A Holistic Model of the Preparation and Use of Construction Specifications and Their Effects on Project Performance

This dissertation, "A Holistic Model of the Preparation and Use of Construction Specifications and Their Effects on Project Performance" by 林俊業, Tsun-ip, Patrick, Lam, was obtained from The University of Hong Kong (Pokfulam, Hong Kong) and is being sold pursuant to Creative Commons: Attribution 3.0 Hong Kong License. The content of this dissertation has not been altered in any way. We have altered the formatting in order to facilitate the ease of printing and reading of the dissertation. All rights not granted by the above license are retained by the author. Abstract: Abstract of thesis entitled "A holistic model of the preparation and use of construction specifications and their effects on project performance" Submitted by LAM Tsun Ip, Patrick for the degree of Doctor of Philosophy at The University of Hong Kong in July 2005 Every construction project has its specifications, which define a major part of the contractual obligations of contractors and communicate the clients' technical requirements in a textual mode. Despite their importance, insufficient attention has been devoted to the production and use of specifications. This has given rise to problems of misinterpretation, lack of coordination, substitutions, lack of enforcement, and non-compliance, resulting in claims, delays, and sub-standard construction. Through two consecutive questionnaire surveys, this study investigated the status of the use of specifications and identified the problems, their causes, and their effects on construction project performance. The first survey, on the use of specifications, was carried out in both Hong Kong and Singapore; while the second survey, on Specification Attributes and Sub-Attributes, was carried out in Hong Kong. Statistical techniques such as Concordance Analysis, Discriminant Analysis, and non-parametric tests were used to identify possible differences between respondent groups. Different classifications and types of specifications were examined, notably Prescriptive Specifications and Performance Specifications, leading to the development of a Generic Framework for Performance Specifications, based on a series of case studies. The study explores the relationships between four Specification Attributes (Technical Contents, Communication Efficiency, Specification Format and Specification Enforcement) and Sub-Attributes and project performance on a perceptual basis, using Regression Analysis and taking procurement approaches into consideration. It was found that the Specification Attributes 'Communication Efficiency' and 'Specification Enforcement' and the corresponding Sub-Attributes 'Clarity', 'Delineation of Responsibilities' and 'Capable of Verification' were strongly correlated with the time, cost and quality performance of construction projects. The essential Sub-Attributes for specifications under contemporary procurement approaches (including Traditional Contracts, Contractor's Design Contracts, Management-led Contracts, Cost-Reimbursement Contracts, Guaranteed Maximum Price Contracts and Public-Private Partnerships) were identified. In particular, Design & Build projects were found to be the most susceptible to specification defects. Based on the validated results of these empirical studies, a Holistic Model for the preparation and use of construction specifications is proposed. The Holistic Model consists of 10 building blocks, i.e. Design Requirements, Procurement Approach, Supply Chain Influence, Specification Type, Specification Writing Process, Problem Mitigation, Use of Specifications, Enforcement of Specifications, Change Management and Life Cycle Applications. This model enables specifiers to focus their attention on aspects of the specification writing task which affect project performance. While previous studies have dealt with discrete aspects of specifications (e.g. technical contents and product decision making), this study lays the found