................................................ 4
Figure 2 - Project management................................................................................................................ 8
Figure 3 - Project stakeholders .............................................................................................................. 10
Figure 4 - The management processes .................................................................................................. 12
Figure 5 - Overlapping design and construction phases ........................................................................ 13
Figure 6 - Planning process group. ........................................................................................................ 16
Figure 7 - Scheduling overview. ........................................................................................................... 20
Figure 8 - Monitoring & Controlling Process Group. ........................................................................... 24
Figure 9 - Control Schedule Overview. ................................................................................................. 25
Figure 10 - Operational, tactical and strategic success perspective ...................................................... 29
Figure 11 - Factors, criteria and project success. .................................................................................. 31
Figure 12 - Critical factors at each project phase .................................................................................. 33
Figure 13 - CSFs for construction management .................................................................................... 34
Figure 14 - The traditional understanding of production ...................................................................... 35
Figure 15 - A Traditional (push) Planning System................................................................................ 37
Figure 16 - Production as a flow process .............................................................................................. 39
Figure 17 - Lean Project Delivery System ............................................................................................ 42
Figure 18 - The Last Planner System .................................................................................................... 43
Figure 19 - Last Planner System of Production Control. ...................................................................... 44
Figure 20 - Creswell‟s framework for research ..................................................................................... 48
Figure 21 - Statsbygg‟s project phases .................................................................................................. 59
Figure 22 - Sør-Trøndelag University College ...................................................................................... 60
Figure 23 - Organizational Chart - Case 1............................................................................................. 61
Figure 24 - STUC‟s building also called Urbygningen ......................................................................... 65
Figure 25 - Organizational Chart - Case 2............................................................................................. 66
Figure 26 - Successful Planning: Criteria and factors. .......................................................................... 99
Figure 27 - Successful Control: Criteria and factors. .......................................................................... 100
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List of Tables
Table 1 - Thesis outline ........................................................................................................................... 5
Table 2 - Project definition ...................................................................................................................... 6
Table 3 - Construction participants ....................................................................................................... 10
Table 4 - Conversion, flow and value generation concepts of design and construction........................ 11
Table 5 - Defining planning. ................................................................................................................. 15
Table 6 - Defining scheduling. .............................................................................................................. 18
Table 7 - Scheduling compression. ....................................................................................................... 22
Table 8 - Definition of control. ............................................................................................................. 23
Table 9 - Definition of success. ............................................................................................................. 27
Table 10 - The traditional and the new production philosophy. ............................................................ 46
Table 11 - Traditional versus Lean project delivery.............................................................................. 47
Table 12 - Research philosophies .......................................................................................................... 49
Table 13 - Research designs .................................................................................................................. 50
Table 14 - Research methods ................................................................................................................ 52
Table 15 - Case study tests and tactics .................................................................................................. 55
Table 16 - Case study questions ............................................................................................................ 58
Table 17 - Interview overview, Sør-Trøndelag University College. ..................................................... 62
Table 18 - Observations at Sør-Trøndelag University College ............................................................. 63
Table 19 - Documents, Sør-Trøndelag University College. .................................................................. 64
Table 20 - Interview overview, Norwegian University of Life Sciences. ............................................. 67
Table 21 - Observations at the Norwegian University of Life Sciences ............................................... 68
Table 22 - Documents, the Norwegian University of Life Sciences. .................................................... 69
Table 23 - Success perspectives: Case 1 ............................................................................................... 72
Table 24 - Success perspectives: Case 2 ............................................................................................... 74
Table 25 - Objectives for planning, scheduling and control.................................................................. 75
Table 26 - Factors Case 1: Understand the Goals ................................................................................. 77
Table 27 - Factors Case 1: Reduce Uncertainty .................................................................................... 78
Table 28 - Factors Case 1: Apply Realistic Estimates........................................................................... 79
Table 29 - Factors Case 1: Improve Efficiency. .................................................................................... 80
Table 30 - Factors Case 1: Establish Basis for Control. ........................................................................ 81
Table 31 - Factors Case 1: Determine Project Status. ........................................................................... 82
Table 32 - Factors Case 1: Evaluate Performance................................................................................. 83
Table 33 - Factors Case 1: Manage Actual Changes. ............................................................................ 84
Table 34 - Results Case 1: Objective Achievement and Influencing Factors. ...................................... 85
Table 35 - Factors Case 2: Understand the Goals ................................................................................. 87
Table 36 - Factors Case 2: Reduce Uncertainty .................................................................................... 88
Table 37 - Factors Case 2: Apply Realistic Estimates........................................................................... 89
Table 38 - Factors Case 2: Improve Efficiency. .................................................................................... 90
Table 39 - Factors Case 2: Establish Basis for Control. ........................................................................ 91
Table 40 - Factors Case 2: Determine Project Status. ........................................................................... 92
Table 41 - Factors Case 2: Evaluate Performance................................................................................. 93
Table 42 - Factors Case 2: Manage Actual Changes. ............................................................................ 94
Table 43 - Results Case 2: Objective Achievement and Influencing Factors. ...................................... 94
Table 44 - SWOT analysis: comparing the methods ............................................................................. 96
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List of Abbreviations
ARC Architect
BIM Building Information Modeling
CL Client
CON Contractor
CRE Client Representative
CSF Critical Success Factor
DM Design manager
DT Design Team
DTC Design Team Coordinator
ELE Electrical Engineer
HSE Health Safety and Environment
HVE Heating and Ventilation Engineer
JIT Just in Time
KPI Key performance Indicator
NULS Norwegian University of Life Sciences
PM Project Manager
PMA Project Manager Assistant
PPC Percent Plan Complete
PPM Production Progress Manager
STE Structural Engineer
STUC Sør-Trøndelag University College
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1 Introduction
In this chapter the research topic is presented and a foundation set for the study. The aims and
objectives are introduced as well as the research questions. The restrictions of the research are
explained and the structure of the thesis outlined.
1.1 Background
This study is within the field of construction management where the critical success factors for
planning, scheduling and control are analyzed for two different management methods, namely Lean
Construction Planning Systems and Traditional Construction Management Planning Methods.
Studies have shown that more than 50% of time wasted during construction is attributable to poor
management practices (Koskela, 2000). Well known waste such as overproduction, waiting, inventory,
movement, effort, rework and processing (Suzaki, 1987) occur on a daily basis within design and
construction projects, mainly due to bad control and unfavorable design (Koskela, 2000).
This caught the attention of the investigator and made him curios to know what factors are critical for
success in regard to planning, scheduling and control.
Also, a new approach to design and construction management with the aim of reducing waste and
managing flows caught the attention of the researcher, an approach often referred to as Lean
Construction (Alarcón, 1997).
The investigator was curious to know whether there is visible difference in regard to successful
planning, scheduling and control between construction projects managed by this new approach and
projects managed by the traditional approach to construction management.
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1.2 Aims and Objectives of the Research
In this section the aims and objectives of the thesis are defined. The aims are concerned with purpose
whereas the objectives are concerned with achievement. The research questions are then formed based
on these aims and objectives.
The aim of this thesis is to provide a better understanding of the critical factors that influence the
success or failure of planning, scheduling and control for design and construction projects.
Another aim is to provide a better understanding of the management methods used in design and
construction projects, regarding their capabilities to meet the success criteria for planning, scheduling
and control. The two methods examined in this study are Lean construction planning systems and
traditional project management planning methods.
The objective of this research is to identify the critical factors that influence the success or failure of
planning, scheduling and control for design and construction projects.
Another objective is to assess the methods used in design and construction projects, regarding their
capabilities to fulfill the success criteria for planning, scheduling and control. As previously stated, the
two methods examined in this study are Lean construction planning systems and traditional project
management planning methods.
(1) How are the critical success factors for planning, scheduling and control defined, in the design
and construction phase of construction projects?
a) What success perspective do the client, contractor and design team have?
b) Do the projects achieve the objectives (criteria) for planning, scheduling and control?
c) What factors influence the achievement of the objectives (criteria) for planning, scheduling
and control?
(2) How capable are the management methods listed below to achieve the objectives for planning,
scheduling and control:
The first research question, including the sub questions a, b, and c, is formed specifically to examine
the projects in regard to the CSFs by examining the key personnel‟s success perspectives, the
achievement of the objectives, and by identifying the factors that influence the achievement of the
objectives for planning, scheduling and control. The second question, on the other hand, is formed to
assess the planning methods, the Lean approach vs. the traditional approach. This is done by applying
the findings from question 1 to highlight the methods strengths, weaknesses, opportunities and threats
in regard to planning, scheduling and control.
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1.4 Restrictions
According to Yin the definition of the research questions is probably the most important step to be
taken in a research study (Yin, 2009). This proved to be very true. In the midst of this study, after
collecting the data for the research and doing an extensive literature review, it became evident that the
original research questions were too broadly defined.
The original research questions implied that the intention was to identify “all” the CSFs for planning,
scheduling and control for design and construction projects. However, that was neither possible nor
the intention of the investigator. Due to how broadly the questions were defined it also proved difficult
to answer them in a structured way without gaining access to more research data by studying more
projects, over a longer time period.
Instead of asking “what are the CSFs”, as the original research question did, the researcher chose to
ask “how are the CSFs defined”. This adjustment gave the study a much clearer structure right away.
The literature review on CSFs revealed that one must first understand the terms success, success
perspective, criteria, and factors before one can define a critical success factor for a given subject.
Lim‟s and Mohamed‟s report, Criteria of project success: an exploratory re-examination, explains
that some project management literature has failed to distinguish between the terms criteria and factors
in regard to project success and CSFs. This caught the researcher attention. In fact, their report
inspired the investigator to study the success perspectives, success criteria and success factors for
planning, scheduling and control in real-life design and construction projects, with the aim of defining
some of the CSFs in that field. Due to time restrictions and limited resources, this study was only able
to examine the planning, scheduling and control process for a short time period within two
construction projects, during their design and construction phase, wherein the design and construction
was done in parallel at both sites. One of these projects applied Lean construction planning systems
whereas the other used more traditional construction management planning methods.
The original plan was to also examine the similarities and differences between the CSFs for the
different planning methods. The problem with that presentation is that it implies that the CSFs for
Lean projects are different from those in the traditional projects. Instead of making such assumptions,
the researcher chose to examine how capable the methods are to achieve the objectives of planning,
scheduling and control, as well as their ability to deal with the influencing factors which contribute to
the achievement of those objectives. This was done by examining the planning, scheduling and control
process at each construction project. A SWOT analysis was applied to analyze and compare the
methods together.
In this context it should also be noted that the original plan was to study four of Statsbygg‟s
construction projects, two projects applying Lean and two using more traditional methods. Due to
various reasons the researcher was only handed out two projects, one that applies Lean and one that
uses more traditional methods. Obviously, gaining access to two more projects would have increased
the internal and external validity of the research.
The main focus area for this study in regard to planning, scheduling and control is the Project Time
Management, one of eight sub process of the Planning Process Group as defined by the Project
Management Institute (see section 2.2.1.2). The processes within Project Time Management seek to
ensure the timely completion of the project. This includes defining activities, sequencing activities,
estimating activity resources, estimating activity durations, developing the schedules and controlling
the schedules. The most relevant processes within the Project Time Management for this study are
develop schedule and control schedule (Project Management Institute, Inc., 2013).
3
1.5 Research approach
After careful consideration case study was assessed as the most fitting design for this research. This
was, among other things, based on the case study‟s unique strength to deal with a variety of evidence,
namely: documents, artifacts, interviews, observations, and more (Yin, 2009). The researcher, having
only studied engineering at the University and therefore more familiar with a deductive and
quantitative approach to research, had to use extensive time to get familiar with case studies, which are
commonly applied in the social sciences. Fortunately, there are experts such as Yin in the field of case
studies who guided the investigator through the research process.
The following picture shows the chosen research methodology for this research based on Creswell‟s
research framework. To summarize, the research will use an inductive approach with the use of
qualitative case study, by collecting and analyzing textual data through document analysis, interviews
and observations. This is an exploratory study.
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1.6 Thesis outline
The thesis is structured around the research questions and divided to 8 chapters. Each chapter starts
with a short description. Table 1 gives a short description of the contents of each chapter.
Chapter Description
Chapter 1 Outlines the topic of the thesis and defines the aims and objectives of the
Introduction research. The research questions are presented and the chapter ends with an
overview of the thesis.
Chapter 2 Gives a brief overview of the literature related to the content of this thesis. The
Theoretical main topics of the chapter are planning, scheduling and control in regards to
framework construction management, critical success factors in project and construction
management as well as introducing and comparing traditional construction
management methods and Lean construction planning systems.
Chapter 3 Explains step by step how the research methodology was formed for this thesis.
Research The research approach is addressed as well as the research design and methods.
methodology
Chapter 4 The case studies used in this research are outlined in this chapter. Case 1 is the
Case study Sør-Trøndelag University College project and case 2 is the Norwegian University
of Life Sciences project. This section also describes what data was collected.
Chapter 5 Reports the main results of the study as well as analyzing and discussing the main
Results and findings. As the discussion is interlinked with the results it was decided to merge
discussion them into one chapter for clarity.
Chapter 6 The main findings of the thesis are outlined in this chapter. It also contains
Conclusion suggestions for further research.
Chapter 7 Literature used in this thesis is outlined in this chapter.
References
Chapter 8 Additional documents such as the interview guide and organizational charts.
Appendixes
Table 1 - Thesis outline
5
2 Theoretical framework
The purpose of this chapter is to guide the reader towards the main research topics and to form a
sound foundation for the study. The theoretical framework is organized to address the following
issues:
2.1 Introduction
This section presents some ideas regarding what defines a project, how a construction project is
defined, what project management is and what aspects of construction management are fundamental
for planning, scheduling and control.
2.1.1 Project
A project can be defined in many ways. Table 2 shows a variety of definitions to give a more complete
picture of what a project is.
Every project creates a unique product, service, or result (Project Management Institute, Inc., 2013).
Projects can thus be classified into types and typologies. The three primary types are: Business
projects, Development projects and Change projects. The four typologies are: size,
institutional/industry context, organizational condition, and task features (Morris, Pinto, & Söderlund,
2010).
The theoretical lifecycle phases of a project can be defined as: Conceptual, Planning, Testing,
Implementation, and Closure (Kerzner, 2013).
1
Project Management Institute, Inc.
6
2.1.2 Construction Project
Construction is one among many types of project-based production systems (Ballard & Howell, 2003).
According to Chitkara‟s definition, construction project refers to a high-value, time bound and special
construction mission with predetermined performance objectives. He further explains that the project
mission is accomplished within complex project environments, by putting together human and non-
human resources into a temporary organization, headed by a project manager.
The major construction projects can be grouped into Building Construction, Infrastructure
Construction, Industrial Construction and Special-purpose projects. Due to the limited scope of this
research, only Building Construction will be further addressed.
Building construction constitute the largest segment of the construction business. Building works
include residential and commercial complexes, educational and recreational facilities, hospitals and
hotels, warehouses and marketing facilities. The building business serves mankind by providing
shelter and services for its habitation, educational, recreational, social and commercial needs. The
Building works are mostly designed by the Architect/Engineering firms, and are financed by public
and private sector and individuals. (Chitkara, 1998).
The formulation phase includes the conception of the project idea, feasibility studies,
investment appraisal and project definition.
The mobilization phase covers the preparation of the project preliminary plan, designs and
drawings, contracts, resources mobilization and earmarking funds.
The construction phase includes planning and controlling execution, inducting resources,
construction and commissioning, and finally, handing over to the client (Chitkara, 1998).
7
2.1.3 Project Management
The Project Management Institute describes project management as: “the application of knowledge,
skills, tools, and techniques to project activities to meet the project requirements” (Project
Management Institute, Inc., 2013).
Wysocki describes project management as: “an organized common-sense approach that utilizes the
appropriate client involvement in order to deliver client requirements that meet expected incremental
business value” (Wysocki, 2011).
Kerzner states that project management is designed to manage or control resources on a given activity,
within time, cost, and performance. He further explains that time, cost, and performance are the
constraints on the project. If the project is to be accomplished for an outside customer, then the project
has a fourth constraint: good customer relations. The figure below is Kerzner‟s pictorial representation
of project management.
8
Project management is not a one-person operation; it requires a group of individuals dedicated to the
achievement of a specific goal. Project management includes: A project manager, an assistant project
manager, a project (home) office and a project team (Kerzner, 2013).
Project Management: The basic principles of planning, scheduling, and controlling work
Total Quality Management: The process of ensuring that the end result will meet the quality
expectations of the customer
Concurrent Engineering: The process of performing work in parallel rather than series in
order to compress the schedule without incurring serious risks
Scope Change Control: The process of controlling the configuration of the end result such that
value added is provided to the customer
Risk Management: The process of identifying, quantifying, and responding to the risks of the
project without any material impact on the project‟s objectives
Although the methodology is an important part of project management, one must bear in mind that
methodologies do not manage projects; people do. Kerzner explains that it is the corporate culture that
executes the methodology (Kerzner, 2013).
9
2.1.4.1 Construction Participants
The five main agencies actively associated with the execution of major works with in design and
construction projects are listed in the table below, based on Chitkara‟s description (Chitkara, 1998):
Kerzner defines stakeholders as individuals and/or organizations that are involved in or may be
affected by project activities. Internal stakeholders are those who are directly involved in a project
(those who are listed in the table above), whereas others, i.e. neighbors, are referred to as external
stakeholders (Kerzner, 2013). The figure below illustrates what stakeholders might be involved or
affected by project activities (Project Management Institute, Inc., 2013).
10
2.1.4.2 Production Processes in Design and Construction
Production processes can be conceived in the following three ways:
Ballard explains that these concepts are all appropriate and necessary. However, in the history of the
AEC (architectural/engineering/construction) industry the conversion model has been dominant. In
recent years some practitioners have with great success implemented projects by placing more
emphasis on the flow and value generation. This is further addressed in sections 2.4 and 2.5. The table
below shows a summary of all three views on design and construction based on Koskela‟s and
Ballard‟s descriptions (Ballard, 2000b), (Anumba et al., 2006).
Methods & Work breakdown Team approach, rapid Development and testing of
Practices structure, critical path reduction of uncertainty, ends against means to
method. Planning shielding, balancing, determine requirements.
concerned with timing decoupling. Planning Planning concerned with
start and responsibility for concerned with timing, work structure, process and
activities through quality and release of work. participation.
contracting or assigning. Tool integration.
Practical Taking care to do Taking care that the Taking care that customer
Contribution necessary things (what has unnecessary is done as little requirements are met in the
to be done). as possible. best possible manner.
Table 4 - Conversion, flow and value generation concepts of design and construction.
11
2.1.4.3 Design and Construction Processes
Koskela divides construction projects into two main processes, i.e. design process and construction
process. Based on his description these processes are defined as follows (Koskela, 1992):
(1) The design process is a theatrically knowledgeable clarification of specifications where needs and
wishes are transformed into requirements and later to detailed designs. Also, this is a process of
detecting and solving problems.
The material process which consists of the flows of material to the site, including
processing and assembling on site.
The work processes of construction teams. Koskela explains that the temporal and spatial
flows of construction teams on site are often closely associated with the material
processes.
Koskela explains that the following three processes control or support the main processes of design
and construction (Koskela, 1992):
The management process, which is the main focus area of this study, is illustrated in the figure below.
This process applies to both design and construction management. It consists of the following sub
processes: initiating, planning, executing, monitoring and controlling and closing.
12
In the projects that are examined in this study the design and construction phase overlap like the figure
below illustrates:
Figure 5 - Overlapping design and construction phases (Project Management Institute, Inc., 2013)
(1) First, one recognizes that goals are always involved. From a philosophical perspective one could
state that without a set of goals, there is no point in even taking actions. From a construction
company„s perspective it is obvious that the company must have profit as an overall goal, and
completing the work on time is essential part of meeting profit goals.
(2) Second, defining process as a set of continuing systematic actions over time. The management
must be executed in a systematic way, continually throughout the life of the project. Management also
means that rational decisions must be made in order to achieve the goals. The systematic method of
management is namely set up to deliver accurate, timely information to the decision makers, so they
can plan and control the project.
(3) Third, defining planning as deciding what tasks must be performed to accomplish the goals of the
project. This means establishing realistic schedules and budgets, coordinating resources and making
sure everyone knows what the plan of action is.
(4) Fourth, controlling is the final action in the management process. To achieve and maintain control,
the project manager must monitor the progress of the project.
13
2.1.4.5 The Major Project Management Tasks
These fundamental ides form a basis for the management practices within construction projects. The
following tasks, based on the concepts above, are defined by Pierce as the three major project
management tasks (Pierce Jr., 2013):
(1) First, establishing and focusing on goals that will be general at first, then increasingly specific and
job oriented as the work is planned. The project manager should set intermediate goals for the
construction process, goals that meet the ultimate requirements of cost and time.
(2) Second, establishing an effective management process that will operate in a systematic way. The
management system should be designed to address the following elements:
Time: Establishing a plan of action to ensure the work is done in the correct order and within
the time allowed.
Cost: The work must be performed efficiently.
Resources: Determine how much, when and where the required resources are needed
(resources such as labor, equipment, or materials).
Finances: Predicting the amount of funds needed to support all the work.
(3) Third, using this systematic management process to make the best possible decisions coordinating
the work of the project and then continue planning and controlling the work throughout the project
lifecycle. Feedback is a key to manage and control a construction projects, however, to do so the
project manager must perform the following tasks (Pierce Jr., 2013):
14
2.2 Planning, Scheduling and Control
Mubarak explains that even though planning, scheduling, and project control are extremely important
functions of construction management, it also includes components such as cost estimating and
management, procurement, project and contract administration, quality management, and safety
management (Mubarak, 2010). However, due to the limited scope of this research only planning,
scheduling, and control will be addressed in this review.
2.2.1 Planning
To begin with it is appropriate to refer to one of Kerzner‟s sayings: “Failing to plan is planning to
fail”. In this section planning is defined.
Kerzner explains that planning is determining what needs to be done, by whom, and when (Kerzner,
2013). Mubarak adds that planning also covers answering how, how much, why and where (Mubarak,
2010). Kerzner‟s nine major components of planning are:
The four basic reasons for project planning are to eliminate or reduce uncertainty, improve efficiency
of the operation, obtain a better understanding of the objectives and to provide a basis for monitoring
and controlling work (Kerzner, 2013)
15
2.2.1.2 The Planning Process Group
The PMBOK defines the Planning Process Group as those processes performed to establish the total
scope of the effort, define and refine the objectives, and develop the course of action required to attain
those objectives (Project Management Institute, Inc., 2013). The overall planning process is presented
in the following figure.
The main focus area for this study is the Project Time Management. The processes within Project
Time Management seek to ensure the timely completion of the project. This includes defining
activities, sequencing activities, estimating activity resources, estimating activity durations,
developing the schedules and controlling the schedules. The most relevant processes for this study are
16
develop schedule and control schedule. These processes are defined as follows (Project Management
Institute, Inc., 2013):
No matter how hard one tries, planning is not perfect, and sometimes plans fail. Typical reasons
include (Kerzner, 2013):
In this context it is worth mentioning that the main reasons why projects are not completed on time
and within cost are behavioral rather than quantitative problems. This may be due to poor morale, poor
human relations, poor labor productivity and lack of commitment by those involved in the project
(Kerzner, 2013).
17
2.2.1.5 Planning: Research Framework
This research will use the following objectives (criteria) as the standard by which planning success or
failure will be judged. These objectives for planning are mainly based on Kerzner‟s and Pierce‟s
descriptions (Kerzner, 2013), (Pierce Jr., 2013): The objectives for planning are to:
Understand the goals: Knowing what needs to be done to accomplish the project goals.
Reduce uncertainty: Establishing realistic schedules and budgets.
Improve efficiency: Coordinating resources to get the work done.
Provide basis for monitoring and control: Establishing baselines.
2.2.2 Scheduling
In this section scheduling is defined.
The purpose of scheduling is to provide a „„roadmap‟‟ that represents the delivery of the project scope
over time as defined by the project team (Project Management Institute, Inc., 2013). Kerzner explains
that a schedule is a plan showing when activities or accomplishments will be started and/or completed.
The primary objective of scheduling is to coordinate activities to complete the project with the: best
time, least cost and least risk (Kerzner, 2013).
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2.2.2.2 Developing Schedules
This subsection describes the process of developing a schedule, based on a practice standard
developed by The Project Management Institute. The first steps are selecting a scheduling method and
a scheduling tool. The schedule model is formed as specific project data is inserted into the scheduling
tool. The model is then used to generate (print) project schedules. These aspects are explained
separately below:
The scheduling methods provide the framework which schedule models are developed. Example of
scheduling method is the Critical Path Method (most commonly used method). The scheduling
methods are further addressed in sections 2.4 and 2.5.
The scheduling tool provides the means of adjusting various parameters and components that are
typical in a modeling process. The scheduling tool includes the capability to:
By inserting specific project data, such as activities, durations, and resources into the scheduling tool
the schedule model is created. The schedule model then produces project schedules, which contains
the planned dates for completing project activities. In this way the schedule model provides a tool for
analyzing alternatives. Once this model is developed, it should be updated on a regular basis to reflect
progress and changes (Project Management Institute, 2007). This practice standard refers to the
scheduling engine populated with project data as the schedule model. However, in general practice the
printed schedule and the schedule model are both referred to as the schedule (Project Management
Institute, Inc., 2013).
19
Figure 7 illustrates the interrelationships of the scheduling method, tool and model.
A milestone chart is similar to bar charts, but it only identifies the scheduled start or
completion of major deliverables and key external interfaces.
A bar chart represents activities by applying bars which show activity start and end dates, as
well as expected durations. Bar charts are relatively easy to read, and are frequently used in
management presentations.
A project schedule network diagram with activity date information, usually show both the
project network logic and the project‟s critical path schedule activities.
20
Examples of schedule types are baseline schedules, detailed schedules, master production schedules,
lookahead schedules and weekly work plans. These schedule types are briefly explained as follows:
A baseline schedule is a schedule usually prepared by the contractor before the start of the
project and used for performance comparison (Mubarak, 2010).
Detailed schedules are prepared for almost every activity. Each and every detailed schedule
should fit into one master schedule to verify that all activities can be completed as planned.
A master production schedule is a statement of what, how many and when the different units
will be made. It is a production plan, not a sales plan (Kerzner, 2013).
A lookahead schedule helps the project team to detect issues a few weeks ahead before it
becomes a problem. The lookahead window (the period of time one chooses to look ahead) is
typically 3 to 12 weeks, depending on project characteristics, the reliability of the planning
system, and the lead times for acquiring information, materials, labor, and equipment (Ballard,
2000b).
A weekly work plan is a detail level schedule to hand out assignments, which typically yields
multiple assignments for each activity (Ballard, 2000b).
There are many other types of plans and schedules as well for budgets, logistics, transportation,
procurement, and quality assurance to name a few. However, those plans will not be addressed here.
For further information on the matter see Kerzner‟s book: Project Management: A Systems Approach
to Planning, Scheduling, and Controlling.
(1) The Human Factor: A proficient scheduler or scheduling team that understands the
concepts, definitions, and applications or project scheduling
(2) The Technology: A good scheduling computer system (software and hardware) along with
capable IT support
(3) The Management: A dynamic, responsive, and supportive management that believes in the
use of scheduling as part of the management effort
Kerzner explains that every scheduling technique has its advantages and disadvantages. However,
there are some scheduling problems that can impact all scheduling techniques. These include (Kerzner,
2013):
The Project Management Institute explains that developing an acceptable schedule is often an iterative
process. This development often requires the planners to review and revise their duration estimates
and resource estimates to create an acceptable schedule. In fact, to maintain realistic schedules it is
necessary to review and revise them throughout the project (Project Management Institute, Inc., 2013).
21
There are five techniques commonly used for scheduling compression. These are overtime, additional
resources, reducing scope, outsourcing and doing series work in parallel. However, Kerzner explains
that each of these compression techniques have significant limitations that perhaps makes them more
of a myth than reality. This is explained in the table below, based on Kerzner‟s description (Kerzner,
2013).
Compression
Myth Reality
Technique
Use of overtime Work will progress at the same rate The rate of progress is less on overtime:
on overtime. more mistakes may occur; and prolonged
overtime may lead to burnout.
Adding more The performance rate will increase It takes time to find the resources; it takes
resources due to the added resources. time to get them up to speed' the resources
used for the training must come from the
existing resources.
Reducing scope The customer always requests more The customer needs all of the tasks agreed
work than actually needed. to in the statement of work.
Outsourcing Numerous qualified suppliers exist. The quality of the suppliers' work can
damage your reputation: the supplier may
go out of business: and the supplier may
have limited concern for your scheduled
dates.
Doing series An activity can start before the The risks increase and rework becomes
work in parallel previous activity has finished. expensive because it may involve multiple
activities.
Table 7 - Scheduling compression.
Applying realistic estimates: complete on time, within cost, and with minimum risk.
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2.2.3 Control
In this section control is defined.
In the table above Kerner explains that controlling is a three step process of measuring, evaluating, and
correcting. He defines these key processes for control as follows (Kerzner, 2013):
Measuring: determining through formal and informal reports the degree to which progress
toward objectives is being made.
Evaluating: determining cause of and possible ways to act on significant deviations from
planned performance.
Correcting: taking control action to correct an unfavorable trend or to take advantage of an
unusually favorable trend.
Monitoring and controlling includes controlling changes and recommending preventive action in
anticipation of possible problems, monitoring the ongoing project activities against the project
management plan and the project performance baseline, and influencing the factors that could
circumvent integrated change control so only approved changes are implemented (Project
Management Institute, Inc., 2013).
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2.2.3.2 The Monitoring and Controlling Process Group
Monitoring and controlling consists of those processes required to track, review, and regulate the
progress and performance of the project, as well as identifying and making the required changes. As
previously noted, the project time management is the main focus area of this research. In this context it
is monitoring and controlling the schedules. Controlling the schedules is done by monitoring the status
of the project to update the project progress and manage changes to the schedule baseline. Schedule
control is therefore concerned with (Project Management Institute, Inc., 2013):
The overall monitoring and controlling processes are presented in figure 8 here below.
Figure 8 - Monitoring & Controlling Process Group (Project Management Institute, Inc., 2013).
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2.2.3.3 Adequate Control
This section describes what components are necessary to maintain an adequate control when
scheduling. The control schedule process can be broken down into three components, namely inputs,
tools and techniques and outputs. Figure 9 shows the different aspects included in each of these
components. These inputs, tools and techniques and outputs are briefly addressed below, based on The
Project Management Institute‟s descriptions (Project Management Institute, Inc., 2013).
The project management plan provides the baseline for comparison with actual results (The
most resent schedules and work performance information) to determine if a change, corrective
action, or preventive action is necessary.
The organizational process assets that influence the control schedule process include control-
related policies, procedures, and guidelines as well as the schedule control tools and the
monitoring and reporting methods to be used.
The tools and techniques are (Project Management Institute, Inc., 2013):
Performance reviews measure, compare, and analyze schedule performance such as actual
start and finish dates, percent complete, and remaining duration for work in progress.
Variance analyses are used to assess the magnitude of variation to the original schedule
baseline.
Project management software for scheduling provides the ability to track planned dates versus
actual dates, and to forecast the effects of changes to the project schedule.
Resource leveling is used to optimize the distribution of work among resources.
What-if scenario analysis is used to review various scenarios to bring the schedule into
alignment with the plan.
Adjusting leads and lags and schedule compression techniques is used to find ways to bring
project activities that are behind into alignment with plan.
The scheduling tool and the supporting schedule data are used in conjunction with manual
methods or other project management software to perform schedule network analysis to
generate an updated project schedule.
25
The outputs are (Project Management Institute, Inc., 2013):
26
2.3 Critical Success Factors
This section discusses the critical success factors (CSFs). First, some key terms are explained and then
some examples are presented to illustrate how professionals have defined and applied CSFs to project
and construction management.
The following table shows how several English dictionaries define success.
Success can also be defined as the attainment of wealth, fame, etc., (Sinclair, 2001) but since that does
not apply to the main topic of the research it will not be addressed any further.
The different views of project success will be discussed in the next sections.
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2.3.3 Success Perspectives
Success can be viewed from several perspectives. In this section some of these perspectives are
addressed.
The macro viewpoint is like looking at the forest, focusing on the big picture. It involves the longer-
range perspective in determining whether or not the original project concept is achieved. This is
referred to as project success (or failure), depending on user satisfaction.
The micro viewpoint deals with smaller component levels of project achievements. It looks at the
trees, not the forest. The micro viewpoint involves assessing project management success, often based
on completion of a project phase or similar objectives (Lim & Mohamed, 1999).
The operational view is measured according to whether the project was completed on time, within
costs and to the expected quality. Samset states that these are the most commonly applied measures of
success, as well as the most limited perspective which only gives an indication of the delivery of the
project itself.
The tactical perspective gives a broader interpretation of the concept and focus on the extent to which
the project has achieved its formal goal. This concerns whether the impact of the project is
predominantly positive and whether the project is relevant in relation to people‟s (e.g. user) needs.
The strategic perspective is the broadest interpretation of project success. This perspective can for
example be based on measures of whether the project contributes to economic growth or positive
changes in society. It focuses on whether its positive effects are sustainable in the long term.
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Figure 10 - Operational, tactical and strategic success perspective (Samset, 1998)
In the following subsections project success and project management success are presented separately
before addressing how they are linked together.
De Wit indicates that project success involves broader objectives from the viewpoints of stakeholders
throughout the project lifecycle (de Wit, 1988). Similarly, Cooke-Davies defines project success,
being measured against the overall objectives of the project (Cooke-Davies, 2002). In this context it
must be pointed out that the definition of success can vary according to who the stakeholder is. For
example, each of the following can have their own definition of success on a project (Kerzner, 2013):
Bowen states that in regard to construction projects, the clients of the construction industry are
primarily concerned with quality, time and cost (Bowen, Cattel, Hall, Edwards, & Pearl, 2012)
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2.3.3.4 Project Management Success
Success in project management includes getting the job done within the constraints of time, cost and
quality, while utilizing the assigned resources effectively and efficiently (Kerzner, 2013), (de Wit,
1988), (Cooke-Davies, 2002). Successful project management can therefore be defined as having
achieved the project objectives within these constraints. Recently, project management success has
also been defined as meeting the customer‟s expectations.
Kerzner explains that successful project management, regardless of the organizational structure, is
only as good as the individuals and leaders who are managing the key functions (Kerzner, 2013).
Similarly Cooke-Davies states that when it comes to project management, it‟s the people that count
(Cooke-Davies, 2002).
One can argue that good project management can contribute towards project success. However, one
can also state that good project management is unlikely to be able to prevent project failure (de Wit,
1988). Jugdev and Müller further address this distinction, by using an often heard saying: “The
operation was a success, but the patient died”. Like the saying above indicates, there are examples of
projects that are managed well from a project management perspective, yet are perceived to be
unsuccessful. This can also be the other way around. Projects can be poorly managed from a project
management perspective, yet be viewed as successful. A textbook example of this is the Sydney Opera
House. It took over 15 years to build and was 14 times over budget, yet it is proudly displayed as an
engineering masterpiece. This example was a failure in terms of project management success, but it
was a success in terms of project success. (Jugdev & Müller, 2005).
Kerzner states that it is unrealistic to believe that all projects will be completed successfully. Having
said that, one could state that the only true project failures are the ones from which nothing is learned.
Failure can be viewed as success if the failure is identified early enough so that the resources can be
reassigned to other more opportunistic activities.
To help project managers and other stakeholders to implement a successful project so called success
factors can be used (Kerzner, 2013). These factors are further explained in the following section.
2.3.4 Criteria and Factors that Determine and Influence Project Success or Failure
Lim and Mohamed explain that the terms criteria and factors have been viewed as synonyms by some
project management literature (Lim & Mohamed, 1999). This needs clarifications.
2.3.4.1 Criteria
Criteria are the sets of principles or standards by which success can be judged. In other words, the
conditions on which judgment can be made. Lim and Mohamed explain that there are two sets of
conditions for determining project success:
To determine project success from the macro viewpoint both sets of completion criteria and
satisfaction criteria are sufficient. To determine project success form the micro viewpoint the set of
completion criteria alone is sufficient (Lim & Mohamed, 1999).
30
Samset explains that in the planning framework most commonly used in planning and evaluation of
projects, the success measure is based on five criteria: efficiency, effectiveness, impact, relevance and
sustainability. These five criteria cover all of Samset‟s success perspectives (explained in section
2.3.3) as follows (Samset, 1998):
Operational perspective:
(1) Efficiency: The delivery of the project in regard to time, cost and quality.
Tactical perspective:
(2) Effectiveness: The extent to which the project goal has been achieved.
(3) Impact: The sum of positive and negative, planned and unforeseen changes and effects of
the project in society.
(4) Relevance: The degree to which the project respond to real needs and priorities in society.
Strategic perspective:
(5) Sustainability: The extent to which the positive effects of the project will continue in the
future.
2.3.4.2 Factors
Factors are the sets of circumstances, facts, or influences which contribute to the project outcomes.
These are the influential forces which either facilitate or impede project success. The factors contribute
to the success or failure of a project, but do not form the basis of the judgment. By placing the word
critical in front of the word factor one is emphasizing its importance; critical factors are therefore
extremely important factors (Lim & Mohamed, 1999).
Figure 11 - Factors, criteria and project success (Lim & Mohamed, 1999).
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2.3.5 Defining CSFs
Success factors first came to the surface within the field of project management in the 1960s when
studies with the aim of identifying the best practice of project management where carried out. These
studies were financed by governments to investigate the poor success of publicly funded projects
(Morris et al., 2010). Since then, extensive research has been done where researchers have been trying
to discover which factors lead to project success (Cooke-Davies, 2002).
By reading through the literature on critical success factors one clearly sees the impact Rockart has
had on the subject, judging by how many authors (Boynton, Zmud and Kerzner, to name a few) refer
to him when defining these factors.
Rockart describes that “critical success factors thus are, for any business, the limited number of areas
in which results, if they are satisfactory, will ensure successful competitive performance for the
organization. They are the few key areas where "things must go right" for the business to flourish. If
results in these areas are not adequate, the organization's efforts for the period will be less than
desired” (Rockart, 1979).
He further explains that as a result, the critical success factors are areas of activity that should receive
constant and careful attention from management. He also states that the current status of performance
in each area should be continually measured, and that information should be made available.
Kerzner summaries Rockart‟s definition in the following way: „Critical success factors are those
elements which must exist within the organization in order to create an environment where projects
may be managed with excellence on a consistent basis” (Kerzner, 1998). Similarly Koskela explains
that the CSFs for construction projects are factors that are important for achieving outstanding project
results (Koskela, 1992). Kerzner explains that the purpose of the critical success factors is to identify
what is necessary to meet the desired deliverables of the customer (Kerzner, 1998).
According to Kerzner, the concept of critical success factors may be applied to any area such as the
project itself, to project management, to the project's organization and environment, and to senior
management (Kerzner, 1998).
In previous section Kerzner‟s definition of project success and project management success was
briefly addressed, as well as his definition of CSFs. Here below are his six critical success factors for
successful projects (Kerzner, 1998):
32
Pinto is widely known for his list of the 10 critical success factors. Briefly, the 10 CSFs are defined as
follows (Pinto, & Slevin, 1988):
The figure below illustrates how the CSFs spread through the project lifecycle phases. The factors are
placed in order of importance within each phase.
Figure 12 - Critical factors at each project phase (Pinto, & Slevin, 1988)
In Pinto‟s article Planning and Tactical Factors in the Project Implementation Process he groups the
CSFs into planning and tactical categories. Of the 10 CSFs, project mission, top management support,
schedule/plans, and client consultation were placed in the planning category and the rest under tactical.
As a result of that study he explains that CSFs are not of equal importance throughout the lifecycle
stages of conceptualization, planning, execution and termination. In fact, only one factor is of great
important in all four phases, namely the project mission (Pinto & Prescott, 1990).
33
A literature study published in the Journal of Construction Engineering and Management by ASCE
suggests that the critical success factors for construction management can be grouped under five main
categories. These groups are: human-related factors, project-related factors, project procedures,
project management actions, and external environment. The following figure illustrates how these
categories and their factors can lead to project success (Chan, Scott, & Chan, 2004).
The following represents Jugdev‟s and Müller‟s four conditions that are necessary for project success
(Jugdev & Müller, 2005):
(1) Success criteria should be agreed on with the stakeholders before the start of the project,
and repeatedly at configuration review points throughout the project.
(2) A collaborative working relationship should be maintained between the project owner (or
sponsor) and project manager, with both viewing the project as a partnership.
(3) The project manager should be empowered with flexibility to deal with unforeseen
circumstances as they see best, and with the owner giving guidance as to how they think the
project should be best achieved
(4) The owner should take an interest in the performance of the project.
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2.4 Traditional Construction Management Methods
In this section the traditional approach to construction management is presented. First, the underlying
philosophy is addressed, and then some of the main characteristics of traditional construction
management are explained.
A production process is a conversion of an input to an output. The conversion process can be divided
into sub-processes, which also are conversion processes. The cost of the total process can be
minimized by minimizing the cost of each sub-process. The value of the output of a process is
associated with costs (or value) of inputs to that process (Koskela, 1992).
Figure 14 here below illustrates the traditional view of a production process as a conversion process
(Koskela, 1992):
This model is ideal for measuring productivity, for example the ratio of output to the input in a given
time period. Koskela notes that value is not of great importance in this production philosophy. He
further explains that the value of the output can only be raised by using better material and more
skilled specialists, the costs of which are higher.
This view of production also applies to how traditional management and organization is practiced, in
fact several disciplines have used this idea as basis for understanding production (Koskela, 1992).
35
2.4.2 Traditional Construction Management Planning Methods
PERT is a network planning technique that applies critical path analysis to reveal interdependencies
and problems that are not obvious with other planning methods. In that way, PERT determines where
the greatest effort should be made to keep a project on schedule (Kerzner, 2013).
The CPM calculates the theoretical early start and finish dates, and late start and finish dates, for all
activities without regard for any resource limitations. This is done by performing a forward and
backward pass analysis through the schedule network. The resulting early and late start and finish
dates indicate the time periods within which the activity could be scheduled, given activity durations,
logical relationships, leads, lags, and other known constraints (Project Management Institute, Inc.,
2013).
The WBS breaks the work down into smaller elements. It is a product-oriented family tree subdivision
of the hardware, services, and data required to produce the end product. It is structured in accordance
with the way the work will be performed and reflects the way in which project costs and data will be
summarized and eventually reported. When preparing the WBS one also considers other areas that
require structured data, such as scheduling, configuration management, contract funding, and technical
performance parameters (Kerzner, 2013).
The EVM is a method of performance measurement. It integrates project scope, cost, and schedule
measures to help the managers assess and measure project performance and progress. It requires the
formation of an integrated baseline against which performance can be measured for the duration of the
project. EVM develops and monitors three key dimensions for each work package and control
account, namely: Planned Value, Earned Value and Actual Cost (Project Management Institute, Inc.,
2013).
These tools and techniques were developed by and for practitioners who needed them to improve the
efficiency of project implementation (Morris et al., 2011). These so called traditional tools and
techniques are widely recognized in the field of construction management and are applied to manage
construction projects up to professional standards (Pierce Jr., 2013).
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2.4.2.3 Construction as an Activity
Koskela notes that the most general understanding of construction is to view it as a set of activities
aimed at a certain output, namely conversions. He further explains that this activity view of
construction is shared both by the old traditions of construction and the newer methods, construction
management is an activity-oriented mind set. The traditional method of cost estimation is a good
example of this activity view. First, the building is divided into elements, and for each element, the
costs of needed materials and labor are estimated. Second, contracts (output), which specify a part of
the building, and compensations (input) are established. Koskela explains that this is exactly how the
conversion model works; the total production process consists of a set of sub-processes which convert
an input to an output, which can be realized and analyzed in isolation from each other. Similarly, in
network based project planning the activities needed for producing the various elements of the
building are the basic unit of analysis (Koskela, 1992).
37
The traditional approaches have had some major shortcomings regarding project delivery showing in
extensive delays in the planned schedules, cost overruns, serious problems in quality, and an increase
in the number of claims and litigation associated with construction projects (Bowen et al., 2012).
Some practitioners believe that the traditional methods remain underused because of how poorly they
are understood and that they may seem more complicated than they really are (Pierce Jr., 2013). Other
practitioners such as Laufer, Tucker and Koskela suggest an overall re-examination of the project
management philosophy, due to the growing realization of the flaws of the traditional approach
(Koskela, 1992). In this context, Ballard and Howell state that the traditional conversion process
model conceals things that need to be revealed; particularly the design of systems and processes to
manage work and work flow (Alarcón, 1997).
The traditional methods generally views problems as unavoidable part of construction and that it is
necessary to learn to live with them. The problems are best to be solved shortly after they arise,
regardless of how one solves them. However, in Kostkela‟s opinion the starting point for improving
construction is to change the way of thinking, rather than seeking isolated solutions to the various
problems at hand (Koskela, 1992).
This, among other aspects, later led to the new production philosophy which is the basis for Lean
construction. This new philosophy along with Lean construction is presented in the next section.
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2.5 Lean Construction Planning Systems
Lean construction has at least two foci that distinguish it from traditional construction management.
One focus is on waste and the reduction of waste. The other focus is on managing flows (Alarcón,
1997). In this section the Lean philosophy is addressed as well as its main characteristics in regard to
construction management.
“Lean Construction is like driving on a highway. If everybody drives at the same speed we all get
there on time and a lot of traffic flows through. But if anybody goes either to fast or to slow it’s those
cars that mess everything up.” - Greg Howell at an AGC meeting in 1993
2.5.1.1 Background
The new production philosophy has its origins tracing back to development and experiments of the JIT
(Just in Time) production system and quality control initiated by Ohno and Shingo at Toyota
Manufacturing in Japan in the 1950‟s (Koskela, 1992). JIT is a method of pulling work forward from
one process to the next „just-in-time‟, when the successor process needs it. One benefit of
manufacturing JIT is reducing work-in-process inventory, and thus working capital. Another great
benefit is reducing production cycle times, since materials spend less time sitting in queues waiting to
be processed. However, perhaps the greatest benefit of manufacturing JIT is forcing reduction in flow
variation, thus contributing to continuous, ongoing improvement (Alarcón, 1997).
Production is a flow of material and/or information from raw material to the end product. In this flow
there are four kinds of inherently different activities; the material is processed, it is inspected, it is
waiting and it is moving. Processing represents the conversion aspect of production whereas
inspecting, moving and waiting represent the flow aspect of production. The flow processes can be
characterized by time, cost and value, where value refers to the fulfillment of customer requirements.
Generally, the processing activities are the only value-adding activities. For material flows, processing
activities are alterations of shape or substance, assembly and disassembly (Koskela, 1992).
Figure 16 graphically explains production as a flow process. The shaded boxes represent non value-
adding activities whereas the white boxes value-adding processing activities (Koskela, 1992).
This new approach implies a dual view of production that consists of both conversions and flows.
While all activities expend cost and consume time, only conversion activities add value to the material
and/or information being transformed to a product. Therefore, the flow activities of inspecting, moving
and waiting should be reduced or eliminated, whereas the conversion activity made more efficient.
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2.5.1.3 Principles for the Flow Process
The following principles demonstrate how the flow process can be designed, controlled and improved
in practice (Koskela, 1992):
Koskela stresses that the best possible process is usually not obtained by design alone; generally the
designed and implemented process provides a starting point for continuous improvement, based on
measurements of actual process behavior.
In the next section the main characteristics of Lean construction management are explained.
A statement of the Lean ideal is giving the customers exactly what they need to accomplish their
purposes, by maximizing value and minimizing waste (Ballard & Howell, 1998).
40
Lean thinking can be summarized in five principles, namely (Womack & Jones, 2010).:
Lean thinking forces attention on how value is generated rather than on how any one activity is
managed. The aim is perfection: the meeting of customer requirements, in zero time, with nothing in
stores. The overriding concern is to reduce waste. By clearly understanding these principles, and then
tying them all together, managers can make full use of Lean techniques and maintain a steady course
(Womack & Jones, 2010).
The Lean production principles are defined by Ballard and Howell as follows (Ballard & Howell,
1998):
Applying Lean production principles to construction entails treating the project as one large operation.
This need not necessarily involve the standardizing of products (Ballard & Howell, 1998). Before
addressing the methods and tools that are commonly applied in Lean Construction the Lean Project
Delivery System is introduced.
41
Figure 17 - Lean Project Delivery System (Ballard & Howell, 2003)
Like described in sections 2.1.1 and 2.1.2, projects have long been understood in terms of phases, for
example predesign, design, procurement and installation. Some of the key differences between
traditional and Lean project delivery concerns the definition of these phases, the relationship between
phases and the participants in each phase.
For examples, in the Project Definition stage representatives of every stage in the lifecycle of the
facility are involved, including members of the production team which is to design and build the
product. Also, Lean Design differs from traditional practice in systematically deferring decisions until
the last responsible moment in order to allow more time for developing and exploring alternatives. In
traditional practices the design decision are made as soon as possible (Ballard & Howell, 2003).
The essential features of the Lean Project Delivery System include (Ballard, 2000a):
For a more detailed presentation of the Lean Project Delivery System see Ballard‟s presentation in the
following reference (Ballard, 2000a)
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2.5.2.3 Lean Construction Planning Process
The Last Planner is well suited to demonstrate the Lean Construction planning process. In contrast to
the Traditional Push System the Last Planner is a Pull System which allows materials or information
to be pulled into the production process, but only if the process is capable of doing that work. Ballard
explains that in his Last Planner system, conformance of assignments to quality criteria constitute such
a check on capability. Further, making assignments ready in the look-ahead process is explicitly an
application of pull techniques. Consequently, Last Planner is a type of pull system. The essential
elements of a planning system are those that determine what should be done, what can be done, and
what will be done. In contrast to the traditional production control system where only the terms should
and did are applied, the Last planner adds two terms, namely can and will. Again, in contrast to the
traditional approach the Last Planner is an active control. The Last Planner can be described as
steering the car towards its destination – causing the future, not reacting to the past. Figure 18 shows
the Last Planner system (the bold lines) and illustrates the Lean Construction planning process
(Ballard, 2000b):
43
To increase the match between will and did, planners should only include tasks that are sound,
sequenced, sized, and well defined. To make ready what should be done so it can be done the Last
Planner encourages planners to analyze and remove constraints, re-plan when constraints cannot be
removed in time, breakdown tasks into operation and design new operations collaboratively. The
figure below illustrates how should, can, will and did relate to the different levels of planning in the
Last Planner System of Production Control. The figure is based on Ballard‟s and Howell‟s description
of the Last Planner (Ballard & Howell, 2003).
To improve the planning the Last Planner measures the Percent Plan Complete (PPC), identifying
reasons for non-completion, and tracing reasons back to root causes that can be eliminated to prevent
repetitions. PPC is the number of planned activities completed divided by the total number of planned
activities, expressed as a percentage (Ballard, 2000b).
In this context it is worth mentioning that studies by Ballard and Howell have shown that the vast
majority of failures to complete planned work are rooted in the quality of plans. Consequently,
planning system performance at the commitment (will) level can be improved by such actions as
educating planners, improving the supply or quality of planning information, clarifying or modifying
directives, etc. (Alarcón, 1997).
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2.5.2.4 Lean Construction Techniques and Tools
Many powerful techniques and tools have been developed to manage Lean projects. However, there is
no accurate list, as innovation is very much underway and new tools and techniques are still emerging.
Some of the Lean tools are conceptual, some are procedural, and some are embedded in software.
Whereas several tools are simple, others are more complex. The Last Planner system presented above
is an example of a complex tool, itself including multiple rules and techniques. (Best & Valence,
2007).
Tanskanen, Wegelius and Nyman explain that the techniques and tools used to manage and control
Lean projects must meet the requirements of the fundamental principles and goals of Lean
manufacturing. They summarize the requirements for Lean construction planning and controlling tools
as following (Alarcón, 1997):
Some commonly applied techniques and tools in Lean construction and design projects worth
mentioning are the Last planner (explained above), Five Big Ideas, Big Room (Obeya), Building
Information Modeling (BIM) and Concurrent Engineering.
The Five Big Ideas is an approach which strives to coherently address each level of the Lean Project
Delivery System. The Five Big Ideas are (Lichtig, 2005):
Big Room or Obeya, is a concept adopted from the Toyota Production System in Japan. It is also
sometimes referred to as colocation. Its purpose is to enhance effective and timely communication
(Forbes & Ahmed, 2010). Similar in concept to traditional “war rooms,” an Obeya contains highly
visual charts and graphs showing milestones and progress to schedules among other data. The idea is
that the project leaders have their desks in the Obeya to shorten the plan, do, check, act cycle (Aasland
& Blankenburg, 2012).
BIM is a tool used to reduce waste in design and construction. It is a digital representation of physical
and functional characteristics of what is being designed. BIM provides a solid platform for the Big
Room concept were designers, owners, and constructors can work interactively to make decisions that
influence the overall project (Forbes & Ahmed, 2010).
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2.6 Comparison of the Methods
In this section the differences between the traditional and the Lean approach are summarized. First the
fundamental differences of the production philosophies are discussed and then the differences between
the product delivery systems are highlighted.
In the new production theory on the other hand both aspects are considered. Through Koskela‟s eleven
principles for flow process design and improvement, the efficiency of flow processes can be
considerably and rapidly improved.
The most important differences between the traditional and the new philosophy, according to Koskela,
are summarized in Table 10 (Alarcón, 1997).
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2.6.2 Comparing the Delivery Systems
Table 11 lists the main differences between the traditional and the Lean approach to project delivery.
The table is based on Ballard‟s and Howell‟s summary of Lean and non-Lean project delivery systems
(Ballard & Howell, 2003).
Product design is completed, then Product and process are designed together.
process design begins.
Not all product lifecycle stages are All product lifecycle stages are considered in
considered in design. design.
Activities are performed as soon as Activities are performed at the last responsible
possible. moment.
Separate organizations link together Systematic efforts are made to reduce supply-
through the market and take what the chain lead times.
market offers.
Learning occurs occasionally. Learning is incorporated into project, firm and
supply-chain management.
Stakeholder interests are not aligned. Stakeholder interests are aligned.
Buffers are sized and located for local Buffers are sized and located to perform their
optimization. function of absorbing system variability.
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3 Research Methodology
This chapter explains step by step how the research methodology was formed for this thesis. First, the
research approach is explained. Second, the research philosophy the researcher brings to the study is
presented. Third, the research design is addressed. Fourth, the appropriate research methods are
explained.
3.1 Introduction
This thesis research methodology was formed by applying Creswell‟s framework for research. With
other words, his framework was used to assess what research approach was most fitting for this study.
The key terms that form his framework are: Research Approaches, Research Philosophies, Research
Designs, and Research Methods. These terms based on Creswell‟s definition are as follows (Creswell,
2013):
Research Approaches are plans and procedures for a research that span the steps from broad
assumptions to detailed methods of data collections, analysis and interpretation.
Research Philosophy (worldviews) is the philosophical assumptions the researcher brings to
the study.
Research Designs are the types of the inquiry within a research approach.
Research Methods are the different forms of data collections, analysis and interpretation.
Figure 20, based on Creswell‟s framework for research, explains how the key components interact
with each other (Creswell, 2013).
The following sections describe what research approaches, philosophies, designs and methods can be
applied to scientific research and, step by step, what approaches were applied to this research.
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3.2 Research Approach
Creswell and Borrego describe three research approaches: qualitative, quantitative and mixed methods
(Creswell, 2013)(Borrego, Douglas, & Amelink, 2009). The following definitions are based on their
description:
Qualitative research is an approach for exploring and understanding the meaning individuals or
groups ascribe to a social or human problem. It‟s fitting for inductive approaches to data analysis.
Olsson & Sörensen explain that inductive reasoning is based on discoveries from reality which then
leads to laws and theories (Olsson & Sörensen, 2003).
Quantitative research is an approach for testing objective theories by examining the relationship
among variables. It‟s fitting for deductive approaches, where a theory or hypothesis justifies the
purpose statement and the direction of the narrowly defined research questions. Olsson & Sörensen
explain that deductive reasoning is based on a theory, but presents an assumption about reality in a
hypothesis (Olsson & Sörensen, 2003).
Mixed methods research is an approach to inquiry involving collecting both qualitative and
quantitative data, integrating the two forms of data.
The choice of research approaches should always be driven by the research question/s (Borrego et al.,
2009)(Yin, 2009). After careful consideration a qualitative approach was evaluated as the best fitting
approach for this research, based on the nature of the research questions. The reason for this decision
is better explained in the next sections.
Postpositivism Constructivism
Determination Understanding
Reductionism Multiple participant meanings
Empirical observation and
Social and historical construction
measurement
Theory verification Theory generation
Transformative Pragmatism
Political Consequences at actions
Power and justice oriented Problem-centered
Collaborative Pluralistic
Change-oriented Real-world practice oriented
Table 12 - Research philosophies (Creswell, 2013).
The investigator of this research leans towards a pragmatic worldview where one emphasizes the
research problem and uses all approaches available to understand the problem. Pragmatism is not
committed to any one system of philosophy and reality. Individual researchers have the freedom of
choice, free to choose the method, techniques, and procedures of research that best meet their needs
and purposes (Creswell, 2013).
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Having said that, one could state that this thesis is under more influence of the constructivism
philosophy than pragmatism since it only applies a qualitative approach. However, that was mainly
due to time restrictions and limited resources. If not for those obstacles, quantitative methods would
have also been applied by submitting surveys to provide data for statistical analysis. Another reason
for selecting this approach was that one of the thesis advisors had previous experience with case
studies. The qualitative approach was seen as a better fit for the research questions (with the
limitations in mind), but the investigator hopes to continue with the research later by applying both
qualitative and quantitative methods of investigation.
After careful consideration case study was assess as the most appropriate design for this research. This
was based on Yin‟s teachings that case studies generally are the preferred design when (Yin, 2009):
(1) asking “how are the CSFs defined?” and “how do the methods meet the requirements?”,
(2) investigating events which the investigator has little or no control over, and
(3) focusing on evolving factors and methods that are applied to real-life design and
construction projects.
This decision was also based on the case study‟s unique strength to deal with a variety of evidence,
namely documents, artifacts, interviews and observations (Yin, 2009). Another argument for applying
this design is based on Eisenhardt‟s statement that case study research is most appropriate to provide
freshness in perspective to an already researched topic (Eisenhardt, 1989).
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3.4.1 Case Study Designs
Robson‟s definition of a case study is: “a strategy for doing research which involves an empirical
investigation of a particular contemporary phenomenon with in its real life context using multiple
sources of evidence” (Robson, 1993). Yin explains that there are four basic types of designs for case
studies, i.e.
This research will use an embedded multiple-case design, meaning that more than one case will be
studied with multiple units of analysis. This decision was based on Yin‟s advice, when one has the
choice and resources, multiple-case designs are preferred over single-case designs (Yin, 2009). This is
because the evidence from multiple cases is often considered more compelling, and the overall study is
therefore regarded as being more robust (Herriott & Firestone, 1983).
The selection of the appropriate unit of analysis occurred when the primary research questions were
specified. This research applies two units of analysis, namely:
1. The critical success factors in planning, scheduling and control for design and construction
projects.
2. The methods used in design and construction projects regarding their capability to meet the
requirements of the critical success factors. The two methods examined in this research are
Lean construction planning systems and traditional project management planning methods.
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3.5 Research Method
Research methods are described by Creswell as methods that involve the forms of data collection,
analysis, and interpretation that researchers propose for their studies. The decision of applying
qualitative case study design narrows down the appropriate research methods for this study. Table 14
which is based on Creswell‟s quantitative, mixed and qualitative methods, indicates what methods
might match the thesis design (Creswell, 2013).
In this section the research methods will be further addressed, by explaining what methods were
applied and why.
3.5.1.1 Interviews
Yin states that one of the most important sources of case study information is the interview. The
interviews were performed as guided conversations where the line of inquiry was followed in an open-
ended focused interview. A focused interview is when a person is interviewed for a short period of
time (for example an hour) following a certain set of questions derived from the case study protocol
(Yin, 2009). This gave the interviewees the chance to go outside of the investigators line of questions,
if they felt the need to come across information they weren‟t directly ask for. An interview guide was
made for each interview. A summary of the interview guides can be found in appendix A. The
interviews were recorded, transcribed and sent to the interviewees for verification and approval. Key
personnel form the client, contractor and design team were interviewed at each project.
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3.5.1.3 Documentation
Documentary information is relevant to almost every case study topic. An investigator must arrange
access to examine the files of any organization being studied and then sort and review what appears
central to one‟s inquiry. The most important use of documents in a case study is to corroborate and
augment evidence from other sources (Yin, 2009). Steering documents, presentations, e-mails, minutes
of meetings, action lists, progress plans, decision plans, and other documents were made accessible by
the project managers and used as a source for evidence in this case study.
A database was created for the collected data, stored at a file hosting service, where the author and the
advisors had access to it. Each case has its folders where the sources of evidence is organized and
categorized in a systematic way. A detailed database overview makes it accessible so that other
investigators can review the evidence. Most of the documents and data in the database are complete
and well readable.
Any of the following strategies can be used in practicing five specific techniques for analyzing case
studies. These are (Yin, 2009):
Pattern matching.
Explanation building.
Time-series analysis.
Logic models.
Cross-case synthesis.
The first and most preferred strategy, according to Yin, the relying on theoretical propositions, was
chosen as the analytic strategy for this research, even though it also to some extent, examines rival
explanations. This means that the propositions which formed the original objectives and design for
this case study, and which also reflect the research questions, are based on literature and new
hypotheses form experts in the field such as Lauri Koskela, Glenn Ballard and Greg Howell, to name a
few. These propositions shaped the data collection plan and helped to focus attention on certain data
and to ignore other data.
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Pattern matching was applied for this study, which is according to Yin one of the most desirable
techniques for case study analysis (Yin, 2009).
It was kept in mind while reviewing the documents (especially e-mails and other personal documents)
that the documents were written for some specific purpose and some specific audience, other than the
investigator.
The strengths and weaknesses are identified by an internal appraisal of the organization and the
opportunities and threats by an external appraisal. The internal appraisal examines all aspects of the
organization covering, for example, personnel, facilities, location, products and services, in order to
identify the organizations strengths and weaknesses. The external appraisal scans the political,
economic, social, technological and competitive environment with a view to identifying opportunities
and threats. The advantage of SWOT analysis is its attempt to connect internal and external factors to
stimulate new strategies (Dyson, 2004).
SWOT analysis was used to analyze the different methods in regard to planning, scheduling and
control.
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3.5.3 Reliability and Validity
This section focuses on the validity and reliability of the research by applying different tests and
tactics. Yin explains that since a research design is supposed to represent a logical set of statements,
one can also judge the quality of any given design according to certain logical tests (Yin, 2009).
Concepts that have been offered for these tests include trustworthiness, credibility, conformability, and
data dependability (Kidder & Smith, 1986). Four tests can be used to establish the quality of a case
study research, namely:
Construct validity: identifying correct operational measures for the concepts being studied.
Internal validity: seeking to establish a causal relationship, whereby certain conditions are
believed to lead to other conditions, as distinguished from spurious relationships.
External validity: defining the domain to which a study´s findings can be generalized.
Reliability: demonstrating that the operations of a study – such as the data collection
procedures – can be repeated, with the same results (Yin, 2009).
The table below shows how Yin encourages investigators to apply different case study tactics within
the given tests. He also describes in which phase of the research the tactics should take place.
In this context it‟s important to note that the original plan was to study four of Statsbygg‟s
construction projects, two projects applying Lean and two using more traditional methods. Due to
various reasons the researcher was only handed out two of Statsbygg‟s projects, one that applies Lean
and one that uses more traditional methods. Obviously, gaining access to two more projects would
have increased the internal and external validity of the research.
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3.5.3.1 Construct validity
All of the tactics listed above to construct validity were applied to this research, by using multiple
source of evidence, establishing chain of evidence, and having the thesis advisors to read through parts
of the thesis. The chain of evidence was maintained by linking the study questions, protocol, case
study database and the final report together, allowing (hypothetical) external observers to follow the
derivation of any evidence from initial research question to ultimate case study conclusions. All
interviews were reviewed by the interviewees which also increases the validity of the report.
Due to limited resources and time restrictions this research did not have the opportunity to achieve
good internal validity by providing extensive data over a longer period. Due to these limitations, in
some situations, the investigator had to rely solely on a single source of evidence, namely verbal
reports from interviewees.
3.5.3.4 Reliability
The goal of reliability is to minimize the errors and biases in a study. If a later investigator followed
the same procedures as described by an earlier investigator, he should arrive at the same findings and
conclusions (Yin, 2009). The tactics listed above to ensure reliability were applied, i.e. a case study
protocol was used and a case study database developed. For further explanations see the sections about
the protocol (section 4.1) and database (section 3.5.1.4).
The investigator made an extensive literature review for this research. Literature was found by
searching for relevant keywords, mainly through search engines and databases such as Google Scholar
and Leitir. Some literature was also recommended by the thesis advisors. Reference lists proved to be
a useful source for literature. The researcher south out to rely solely on peer reviewed literature
published by refereed journals or publishers. A reference management software was used to manage
and organize the literature.
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4 Case Study
This chapter briefly addresses the two design and construction projects provided by Statsbygg for this
study. This section also addresses what data was collected via interviews and observations as well as
what documents were provided. Before giving a brief introduction of Statsbygg the case study
protocol is presented, explaining what preparations were made on forehand regarding the data
collection.
With minor adjustments these aims and objectives formed the primary aims and objectives of this
study presented in chapter 1.2 Aims and Objectives. The list of relevant readings later formed the
structure of the literature review presented in chapter 2. Theoretical Framework. The guide for the
case study report formed the framework of this report. The field procedures and the case study
questions from the protocol are addressed briefly in the following two sections.
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4.1.2 Case Study Questions
An insight into asking good questions is to understand that research is about questions and not
necessarily about answers. The study questions are the investigators reminders of what information
needs to be collected. Case study questions are a set of substantive questions reflecting the actual line
of inquiry. These questions are not necessarily intended as the literal questions to be asked of any
given interviewee. Each question should be accompanied by a list of likely sources of evidence. Such
sources may include the names of individual interviewees, documents, or observations (Yin, 2009).
The following questions in table 16 were originally formed in the case study protocol.
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4.2 Statsbygg
Statsbygg is the Norwegian government‟s key adviser in construction and property affairs, building
commissioner, property manager and property developer. Statsbygg has close to 900 employees in
total, where roughly 100 work in the building commissioning division. Their head office is in Oslo but
there are regional offices in Oslo, Porsgrunn, Bergen, Trondheim and Tromsø.
Statsbygg plans, quality assures, budgets, and follows up construction projects. At any given time,
Statsbygg organizes, plans, and implements around 160 projects, both large and small, of which 20-30
major projects are completed every year (Statsbygg, 2014).
Statsbygg has its own project lifecycle model. The project is divided into six phases. These phases
loosely translated to English are: Initiation, Programing phase, Conceptual design phase, Detail design
phase, Construction phase and Follow-up & troubleshooting phase. Figure 21 illustrates the sequence
of the phases (See the original lifecycle model in Appendix D, in section 84).2
Statsbygg provided the following two construction projects for this study, both which are being
implemented for different educational institutions in Norway:
(1) The Sør-Trøndelag University College (STUC): a project which applies a rather traditional
approach to design and construction management and planning.
(2) The Norwegian University of Life Sciences (NULS): a project which applies Lean
construction planning systems to design and construction.
These projects are further addressed in the following sections. In this thesis Statsbygg will be referred
to as the client (byggherre in Norwegian).
2
Information obtained from the project documents provided by the project managers at The Sør-Trøndelag University
College and The Norwegian University of Life Sciences.
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4.3 Case 1: Sør-Trøndelag University College
4.3.1 Background
The new building is approximately 15.000 m2, built between the existing University buildings at
Sverres gate 12, Trondheim. In 2002 there was an architectural competition with prequalified
participants, architects and engineers (design team). The pilot project was completed in 2004 based on
a functional program, but was not given the initiation grant due to changes in government at the time.
During 2009-2010 and again in 2013 the pilot project was revised and updated to meet new energy
standards. In April 2014 it was opened for tendering. The project aims to be ready for use in December
2016. In November/December 2014, during the site visit to STUC and data collection the project was
in the detail design phase whereas construction was in the final stages of the ground work, almost
ready for the concrete works.
Statsbygg‟s project manager explained that they did a market survey among the largest contractors in
Trondheim where 4 out of 6 contractors listed partnering (samspill in Norwegian) as their first choice
of contract type. Statsbygg‟s project managers also preferred partnering but the contract committee at
Statsbygg insisted on design & build, a fixed price contract only evaluated on price. As a result,
Betonmast Trøndelag AS got the contract as the main contractor or so called “Total-Contractor”
(Totalentreprenør in Norwegian) by submitting the lowest bid.
Design & Build (Totalentreprise in Norwegian) is using a single contractor to act as the sole point of
responsibility to a public sector client for the design, management and delivery of a construction
project on time, within budget and in accordance with a pre-defined output specification using
reasonable skill and care (Office of Government Commerce, 2007). In this project they designed and
built in parallel.
3
Figure obtained from the project documents provided by the project manager at The Sør-Trøndelag University College
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4.3.3 Organizational Chart
The figure below is a simplified organizational chart for the organization of the main stakeholders at
The Sør-Trøndelag University College. The figure is presented to illustrate the interfaces between the
main stakeholders examined in this study, namely:
In Appendix B, section 8.2, the original organizational chart for Sør-Trøndelag University College
may be found.
Authorities
User
Owner
Operator
Client
Contractor
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4.3.4 Data Collection
This section describes what research data was collected at The Sør-Trøndelag University College.
4.3.4.1 Interviews
The following table gives an overview of the interviews that were conducted during the site visitation
at Sør-Trøndelag University College. The names and roles of the interviewees are listed, as well as the
purpose of the interview, when it was conducted and the duration of the interview. All interviews,
except the one with Per Aksel, were carried out at Statsbygg‟s/Betonmast‟s office at the construction
site. The interview with Per Aksel was conducted at Statsbygg‟s headquarters in Oslo at Biskop
Gunnerus Gate 6.
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4.3.4.2 Observations
Table 18 shows an overview of the different observations that were made at Sør-Trøndelag University
College during the site visitation. A brief description of each observation is listed as well as the
purposes, date and duration of each event.
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4.3.4.3 Documents
The table below gives an overview of the documents that were provided for the study by the project
manager at Sør-Trøndelag University College. The table gives a brief description of the documents,
purpose of collection and the date when each document was made available.
Granted
Document Description Purpose
access
Microsoft Project plan that gives Gather information about the
Progress Plan an overview over HiST‟s main planning, scheduling and control 6.10.2014
progress plan. process, method and tools.
Decision Plan from meeting
Gather information about the
between the client and contractor,
Decision Plan planning, scheduling and control 28.11.2014
set up in a Microsoft Excel
process, method and tools.
Worksheet.
Power Point Gather information about the CL
Presentation of the CL‟s project
Presentation - and their different contract and 28.11.2014
management plan.
Per Aksel project strategies.
Gather information about the
contract and project strategy as
Power Point Basic facts about the project.
well as further information about
Presentation - Presentation of the CL‟s project 28.11.2014
the planning, scheduling and
Kristin Juul management plan.
control process, method and
tools.
Gather information about the
Minutes of Minutes (action list) from design
planning, scheduling and control 28.11.2014
meeting meeting saved as a PDF file.
process, method and tools.
Get an insight into the
cooperation between the client
Comments from the CL's PM‟s on
Minutes with and contractor. Gather
different contents of minutes via 28.11.2014
comments information about the design and
E-mail.
planning process, method and
tools.
Table 19 - Documents, Sør-Trøndelag University College.
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4.4 Case 2: Norwegian University of Life Sciences
4.4.1 Background
NULS is a restoration project of a 115 years old university building with a total area of 8.000 m2. This
project is located at Olav Sverres plass 1, Ås. The building is under the protection of The Cultural
Heritage, which applies to the exterior, interior and surrounding garden. The project has been on
Statsbygg‟s assignment list since 2004. The first pilot project was ready in 2007, but was not approved
by the Ministry of Finance. A new proposal was submitted in 2009 and in 2013 they got the initiation
grant. The project finish date is 1st of January 2016. In December 2014, during the site visit to STUC
and data collection the project was passsed the detailed design and in the construction phase.
65
4.4.3 Organizational Chart
The figure below is a simplified organizational chart for the organization of the main stakeholders at
The Norwegian University of Life Sciences. The figure is presented to illustrate the interfaces between
the main stakeholders examined in this study, namely:
In Appendix C, section 8.3, the original organizational chart for The Norwegian University of Life
Sciences may be found.
Authorities
User
Owner
Operator
Client
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4.4.4 Data Collection
This section describes what research data was collected at The Norwegian University of Life Sciences.
4.4.4.1 Interviews
The following table gives an overview of the interviews that were conducted during the site visitation
at The Norwegian University of Life Sciences. The names and roles of the interviewees are listed, as
well as the purpose of the interview, when it was conducted and the duration of the interviews. All
interviews were carried out at the CL‟s and CON‟s office at the construction site.
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4.4.4.2 Observations
Table 21 shows an overview of the different observations that were made at The Norwegian
University of Life Sciences during the site visitation. A brief description of each observation is listed
as well as the purposes, date and duration of each event.
68
4.4.4.3 Documents
The table below gives an overview of the documents that were provided for the study by the project
manager at The Norwegian University of Life Sciences. The table gives a brief description of the
documents, purpose of collection and the date when each document was made available.
Granted
Document Description Purpose
access
The PDF file describes how the
Gather information about how the
Lean - CL wishes to use Lean in their
CL wishes to use Lean in their 10.12.2014
Interaction projects and specific goals for
projects.
Lean at Urbygningen.
Invitation to
General information about the Gather information about the
Bids -
assignment and requirements for tendering method and contract 10.12.2014
Competitive
the bid. strategy.
Bidding
Progress plan set up in Microsoft
Gather information about the
Excel where the project is divided
Progress plan planning, scheduling and control 10.12.2014
into control areas and daily based
process, method and tools.
activities.
Action list set up in Microsoft Gather information about the
Action List -
Excel used in design team planning, scheduling and control 15.12.2014
design team
meetings. process, method and tools.
Action list set up in Microsoft
Gather information about the
Action List - Excel used in design meetings
planning, scheduling and control 15.12.2014
design meeting with the design team, client,
process, method and tools.
contractors and other parties.
Minutes from construction Gather information about the
Minutes of
meeting with the CL, CON and planning, scheduling and control 15.12.2014
meeting
DT. process, method and tools.
Gather information about the
PDF document that highlights the
Steering project strategy and the planning,
project objectives, structures and 15.12.2014
Document scheduling and control process,
strategies.
method and tools.
Table 22 - Documents, the Norwegian University of Life Sciences.
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5 Results and Discussion
This chapter presents the results from both case studies. First, the success perspectives of the key
personnel are examined. Second, the objective achievement and influencing factors are presented.
Third, the SWOT analysis of the methods is presented.
The results are sorted according to the methods used in data collection, i.e. interviews, observations
and document analysis. The investigator tried to remain neutral when presenting the findings and only
report what was observed during the investigation. The following results are based on data collected
between the 26st of November and the 15th of December of 2014, with one exception of a document
which was provided in October 2014 (see section 4.3.4 and 4.4.4 for data collection).
What success perspective do the client, contractor and design team have?
5.1.1.1 Interviews
The Client: The PM emphasized the objectives regarding the project delivery (cost, time, quality and
safety) and on the objectives of meeting the needs of the user and operator. She stressed the
importance of involving the future users and owner/operating organization in the planning process to
make sure that their needs were satisfied.
The CL‟s PMA explained that the main objective is to deliver the project on time and within budget.
He explained that the university‟s ambitions are high; to be one of the most attractive schools in the
country. He further explained that the operating organization wants a building which is rational to
operate. He was confident that these goals would be achieved.
The CRE explained that the aim is to meet the project‟s success criteria presented in the project plan.
The main objective is to deliver within the constraints of time, cost and quality.
The Contractor: The contractor‟s PM and DM noted that they had adopted the client‟s objectives for
the project, as described in the tender documents.
The PM, PMA and the DM described that their main objectives were to profit from the project, but
also to deliver the building within the constraints of time and quality, ensure adequate HSE (Health
Safety and Environment) management, and achieve the environmental goals (reduce waste: e.g.
materials and energy)
The PPM was mainly concerned with the time management of the project, to deliver on time.
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The Design Team: The DM explained that the he and the technical subjects had already achieved their
main objective of “selling” their energy concept (passive houses) to the project. This meant extensive
scope changes to the project, but it was accepted due to the need to modernize the project and to meet
new standards regarding energy consumption.
The STE was mainly concerned with productive progress planning, that the activities are done in the
right order.
The ARC explained that he and his firm could easily score higher financially if they wanted. However,
that was not their main objective. Their main objective is to design a building that satisfies the user.
5.1.1.2 Observations
Both the client and the contractor were concerned with HSE.
The client: The CL included representatives from the user and the operating organization in several
meetings. In fact, specific user/operator meetings (triangle meetings) are arranged every 2nd week to
make sure that their needs are being met. The PM noted several times during the meetings that the user
(e.g. lab equipment) and operator (e.g. energy costs) needs must be taken into account. Both PM and
PMA were concerned with significant delays regarding the construction progress.
The Contractor: During the observations it became clear that the success perspective of the contractor
was related to the achievement of the project outputs. The contractor was concerned about the delays
in construction and was seeking to find ways to get back on track. The contractor‟s PM and PMA
noted that they were missing some drawings from the ARC and decisions from the user coordinator to
be able to make adjustments to the progress plans. The contractor was also concerned about contracts
with (and involvement of) subcontractors and suppliers to ensure no further delays in construction.
The Design Team: During the design meeting the designers discussed their design with inputs from
the CL and contractor, as well as the user and operator representatives. The designers were concerned
with what tasks they should perform next and what description they should rely on during design. The
designers were mostly concerned with the project outputs (time, cost and quality).
5.1.1.3 Documents
The client: In the detailed presentations of the project plan which include comments from the PM and
PMA the following objectives of the CL appeared several times:
Operational goals (the project outputs): Time, cost, quality and HSE.
Tactical goals (the project goal): Satisfying the user (students and staff) and owner/operator.
Strategic goals (the project purpose): The University‟s objective of becoming a leading,
regional and national, venue for engineering and science education by cooperating with other
higher educational institutions and the economy.
Environmental goals: reducing energy waste, use environmental friendly materials, and
recycle the wastes during construction.
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The Contractor: In the CL‟s PM presentation of the project plan it is described that the contractor
guarantees the implementation of the project. It is described in the CL‟s PMA presentation of the
project plan that the contractor got the job based on price (lowest bid). It is further explained that the
contractor has the total responsibility for the design and construction. In the meetings minutes the
contractor was very concerned with price (minimize isolation, drop specific course for staff). The
contractor focused on the basis for the design (asked the CL and designers to make clarifications). The
contractor asked for comments from the CL and design team regarding the progress plan. The
contractor was also concerned with HSE.
The Design Team: By reviewing the meeting minutes it became evident that the designers were
mainly concerned with what to deliver and when (time, cost and quality). The CL, users and operator
were usually the ones assisting the designer to know what to deliver and the contractor decided when.
The designers, both architects and engineers, took the user and operator needs into account, even
planned specific meetings with them to clarify design details. This was mainly due to poor
descriptions in the project/tender documents.
5.1.1.4 Summary
The table below shows the main success perspectives of the client, contractor and design team
depending on the source of evidence from case 1.
When the word mainly is placed before a specific success perspective it implies that the interviewee
also saw success from other perspectives, but did not emphasize or explain those thoughts any further.
Source of
Client Contractor Design Team
evidence
PM: Operational and PM: Mainly operational STE: Mainly operational
tactical PMA: Mainly operational DM: Mainly operational
Interviews PMA: Operational and DM: Mainly operational ARC: Mainly tactical
tactical PPM: Operational
CRE: Mainly operational
Operational and tactical Mainly operational Mainly operational
Observations
Operational, tactical and Mainly operational Mainly operational
Documents strategic
Table 23 - Success perspectives: Case 1
5.1.2.1 Interviews
The client: The PM explained that the main objective is to finish the project on time, but also within
cost and to the right quality. He emphasized the importance of satisfying the users, operating
organization and owner during the design phase, as well as taking the demands from the Cultural
Heritage into account.
The DM explained that it is his responsibility to guide the design team, to make sure that they deliver
on time, within cost, and to the right quality. He explained that wants and demands of The Cultural
Heritage and the user were taken into account in the design phase. He was also concerned with HSE.
72
The Contractor: The PPM explained that his goal was to implement the project with the least risk and
to minimize the cost and to reduce the duration. He emphasized the importance of doing work in a
rational order. He noted that he sometimes felt that the CON was more concerned with the efficiency
of the project‟s outcomes than the CL.
The Design Team: The DTC explained that his biggest concern is the management of resources
within the design team. He explained that he bases his delivery plans on the contractors progress plans
to be able to deliver the right drawings on time. He noted that it is the CL‟s responsibility to
communicate with The Cultural Heritage and the user, to ensure that their needs are being met. The
design team‟s only interface is with the CL.
The ELE noted that the project has many goals. First he mentioned the goals of delivering a building
that satisfies the user and operator, within budget, on time and which fulfills the demands of The
Cultural Heritage. He noted that the CL is their DT‟s customer, so they don‟t interact with the user,
operator or Cultural Heritage directly themselves. He was mostly concerned with delivering drawings
to right quality and on time. He explained that they use the progress plan to know “when” to deliver
and the documents form pilot project to know “what” to deliver.
The HVE explained that his objectives are to deliver the drawings on time and to the right quality. He
noted that the contractor‟s progress plan controls when he delivers the different drawings. He
explained that both the user and The Cultural Heritage had come with unpredictable requirements and
that it was time consuming to get feedback from them and the CL regarding the design.
The ARC explained that their main goal is to deliver the required drawings on time with as few errors
as possible. She explained that to be able to meet all the deadlines they have been working a lot of
overtime. Time was of most importance in her opinion, not a big issue to go over budget.
5.1.2.2 Observations
The client: During the 8 weeks meeting the DM was concerned with the progress plan, what tasks
were critical to maintain a steady progress, what procurement orders need to be placed in time etc.
During the construction meeting the CLF addressed the HSE management and progress regarding the
design and construction.
The Contractor: The contractor was mainly concerned with the construction progress and the design
tasks which could influence the construction progress in the near future. For example the PPM noted
that the tasks which are performed first out on the construction site (e.g. wall: frame first, then boards)
must be a priority of the design team when the produce work drawings.
The Design Team: During the design meeting the DTC was concerned with making certain drawings
ready for specific procurement orders, due to long delivery time. He was concerned about the drawing
delivery status: what was delivered last week, what must be delivered this week and what should be
the focus for the next week.
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5.1.2.3 Documents
The client: In the project plan the project goals are listed. These goals are divided into four categories,
presented in the following order: strategic, tactical, operational and environmental goals.
The strategic goals (the project purpose) are the Universities goal of being a high level
educational institution within life sciences veterinary medicine and to preserve the cultural
heritage of the building.
The tactical goals (the project goal) are the goals concerning the users, both students and staff.
These goals imply that the building should be suitable for teaching and learning.
The operational goals (the project outputs) are the criteria for the project implementation. The
following order shows the priorities among these goals: cost, quality and functionality, and
progress and time.
The environmental goals are defined as reducing energy waste, preserving the building, use
environmental friendly materials, and recycle the wastes during construction.
The Contractor: In the project plan it is noted that the contractor has agreed to deliver the project to a
specific date. In that same document it is noted that the contractor is responsible for the progress
planning in the construction phase.
The Design Team: In the project plan it is noted that the project team work on an hourly rate. Their
reports must show what they deliver vs. what they bill. The design team is responsible to make a
detailed progress plan in cooperation with the contractor. The project plan also describes to what
quality the design team should deliver the building (e.g. use traditional materials).
5.1.2.4 Summary
The table below shows the main success perspectives of the client, contractor and design team
depending on the source of evidence from case 2.
When the word mainly is placed before a specific success perspective it implies that the interviewee
also saw success from other perspectives, but did not emphasize or explain those thoughts any further.
Source of
Client Contractor Design Team
evidence
PM: Operational and PPM: Mainly operational DTC: Mainly operational
tactical ELE: Mainly operational
Interviews
DM: Operational and HVE: Mainly operational
tactical ARC: Mainly operational
Observations Operational Operational Operational
Operational, tactical and Operational Mainly operational
Documents
strategic
Table 24 - Success perspectives: Case 2
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5.2 Objective Achievement and Success Factors
This section addresses the findings relevant to research question 1 b) and c), which are defined as
follows:
b) Do the projects achieve the objectives (criteria) for planning, scheduling and control?
c) What factors influence the achievement of the objectives (criteria) for planning, scheduling
and control?
The following table shows how the projects will be evaluated, in regard to objective achievement for
planning, scheduling and control. As previously explained, scheduling is just one part of the planning
effort and have therefore been merged together as shown in the table below, due to similar objectives
described in section 2.2.1.5 and 2.2.2.5. The objective achievements and the influencing factors are
addressed as they appeared in each project in the order of the objectives listed in the table below.
Evaluation
Objective Description
question
Understand the Goals Know what needs to be done Do the planners know what
to accomplish the project needs to be done to accomplish
goals. the project goals?
Reduce Uncertainty Reduce and reveal Do the planners take actions to
uncertainty. reduce and reveal uncertainty?
Apply Realistic Estimates Apply realistic schedule and Do the planners apply realistic
Scheduling
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5.2.1 Case 1: Sør-Trøndelag University College
In this section the objective achievements and influencing factors of this case study are presented.
Objective Achievement
Interviews: CL and the CON explained that they had a series of meetings in the beginning of the
project to clarify strategies regarding project budgets, progress, project assurance and expectations of
each other and to the project.
The CL explained that to accomplish the project on time, within cost and to the expectations of the
user/owner/operator, commitment to planning, stakeholder involvement, and good organization is
necessary. To support this they sponsored a Lean course for the CON and the design group. They were
not convinced that the CON felt the need for Lean thinking and they realize that they couldn‟t force
them to apply it. They were not satisfied with the CON‟s planning and organizing. The CL had the
feeling that the CON didn‟t fully understand how extensive and demanding the project was and what it
really meant to build for a public client.
The CON explained that to accomplish the project goals the basis for design must be clear. Also, they
must have the freedom to deliver the functionality as they feel best (within the constraints of time, cost
and quality as described in tender/project documents). To accomplish their own main goal (profit from
the project) they must achieve functionality in the cheapest possible way. They explained that the key
to profit is good planning. Stakeholder involvement (e.g. subcontractors) and cooperation is also of
great importance to accomplish the goals.
The DT explained that to be able to accomplish the project goals, the basis for design must be clear
and the organization (coordination) must be good so they know what and when to deliver. The ARC
also emphasized the importance of satisfying the user needs by involving the user. The DM explained
that to accomplish their own financial goals (already accomplished) they needed to sell their product
(concept of passive hose/ceiling).
The engineers believed that the implementation methodology has changed for the better after the Lean
course, but compared to Lean thinking they noted that the management was still far off. They felt that
this project used a very traditional implementation approach.
The DT and the CON noted that the basis for design was unclear and contained contradictions. They
were therefore uncertain of what to deliver. They noted that the CL and the user have during the past
10 years formed many thoughts and expectations of the project which are difficult for them to fully
obtain. The CON and DT have only been involved in the project for less than a year which is a very
short time compared to the user and CL.
The CON and DT also noted that the interface between the CL, user and operator was unclear. The CL
also noted that they were trying to make those interfaces clearer to prevent misunderstandings.
76
Documents: See section 5.1.1.3. In the CL‟s PMA‟s presentation on the project plan it is described
what the project must succeed with in order to achieve its overall goals:
CSFs that were mentioned are: management, organization, information flow, responsibility, and
surroundings.
Influencing Factors
The table below illustrates what factors influenced the achievement of Understand the Goals.
Source of
Factor Description
evidence
Commitment All interviewees noted the importance of good planning. However, Interviews,
to planning commitment not visible at the project. Observations
Motivation Different success perspectives among planners. Aim at own goals Interviews,
rather than focusing on the same project goals. Observations,
Documents
Tendering Only based on price: lowest bid got the contract. CON focuses on Interviews,
method profit. The DT consultants hired by the CON: Own interests dominant. Observations,
Documents.
Organizing Old pilot project documents caused conferment among the CON and Interviews,
skills DT. The basis for design was unclear. Documents
Client‟s The interfaces between the CL, user and operator/owner not clear. Interviews
ability to
define roles
Table 26 - Factors Case 1: Understand the Goals
Objective Achievement
Interviews: The CL explained that they studied the ground at the construction site on forehand to
reduce uncertainty in the ground works. The CL noted that they included cost contingency in their
budget estimates, e.g. for unforeseen circumstances in the groundwork (old oil tank in the ground).
The CON, on the other hand, requested additional funding to finish the sheet and pipe piling during
the ground works, because of uncertainty. The CON and CL explained that they perform uncertainty
analyses together every 3rd month to identify and reduce uncertainty.
The interviewees explained that the project needed modernization due to the long project lifetime,
causing scope changes and much rework for the DT. The interviewees noted that they use BIM
modeling to reveal and reduce uncertainty during design and construction.
Observations: During the clients meeting the CL and CON discussed potential actions to remove an
old oil tank in the gourd. Sampling had shown that the soil was contaminated. They also discussed the
effect vibrations from the ground works could have on nearby buildings and what actions could be
made if cracks would appear. The BIM Model was used during the design meeting to view specific
design features. The model was not complete yet.
77
Documents: In the CL‟s PM‟s presentation on the project plan the main project uncertainties are
described as contaminated soil due to an old oil tank as well as vibration from the ground works. In the
same document the CL explained their main uncertainty management principles, which are divided in
to two processes. Between the two processes decisions are made. The processes are:
In the CL‟s PMA‟s presentation on the project plan it is described that in the programming phase the
plan for uncertainty analysis is made and then performed in the pilot project by the CL before the
tendering. Tools such as S-curve and tornado diagrams were applied in the analysis.
Influencing Factors
The table below illustrates what factors influenced the achievement of Reduce Uncertainty.
Source of
Factor Description
evidence
Commitment The CL had made effort to reveal and reduce uncertainty on forehand. Interviews,
to planning The CON requested additional funding due to uncertainty in the Documents
ground; did not show the same planning effort as the CL.
Project- Unpredictable conditions of an old oil tank in the ground, Interviews,
related factors contaminated soil, and the effect vibrations from the ground works Observation,
could have on nearby buildings. Documents
Political Political environment affected the long project lifetime and the need Interviews
environment for modernizing the project; rework and scope changes.
Table 27 - Factors Case 1: Reduce Uncertainty
Objective Achievement
The interviewees noted that the CON only got 5 weeks to prepare the project schedules and documents
after getting the contract. That resulted in ill-defined plans and project documents. The CL regrets not
giving the CON more for planning.
The CON and the DT explained that the DT gets the opportunity to review and comment on the
drawings delivery plans and suggest realistic deadlines. Subcontractors and suppliers also get the
opportunity to comment on production and delivery dates relevant to the construction works to make
sure that the work can be performed on time.
The DT noted that they will use more time than planned to complete the design due to changes and
modifications to the project. They explained that much rework has been done already.
Observations: During the meetings the planners noted that they were repeatedly going back to the
pilot project instead of focusing on the detailed design due to design and scope changes. This affected
the progress and budget estimates of the DT and CON.
Documents: By reviewing the meeting minutes the investigator noted that many decisions and actions
exceeded the original deadlines listed in the minutes.
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Influencing Factors
The table below illustrates what factors influenced the achievement of Apply Realistic Estimates.
Source of
Factor Description
evidence
Commitment Too short time set aside for planning. Project documents and Interviews,
to planning schedules not completed on time. Decisions and actions exceed Documents
original deadlines.
Feedback The DT and relevant stakeholder get the opportunity to influence the Interviews
capabilities deadlines a few weeks ahead of time.
Project- The DT and CON noted that design and scope changes affect their Interviews,
related factors progress and budget estimates. Observations
Table 28 - Factors Case 1: Apply Realistic Estimates.
Objective Achievement
Interviews: The CL explained that they have used resources to assist the contractor to improve the
progress planning and scheduling (not the norm in design and build projects). The CL also invited the
contractor to a Lean course, hoping to change the way they think about progress and how to plan in
general, so they can finish the project on time. The CL noted that the CON needs to put more
resources to management. The CL noted that they feel that their hands are tied due to the contract
form. They would like to have greater impact on planning efficiency.
The CON‟s PMA explained that he was an extra resource added to the project afterwards but there are
still barely enough executives on site. The CON‟s PM explained that there is great need for a person to
control the logistics (almost no storage space) on site. This assignment has been added to the
organizational chart but they have not hired a person for the job yet. The CON explained that they use
a lot of resources to ensure their own profit from the project. They explained that they involve relevant
stakeholders 2 and 4 weeks (sometimes also 8 weeks) before they start their work on site to give them
the opportunity to influence the progress plan for construction.
The DT and the CL noted that the design meetings are way too long (5-6 hours) and both ineffective
and very expensive (up to 20 participants). The DT noted that far distances between the different
design agencies affects cooperation between the designers. More interdisciplinary cooperation was
preferred by them. They noted that the design meetings are usually the only place where they all come
together. Some of them have the chance to meet in between the meetings.
Observations: The investigator noticed during the observations that the meetings were often poorly
structured with unclear agenda. The design meeting in particular was very long (4 hours) and included
many participants (16 people), many of which only a few topics were relevant for. It was discussed
during the design meeting that the efficiency of the meetings should be improved by applying more
task meetings.
Documents: In the presentation on the project plan it is described that a drawback with design and
build is that the CL doesn‟t have the ability to influence solutions in a great extent.
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Influencing Factors
The table below illustrates what factors influenced the achievement of Improve Efficiency.
Source of
Factor Description
evidence
Commitment Not enough resources have been allocated to planning by the CON. Interviews,
to planning The CL has assisted them in the planning process. Observations
Tendering The CL is very restricted to the CON‟s expertise due to the contract Interviews,
method form. Documents
Organization The organization of meetings, design meetings in particular, is Interviews,
skills ineffective and expensive. Observations
Coordination The DT is not well coordinated; too few occasions to discuss design Interviews,
skills matters. Observations
Table 29 - Factors Case 1: Improve Efficiency.
Objective Achievement
Interviews: The interviewees explained that they use the progress plan as well as the decision plan and
drawing delivery plan as a basis for monitoring and control. They also noted that it is the CON‟s
responsibility to make the plans for design and construction.
The CL noted that the decision plan and the drawing delivery plan were not ready when the design
process started and there still is no baseline for the design. The CL and the user have requested a more
detailed decision plan from the CON, which looks further ahead in time. Also, the CL explained that
they did not get the baseline for production until four months after the construction works started.
They have used the last four months to get a satisfactory quality plan from the CON. The CL noted
that they have still not gotten a progress plan which they are satisfied with. The CL can only point out
what is missing in regard to the requirements listed in the contract.
The CL and the DT noted that the plans are not linked together and that the construction and design
process are not integrated. The Engineers noted that to be able to control their man-hours and progress
they have calculated and made their own progress plans for design and production (installing technical
equipment).
Observations: The decision plan and action lists were applied during meetings. It happened several
times during the meetings that participants asked “are those things clarified?” or intended to discuss
tasks that were already clarified.
Documents: The main progress plan, made in Microsoft Project, shows the estimated start and finish
dates for the main construction activities. It is based on the stages with in construction phase, e.g.
groundwork, piling, concrete works and so on. The individual activities in the plan are very extensive,
spanning over long time periods without further breakdown (often 40 days or more).
The only three parameters that the action list provided was when a task was first considered, who is
responsible and a deadline for clarification. Within some tasks, comments such as “very urgent”,
“priority” or “OK” were written in a chaotic way, within the same column where the deadlines are
listed. The decision plan had more parameters but was lacking measurements such as priority, whether
things are in progress or not and to summarize “clarified/not clarified”.
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Influencing Factors
The table below illustrates what factors influenced the achievement of Establish Basis for Control.
Source of
Factor Description
evidence
Commitment The basis for measuring and control was inadequate. Plans either Interviews,
to planning insufficient or not existing at all. Observations,
Documents
Planning The CON struggled to establish a sufficient basis for monitoring and Interviews,
skills control. Plans not linked together. Design and construction not Observations,
integrated. DT relied on own plans rather than the CON‟s plans. Documents
Tendering Again, the CL is very restricted to the CON‟s expertise due to the Interviews,
method contract form (design and build). See section 5.2.1.4. Documents
Table 30 - Factors Case 1: Establish Basis for Control.
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5.2.1.6 Determine Project Status
Are the planners able to measure and determine the current status of the project?
Objective Achievement
Interviews: The interviewees noted that they measure and determine the project status by comparing
actual performance to the production progress plan for construction. They also noted that they have
good control over their finances, by comparing actual costs to their budgets and financial estimates.
The design progress is controlled by the drawing delivery plans; work drawings ready for the
construction works. The interviewees noted that they use monthly reports to evaluate and update the
projects status. The DT delivers their reports to the CON, the CON to the CL, and the CL to their
upper management executives.
The DT‟s DM noted that he measures and determines performance by using his own progress plans.
The CL and the CON noted that they are 6 weeks behind schedule, by comparing actual performance
to the production progress plan.
Documents: The decision plans and action list do not have sufficient parameters to measure and
determine the status of the project. The main progress plan, made in Microsoft Project, shows the
estimated start and finish dates for the main construction activities. By reading the plan one can see
that they are more than a month behind schedule in construction. No resources where measurable in
the plan.
Influencing Factors
The table below illustrates what factors influenced the achievement of Determine Project Status.
Source of
Factor Description
evidence
Commitment Compare actual performance to construction progress plan and Interviews,
to planning budgets. Not able to measure the current status of the design. Documents
Planning skills The CON explained that they were inexperienced and still learning Interviews
how to apply the planning tools and methods.
Control of The planners did not measure the performance of subcontractors Interviews
subcontractors‟ works.
works
Table 31 - Factors Case 1: Determine Project Status.
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5.2.1.7 Evaluate Performance
Do the planners know the reason for delays and cost overruns? Do they have a plan of action?
Objective Achievement
Interviews: The CL explained that the CON blames the unforeseen circumstances in ground for the
current delays. The CL on the other hand thinks that safeguards should have been made in the
planning, since those “unforeseen” were described in the tender documents.
The CON‟s PM noted that there can be many and complicated reasons for delays. However, one must
take into account that bad decisions and/or poor planning are often among those reasons. He noted that
if one is behind schedule it usually also means that one has to spend more resources. The CON noted
that the subcontractors control their own workers and resources. The CON explained that they do not
have much experience using the planning tool Microsoft Project and now understand the importance
of defining the critical path to be able to locate slack in the plans. They also noted that they don‟t use
features such as assigning resources or man-hours to the progress plans in Microsoft Project. They use
separate worksheet in Excel for calculating and controlling their resources and man-hours for their
own workers.
The CL has requested a plan of action form the CON in regard to how they are going to get back on
track. The CON noted that they will gather forces with their subcontractors to try find a solution to the
problems. They were also trying to locate slack in the progress plans.
Observations: During the Clients meeting The CON was not able to answer the CL in regard to how
they were going to get back on schedule. They were having trouble finding slack in the plans and
noted during the meeting that they felt that they were tight on resources.
Documents: There are no parameters in the decision plan, action list or progress plan that can
determine the reason for something not taking place on time. No resources are being managed in the
main progress plan.
Influencing Factors
The table below illustrates what factors influenced the achievement of Evaluate Performance.
Source of
Factor Description
evidence
Commitment Due to the lack of basis for monitoring and control the planners were Interviews,
to planning not able to determine the reason for delays. Observations,
Documents
Planning The CON had problems finding the critical line and slack in the plans. Interviews,
skills Observations,
Documents
Table 32 - Factors Case 1: Evaluate Performance.
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5.2.1.8 Manage Actual Changes
Do the planners correct and update the plans? Is the plan of actions activated?
Objective Achievement
Interviews: The interviewees explained that they constantly update the project plans, via meetings, e-
mails and other communication forms. Additions and changes are managed through change
notifications.
Both the CL and the CON noted that a drawback with a design and build project is that additions and
change notifications can easily create a small war between the two parties. In fact, the CL noted that it
felt as if they had been fighting from day one. They see a difficult process ahead for solving several
problems in terms of the contract with the CON. The CON explained that additional cost falls either
on them, the CL, or the subcontractors. How to split the cost depends on who is responsible for the
delays or cost overruns.
The CON‟s plan of action to get back on track was not ready and could therefore not be activated.
Observations: During the clients meeting the CL frequently asked the CON if they understood what
was requested of them. The CL also asked about the plan of action and noted that the CON needs to
update the progress plans. The decision plan and action list were updated during some of the meetings.
Influencing Factors
The table below illustrates what factors influenced the achievement of Manage Actual Changes.
Source of
Factor Description
evidence
Commitment to The progress plan was not updated frequently enough. No real plan Interviews,
planning of action yet to get back on track. Observation
Communication The communication between the CL and the CON been difficult Interviews
from the start.
Cooperation Cooperation not based on trust and understanding Interviews,
Observation
Tendering The CL and CON have been “fighting” from the start regarding Interviews
method changes and additions to the contracts.
Table 33 - Factors Case 1: Manage Actual Changes.
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5.2.1.9 Summary
The table below shows the main results regarding how well the objectives were met at case 1 and what
influencing factors affected the achievement of the objectives for planning, scheduling and control.
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5.2.2 Case 2: Norwegian University of Life Sciences
In this section the objective achievements and influencing factors of this case study are presented.
Objective Achievement
Interviews: The planners emphasized the operational project goals and had clear plans on how to
accomplish those goals. Time was a priority of most interviewees due to tight schedules.
The interviews explained that the CL, CON and DT had a three months interaction phase before the
construction work started, reviewing critical areas and trying to locate the optimal solutions. However,
some of the interviewees noted that they didn‟t think that this opportunity was fully utilized.
The CL noted that they included the user, operator and owner as well as The Directorate for Cultural
Heritage throughout the project to make sure that their needs were met. The CL also noted that to
achieve the shortest possible construction time and to do work in a rational order they insisted that the
CON and DT applied a Lean methodology for both design and construction.
The PPM noted that to achieve the operational goals the CON focuses on reducing waste during
production by doing the activities in a rational order and by removing obstacles before they occur.
The DT explained that to achieve the operational goals they must follow the drawing delivery plans
and try to stay within their budgets.
Documents: See section 5.1.2.3. The interaction phase is described in the Lean Interaction document
as well as in the Invitation to Bids document. The purpose of the interaction phase was to form the
final meeting structures for the project as well as the communication lines, organization and
production progress.
The intention of applying Lean is described in the Lean Interaction document as to clarify contract
terms, descriptions and project phases, but also the will, objectives and intention of all the parties
involved within the project. In that same document success criteria for project management were
defined, for example: Proper and rational organization, adequate staffing and expertise at all
organizational levels.
In the project plan a list of CSFs were defined as follows: Scope clarification, contract with the DT,
clarification on cultural heritage matters, good user communication, meeting user needs, replacement
property (during construction), good knowledge of the building's condition, organizing and control,
progress planning and coordination, interdisciplinary control, roles and responsibilities and how to
handle change.
It is described in the Invitation to Bids document that the contract with the DT and CON are evaluated
on both price (65%) and expertise of key personnel (35%).
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Influencing Factors
The table below illustrates what factors influenced the achievement of Understand the Goals.
Source of
Factor Description
evidence
Commitment The participants were committed to planning. Interviews,
to planning Observations,
Documents
Motivation Different success perspectives among planners. However, they aimed Interviews,
at the same project goals. Observations,
Documents
Tendering Ensures expertise of key personnel. Documents
Method
Table 35 - Factors Case 2: Understand the Goals
Objective Achievement
Interviews: The CL and the CON explained that before the detailed design and construction phase
they implemented a demolishing phase to reveal and remove uncertainties. They now see that they
failed to reveal many critical design features of the old building. The PPM noted that many interfaces
between demolish contractor and general contractor were not clarified and they did not involve a
person with construction expertise in the demolition phase, as he had recommended on forehand. Due
to this the uncertainties are reveled in the construction phase instead which then causes rework for the
designers and delays in construction. The PPM noted that this is a very expensive way to produce. In
his mind the construction works started too early, before the uncertainties were revealed and the
design was ready. The interviews explained that due to the long project lifetime modernization of the
project was needed, causing rework for them.
The DT noted that the unforeseen events from the construction site affected them a great deal and
caused much rework for them.
The interviewees noted that they use BIM modeling to reveal and reduce uncertainty during design
and construction.
Observations: During the Construction site tour the investigator was shown some unexpected design
features of the old building which had been revealed during the demolishing phase and/or the
construction phase, e.g. the roof structure and aspects of the basement/groundwork. The construction
workers had access to 50” led screens at each floor of the building, where they could access the BIM
Model to view specific design features.
Documents: It is described in the project plan that the demolishing phase should take place as early as
possible in parallel with detailed design phase to identify and remove uncertainties regarding the
building's condition and hidden elements. The main uncertainties identified in the project plan as:
Ground conditions and foundations, market uncertainty, roof insulation, Lean in the construction
phase, shifting project managers, and delays with recruitment of contractors.
Regular uncertainty analysis throughout the project described in the project plan. It is explained that
they apply tornado diagrams and uncertainty matrix among other tools in their uncertainty analysis.
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Influencing Factors
The table below illustrates what factors influenced the achievement of Reduce Uncertainty.
Source of
Factor Description
evidence
Commitment The CL and CON showed effort to reveal and reduce uncertainties. Interviews,
to planning The CL failed to follow PPM recommendations, some critical Observations,
elements not revealed. Documents
Project- The old building‟s design features were unpredictable. Interviews,
related factors Observations,
Documents.
Political Political environment affected the long project lifetime and the need Interviews
environment for modernizing the project; rework and scope changes.
Table 36 - Factors Case 2: Reduce Uncertainty
Objective Achievement
Interviews: The CL‟s PM explained that their initial progress estimates for the construction phase
were mainly based on their own experience, but with indications form a Porsche Consulting seminar,
where the project was planned on forehand. They now see that those estimates were too optimistic.
The PM intends to include a professional progress planner in his next project in the detailed design
phase to get more realistic estimates for the construction duration.
The interviewees noted that the CON has set up a very good progress plan, but the CL has been
pushing the time limits and tolerates too little slack which is necessary to include in this kind of
project.
The DT explained that they give the DTC feedback on the time estimates for the drawing delivery
plan. They have however failed to predict many (unforeseen) events and have more often than not
established unrealistic time estimates, resulting in additional costs. The DTC noted that it was a
concern of his how unrealistic the designer‟s estimates were, especially the ARC‟s estimates. The
ARC noted the exact same thing, that their estimates had unfortunately always been wrong during this
project. The ELE noted that they apply figures based on experience to calculate their schedule and
budget estimates.
Documents: By reviewing the meeting minutes the investigator noted that some decisions and actions
exceeded the original deadlines listed in the minutes.
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Influencing Factors
The table below illustrates what factors influenced the achievement of Apply Realistic Estimates.
Source of
Factor Description
evidence
Commitment To optimistic estimates. Interview,
to planning Documents
Feedback The DT‟s feedback was not something the DTC could rely on. Interview
capabilities
Project- Unforeseen events affected the planner‟s estimates. Interview
related factors
Table 37 - Factors Case 2: Apply Realistic Estimates.
Objective Achievement
Interviews: The interviewees explained that they use a meeting series of 14, 10, 8, 4, and 1 week
meetings to integrate the design and construction process. These meetings are based on the progress
plan which also serves as the basis for the DTC to form a detailed delivery plan for the DT. The
drawing delivery plan describes what to design and when to deliver the drawings and thus coordinates
the designers. The progress plan serves as the basis to coordinate the construction works, by involving
subcontractors and suppliers 4 weeks in advance to make sure that everything is ready when the
construction works starts in a given area in ”week 0”.
The DT noted that it is mainly the DTC that participates in the meetings, but they are at the office in
case there is something which only they can clarify. It saves them much time; they can work instead of
sitting in the meetings.
The DT noted that the drawing delivery process has been very tight, but they have still not missed a
single deadline. They work much overtime to stay on track (also due to low staffing), resulting in
increased design costs. They explained that exceeding their budget estimates is better than delivering
the drawings too late, since that affects (stops) the construction process which is much more expensive
than the design process.
Observations: The meetings were well structured, right to the point, with clear agenda, usually based
on an action list. An example of a very productive meeting was the 8 weeks meeting: The DT started
with a brief presentation on the main meeting topics. Then the meeting participants (17 in total) were
spread out into relevant workgroups to solve specific tasks. In the end all participants came together
again and a member from each group presented the main decisions or actions to be taken.
Documents: In the Lean Interaction document it is explained that the implementation of the building
will be in takt/flow within predefined control areas. The DT, in cooperation with the CON, should
make a delivery plan in regard to the startup of these control areas. It is described that the 14-10-8-4
and 1 weeks meeting series are intended to coordinate the DT and the CON to ensure the best use of
design and construction resources.
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Influencing Factors
The table below illustrates what factors influenced the achievement of Improve Efficiency.
Source of
Factor Description
evidence
Commitment The participants were committed to planning. Interviews,
to planning Observations,
Documents.
Organization The organization was excellent. Interviews,
skills Observations,
Documents.
Coordination Recourses were coordinated to get work done within the constraints of Interviews,
skills time, cost and quality Observations,
Documents.
Table 38 - Factors Case 2: Improve Efficiency.
Objective Achievement
Interviews: The interviewees explained that the whole planning process is integrated by linking action
and decision lists, as well as the drawing delivery plan, to the main production progress plan made by
the CON. This establishes an adequate basis for monitoring and control, both for the design and
construction process.
The CL explained that decision lists are used to clarify important decisions in regard to interfaces
between the CON and CL, whereas the action lists are applied to design. The action lists cover issues
that must be resolved, someone is made responsible, a deadline is set, and it is determined whether
tasks are resolved or not, “finished”/“not finished”.
The interviewees explained that the main production progress plan is very clear and readable (made in
Excel). The building is divided into control areas which the designers and builders must adapt to. The
DT noted that due to a clear production progress and drawing delivery plan they always know what
drawing to deliver when.
Observations: The meeting room was covered with readable progress plans that displayed the main
progress for each floor of the building. Also, the tables in the meeting room were covered with
drawings of the building. This made the planning more visible.
Documents: The main progress plan provides a basis for monitoring and control, from monitoring an
individual construction worker to determine the whole project status.
The action lists included parameters that could determine: responsibility, registered by whom/when,
priority of task (high, moderate low), deadline, status (closed, ongoing, open), delays (how many task
behind schedule), the date of closing (finished/not finished) and who closed the task.
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Influencing Factors
The table below illustrates what factors influenced the achievement of Establish Basis for Control.
Source of
Factor Description
evidence
Commitment The basis for monitoring and control was very clear. Interviews,
to planning Observations,
Documents
Planning The planners had established a sufficient basis for monitoring and Interviews,
skills control. Good tool for monitoring and control. Observations,
Documents
Table 39 - Factors Case 2: Establish Basis for Control.
Objective Achievement
Interviews: The interviewees noted that they can determine the current status of the project by
comparing actual performance to the production progress plan for construction, since the plans are all
linked together. The progress plan, which is very clear and readable, is divided into small batches
controlled by “finished”/”not finished”, so they can easily see the status of the construction works.
The action lists and the drawing delivery plan also provide similar measurement where the planners
can determine what is done and what is not; “delivered”/”not delivered”. The interviewees also noted
that they compare actual costs to their budgets to see the financial status of the project.
The CL noted that the production progress plan shows that they will deliver the project 6 months after
the original finish date.
The DT noted that they keep the delivery besides them at all times to keep track on the progress.
Observations: During the meetings the planners were constantly evaluating which activities must be
prioritized to be able to keep progress. The plans provided the necessary basis for decision making and
to determine the status of the project.
Documents: The decision plans, action list and the progress plans all provide sufficient parameters to
measure and determine the status of the project, both for design and construction. The progress plan,
made in Excel, shows the progress for the whole building, but also for each floor, production line and
individual activities on a daily basis. The progress plan applies 7 assumptions for controlling
construction works in regard to HSE, quality assurance, preceding activities, work space, equipment,
drawings and materials. It determines whether each activity is on track or not. It calculates how many
man-hours are productive and can tell how many workers are working on site at any given time.
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Influencing Factors
The table below illustrates what factors influenced the achievement of Determine Project Status.
Source of
Factor Description
evidence
Commitment The basis for monitoring and control was very clear; able to measure Interviews,
to planning and determine current project status. Observations,
Documents
Planning skills The planners had established a sufficient basis for monitoring and Interviews,
control Observations,
Documents
Control of Good overview of all construction works (also subcontractors works) Interviews,
subcontractors‟ and designers. Observations,
works Documents
Table 40 - Factors Case 2: Determine Project Status.
Objective Achievement
Interviews: The CL and the DT noted that the delays are due to unrealistic initial progress estimates,
unforeseen circumstances in the old building‟s design and unfortunate design changes and demands
from the user, operator and The Cultural Heritage. The DT noted that the design costs are higher due
to much rework and working much overtime to be able to deliver the drawings on time.
The PPM explained that they do a variance analysis to find the cause of delays: “Why can’t we start
now? What is the reason?”. He explained that they apply seven assumptions/requirements to control
the construction works (see documents below). If these requirements are not fulfilled for a given
construction activity, it is postponed until they have resolved the issue. With other words, they stop the
production if these requirements are not met. The CON also uses these assumptions to identify the
reason for delays and/or cost overruns. The PPM noted that insufficient drawings and description have
been the main reason for delays in construction, wherein the reality differs from what is described in
the drawings (due to unrevealed conditions of the old building). He explained that they can measure
the amount of productive man-hours in the construction works (PPC, see section 2.5.2.3). He noted
that almost none of the production lines had gone as planned. In September they sow (ca. 9 weeks
after the production started) that there were more man-hours left than originally planned.
The plan of action is to postpone the project‟s delivery date according to the production progress
plan‟s time estimates. The CL and the CON want to implement the project in a rational way without
much rework and extra costs. Their plan of action is to stop the production lines when obstacles occur
to prevent more unproductive work.
Observations: During the meetings it was often brought up that either designers or construction
workers were unsure how to perform their work due to unrevealed (or recently revealed) conditions of
the old building.
Documents: The progress plan applies seven assumptions/requirements which the CON uses to
control the construction works. These assumptions are as previously mentioned defined as: HSE,
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quality assurance, preceding activities, work space, equipment, drawings and materials. If any of
these assumptions are not fulfilled the planners mark the relevant requirement as insufficient (e.g.
drawings) and write a short description of what is missing (e.g. drawing incorrect, needs
modification).
Influencing Factors
The table below illustrates what factors influenced the achievement of Evaluate Performance.
Source of
Factor Description
evidence
Commitment Due to clear basis for monitoring and control they were able to define Interviews,
to planning the reason for delays. Observations,
Documents
Planning skills The planners knew how to use the methods and tools to determine Interviews,
reason for delays. Observations,
Documents
Control of Good control of construction and design works: PPC, 7 assumptions, Interviews,
subcontractors‟ drawing delivery, budgets. Observations,
works Documents
Table 41 - Factors Case 2: Evaluate Performance.
Objective Achievement
Interviews: The interviewees noted that they are constantly correcting and updating the project plans,
via meetings, e-mails and other communication forms. They noted that they apply monthly reports to
update the project status. The CL‟s PM noted that they have a weekly status meeting, but he would
like to change it to brief daily status meetings instead. The CL explained that they have set a new
finish date for the project, which is relevant to the updated production progress plan. They aim to
deliver the building ready for use in the 1st of January 2016 (originally in the fall of 2015). Additions
and changes are managed through change notifications. Additions and changes are managed through
change notifications.
The PPM noted that they have a daily discussion with the CL to resolve how to divide additional costs
between them. He explained that they push the disagreements and problems to the surface right away
to prevent major problems and potential lawsuits when closing the project.
Observations: The decision plan and action lists were updated during meetings.
Documents: In the project plan it is stated that the rehabilitation project should be ready for use in the
fall of 2015. However, it is also noted that an alternative is to deliver the project in January 2016, if
that ensures better project results in regard to cost and quality. Parts of the project plan had been
updated (not the part previously mentioned, about the finish date). By examining the progress plans in
Excel it was evident that daily updates were done to keep an overview of the 7 assumptions and the
PPC.
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Influencing Factors
The table below illustrates what factors influenced the achievement of Manage Actual Changes.
Source of
Factor Description
evidence
Commitment to Constantly correcting and updating the plans. Plan B described in the Interviews,
planning project management plan on forehand. Observations,
Documents
Communication The communication between the CL, DT and CON was good. Interviews
Cooperation Trust among CL and CON. Interviews
Table 42 - Factors Case 2: Manage Actual Changes.
5.2.2.9 Summary
The table below shows the main results regarding how well the objectives were met at case 2 and what
influencing factors affected the achievement of the objectives for planning, scheduling and control.
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5.3 Comparing the Methods
This section addresses research question 2 a) and b), where the planning methods are evaluated by
applying a SWOT analysis. The evaluation is based on how capable the methods are to achieve the
objectives of planning, scheduling and control, as well as their ability to deal with the influencing
factors that contribute to the achievement of those objectives. As previously stated, the two methods
examined in this study are:
The objectives for planning, scheduling and control are defined in section 5.2.
As previously explained, the strengths and weaknesses are internal aspects (e.g. capabilities, resources
and processes), whereas opportunities and threats are external aspects (e.g. environment and industry).
One should build on the strengths, eliminate the weaknesses, invest in the opportunities, and identify
the threats. Strengths and weakness are items which one can control, whereas opportunities and threats
are items which one can impact, but not control.
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The table below shows the strengths (S), weaknesses (W), opportunities (O) and threats (T) for the two
approaches examined in this study.
SWOT analysis
Traditional Lean
Objective Lessons learned
approach approach
Understand S: Resources assigned to S: Resources assigned to Lean more favorable.
the Goals clarify goals. clarify goals.
W: Stakeholders emphasize S: Mutual goals; eliminate
own goals. waste.
W: Only few participants S: Everyone assign resources
assign resources to planning. to planning.
Reduce S: CL assigned resources to S: Resources assigned to Similar performance.
Uncertainty reduce uncertainty. reduce uncertainty. Great effort by CL at
W: CON not as committed to W: Capabilities and Process; both projects.
planning (additional funding). failed to reveal uncertainty.
T: Politics (project life time). T: Politics (project life time).
Apply S: Feedback opportunity. S: Feedback opportunity. Lean more favorable.
Realistic W: Capabilities: poor S: PPM‟s capabilities: good
Estimates estimates. progress estimates.
W: CL and DT capabilities:
poor estimates.
Improve W: Coordinating resource: S: Coordinating resources: Lean more favorable.
Efficiency not showing efficient results. overtime, deliver on time.
W: Planning process. S: Planning process.
W: CON: Capabilities and/or S: Capabilities; organization.
commitment lacking.
Establish W: Capabilities/commitment S: Capabilities/commitment to Lean more favorable.
Basis for to planning: plans inadequate. planning: clear control basis.
Control W: Planning process: design S: Planning process: design
and construction not and construction integrated.
integrated.
Determine S: Capabilities: can determine S: Capabilities: can determine Lean more favorable.
Project construction status. project status.
Status W: Capabilities: cannot
determine design status.
Evaluate W: Capabilities: don‟t know S: Capabilities: know reason Lean more favorable.
Performance reason for delays. for delays.
W: Capabilities: Don‟t S: Capabilities and processes:
measure productivity. Measure productivity.
W: Capabilities: No plan of S: Capabilities: Plan of action.
action.
Manage S: Process: Daily updates. S: Process: Daily updates. Lean more favorable.
Actual W: Capabilities and process: S: Capabilities: issues
Changes issues between CON and CL. resolved right away.
Table 44 - SWOT analysis: comparing the methods
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5.3.2 Lessons Learned
The SWOT analysis clearly shows that the Lean approach was more successful in regard to meeting
the objectives for planning, scheduling and control in this study. The only objective which the Lean
approach did not exceed the traditional approach was Reduce Uncertainty. However, it should be
noted that the Lean planners showed extensive effort to reduce uncertainty, but the 115 year old
building was very unpredictable and full of surprises, making the planners look bad.
Since this study only compares two projects one must take into account that the results could have
been the other way around, for example if the planners applying the traditional approach had great
planning skills and the planners applying the Lean approach had little or no planning skills. This
means that one cannot conclude that the Lean approach is more successful that the traditional approach
in meeting the objectives for planning, scheduling and control based on this study alone. However, one
clearly sees the alignment of the study findings to the teachings of e.g. Koskela, Ballard and Howell,
in regard to the weaknesses of the traditional approach and the strengths of Lean Construction.
Every individual who had tried Lean construction stated that they were not interested in going back to
applying the traditional approach of planning, scheduling and control.
In the following sections areas of improvement and possible reason for failure is briefly addressed for
each method.
The CL‟s PM explained that she took over the project from another PM in the summer of 2013. Also
the original DT replaced by another due to the interests of the main CON. It came as a surprise to the
investigator that many of the interviews noted that they did not feel that they were missing any
techniques or tools to maintain sufficient control of the project.
Of Kerzner‟s typical reasons for planning failure (see section 2.2.1.4) the following reasons are
relevant for case 1:
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5.3.2.2 The Lean Approach
Even though the SWOT analysis showed promising results for the Lean approach to build on, many of
the planners noted during the interviews that they were unsatisfied with their performance and did not
feel that they had achieved Lean to the extent they had hoped for. However, in the investigators mind,
this should be viewed differently. In the investigators opinion, it was due to good planning methods
and tools, commitment to planning and sufficient planning skills that the planners were able to identify
the reason for delays and cost overruns. Hypothetically, if they would have applied a more traditional
approach it is likely that they would have achieved an even worse outcome and definitely not been
able to identify the reasons for the delays as precisely as they did by applying Lean, simply because
many of the Lean measuring parameters are not provided in the traditional techniques and tools (even
though the tools are applied correctly). The ELE similarly stated that if they had used a traditional
approach to progress planning and control they would have failed to keep progress.
It was noted by the interviewees that managers had shuffled in and out of the project due to burnout.
The CL‟s first PM had resigned as well as the head ARC. The DT noted that they had been working 2-
3 weekends and most evenings for the past months to be able to stay on track. In the investigators
mind this should be a concern of the executives to prevent further physical or mental collapse caused
by overwork and stress.
Of Kerzner‟s typical reasons for planning failure the following reasons are relevant for case 2
(Kerzner, 2013)
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6 Conclusions
In this chapter the main findings are presented as well as discussing relevant research topics for further
research.
Since scheduling is just one part of the planning effort the two aspects have been merged and will be
referred to as planning in the following presentation. The figure below illustrates the objectives
(criteria) by which planning success can be judged (see description of the objectives in section 5.2). If
these objectives are fulfilled, planning can be viewed as successful. The figure also illustrates what
influencing factors were of most importance for the achievement of these objectives, according to the
study findings.
Influencing Factors
- Commitment to planning.
- Human factor: planning,
organizing, coordination and
motivating skills.
- Motivation: Success
perspectives.
- Tendering method.
- Feedback capabilities.
- Project related factors.
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The figure below illustrates the objectives (criteria) by which successful control can be judged. If these
objectives are fulfilled, control can be viewed as successful. The figure also illustrates what
influencing factors were of most importance for the achievement of these objectives, according to the
study findings.
Influencing Factors
- Commitment to planning.
- Human factor: planning and
cooperation skills.
- Control of subcontractors‟
works.
- Tendering method.
Of the factors which influenced the achievement of the planning and control objectives studied,
commitment to planning can be assessed as a CSF, based on the literature review as well as the study
findings.
One of the main findings of this study is that successful planning, scheduling and control, in the
construction and design phase of construction projects, does not necessarily equal project management
success. With other words, planning, scheduling and control can be sufficient during this phase
without the project being completed on time and within cost. This can also be the other way round,
when planning, scheduling and control is insufficient but the project is still delivered on time and
within cost.
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8 Appendixes
8.1. Appendix A
The interview guide applied during the interviews.
Interview Guide
Project name:
Interviewee:
Comment:
This interview guide is made for a case study research where the aim is to identify the CSFs in
planning, scheduling and control for design and construction projects using either Lean construction
planning systems or traditional project management planning methods. The research focuses on to
demonstration projects provided by Statsbygg, one project that uses Lean construction planning
system and one that use traditional project management planning method. The case study is part of a
master thesis. The following questions were formed to highlight relevant issues. The interview will be
transcribed and sent to the interviewee for approval.
Project strategy:
- How was the project strategy developed?
o What is the main focus?
- Were there made any changes to the project strategy?
o If, yes, what is the main focus?
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Effectiveness:
Stakeholders:
- How do the different stakeholders affect the planning, scheduling and
control?
o Internal/External stakeholders
- What stakeholders are involved in the planning phase?
o How are they involved?
- How are the needs and requirements of the stakeholder met?
- What is done to make sure that the right stakeholders are included?
Tools:
- What tools do you use for planning, scheduling and control at the
stage you in are now?
- How do the tools for planning, scheduling and control help you in this
phase?
- What do the tools plan and/or observe?
o What factors are important for effectiveness when using the
tools?
o What factors are likely to cause delays, cost overrun and/or
other errors?
- Who uses and manages the tools?
Meetings:
- How do you manage your meetings?
o What are the different meeting types?
o How frequently are the meetings?
o How do you handle the minutes from the meetings?
How do document your data?
Motivations:
- Are there any rewards in case of successful planning, scheduling and
control?
o If yes, what are they?
- Are there any penalties in case of delays?
o If yes, what are they?
- What happens if the project goes over budget?
- Are there any other forms of incentives in this phase?
o If yes, what are they?
- What suggestions do you have for incentives that could lead to more
successful project planning, scheduling and control?
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Professional experience:
- What factors are critical for success for planning in this phase?
- What factors are critical for success for scheduling in this phase?
- What factors are critical for success for control in this phase?
The Project:
Other topics?
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8.2 Appendix B
Organizational chart at Sør-Trøndelag University College (not updated).
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8.3 Appendix C
Organizational chart at The Norwegian University of Life Sciences (not updated).
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8.4 Appendix D
Statsbygg´s lifecycle model.
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