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Imagine: Deflateables
Get PDFPneumatic structures are thoroughly investigated and developed during the 1960s. However, the energy crisis and aesthetic developments impeded the use of these structures as a mainstream construction method. Nowadays, they are typically used in special areas of architecture and design. Deflateables concentrates on the very limited knowledge of vacuum constructions and develops a range of aesthetic, technical and functional design possibilities.
However, very few designs that use pressurised constructions have actually been realised, even right down to the present day - despite the fact that this technology offers simple, positive aspects: the air pressure of the earth can be used as a stabilising and form-giving parameter, creating a specific and inspiring shape. In addition, the very nature of this technology provides varying degrees of thermal and acoustic insulation. Of course, there are weak points such as potential leakage and the need for high pressurisation of the construction; but new material technologies and specific structural concepts will bring solutions to such issues. Exploiting the possibilities of extremely light and energetically active constructions, deflateables are one of the promising fields of architectural and design developments. The chance to create structures that can move and react to requests such as user and climate requirements, as well as formative demands, lifts this topic onto the level of a realistic and usable technology for as-yet unknown design possibilities. 
Spatial Planning and High-tech Development: A comparative study of Eindhoven city-region, the Netherlands and Hsinchu City-region, Taiwan
Get PDFHigh-tech development–which lies at the very heart of the processes of economic growth–has been recognised by many developed and developing countries as a strategic instrument to enhance and sustain their competitiveness in the global economic network. Although the concept of high-tech development differs between countries, many share the underlying assumption that the core of high-tech development is to create a sound environment where innovation thrives. This ideology implies a definite spatial dimension. As a result, various spatial strategies have been formulated and implemented to support high-tech development. This has had intentional and unintentional effects on the economy, society and space.
Numerous studies have been devoted to exploring, analysing and theorising this global phenomenon. However, there has been less attention given to the role spatial planning may play in the process of high-tech development and to the factors that shape the spatial planning approaches to high-tech development in a particular place. The major objectives of this research are to advance the knowledge of the role of spatial planning in the process of high-tech development, and to establish an analytical framework that helps reveal the major institutional factors that shape spatial planning mechanisms for dealing with the spatial issues of high-tech development in different places. This contributes to the field of high-tech spatial policies transfer and lesson-drawing.
In order to explore the major factors that shape the practices of spatial planning in hightech development, a comparative approach is applied in this research. The Eindhoven city-region in the Netherlands and the Hsinchu city-region in Taiwan are selected as case study areas. Both city-regions can be recognised as success stories of high-tech development not only on a national scale but also on a global scale, despite the fact that they apply different approaches. In the Eindhoven city-region, the governments act as supporters and governors. High-tech development in the city-region is a result of close collaboration between different levels of government and other parties. In contrast, in the Hsinchu city-region the governments act as providers in high-tech development.
By critically reviewing relevant literature, the research begins with the identification of principal components of high-tech development and their spatial dimensions, and with the establishment of a set of comparative frameworks, which are built upon the concepts of institutionalism and previous comparative studies of spatial planning systems. On the basis of the frameworks, the comparative study is conducted. Four major conclusions are drawn in this research.
First, R&D capital, relational capital and human capital can be identified as the principal components of high-tech development, but the conception of the principal components is not static. It may change through time and space, and be influenced by contemporary technological development and dominant discourses about high-tech development. Additionally, how governments in a particular place conceptualise the principal components will influence the content of their strategies for high-tech development.
Second, how governments in a particular place use their spatial planning system and tools to conduct, facilitate and/or coordinate the development of high-tech spaces is influenced by the socio-political context (e.g. model of society, administration system and conceptualisation of rights in land), conceptualisation of the principal components, dominant style of spatial planning, but also by their historical roots and contemporary technological capacities. At the city-regional level, the particular culture characteristics and historical experience of a city-region also have effects on the approach to spatial governance.
Third, it is common that governments recognise the necessity of collaborating with knowledge institutes and high-tech firms in the process of high-tech spatial development, because they have access to a wide range of know-how and crucial resources. The creation of new institutional arenas to invite institutes and firms to participate in the process of decision-making is a good strategy for governments, although they must assure that the decision-making process is transparent and accountable, and meets the principles of social justice.
Finally, the two cases have shown that a successful high-tech spatial development would have spatial effects on the surrounding areas, such as traffic congestion, imbalance between land supply and demand for housing and/or industrial land, and so on. It is necessary to anticipate and monitor continuously the externalities of the development from a more comprehensive perspective and to leave room for adjustment to the spatial planning and governance approaches.
The analytical framework built upon the institutional concepts of Ostrom and Scharpf worked well in this research, but in the process of conducting the empirical study I found that the framework of institutional analysis I established for the empirical study implied a temporarily fixed situation for analysis. Such a framework did create an easier situation for analysis, but proved difficult to use to investigate and explain the dynamic interrelationships between the changing institutional contexts and the decision making of high-tech spatial planning at a specific place and time.
While considering this limitation, I adopted a diachronic approach to complement the empirical study of part three, in order to understand the influences of prior institutional developments and specific episodes on later policy/decision making and action taking. In the future, if other studies consider applying the frameworks of this research, the effect of historical path dependency has to be taken into consideration
Transformations of Urbanising Delta Landscape: An Historic Examination of Dealing with the Impacts of Climate Change for the Kaoping River Delta in Taiwan
Get PDFThis dissertation argues that the floods following extreme precipitation result notˬonly from very heavy rainfall but also from the significant impact of human activities on natural water systems. While most literature emphasises that the increasing magnitude of storm rainfall extends beyond the original protection standards of hydrologic facilities in highly populated delta cities. Based on the knowledge of urban morphology, this study analyses how human systems have affected the transformation of natural water processes in the Kaoping River Delta. The relationship between human environments and natural landscape is illustrated via a 3-layer analytical framework which consists of a natural landscape layer, an infrastructure layer and an occupation layer. This layer-based approach views landscapes as a whole system in which each element interacts with the others. In order to transcend the limitations of traditional urban morphology and the overlay-mapping method, this research initiates an analysis framework with the delta scale from a deductive perspective. Furthermore,ˬit argues that the significant progress of infrastructure technology is the crucial factor to dominate the transformation of modern urban pattern. This influence could be identified by the analytic process of the 3-layer approach from the perspective of the delta or regional scale. This new starting point of a theoretical framework for analysing urban forms has been proved in the Kaoping Delta case. Furthermore, it could be a new and valid theoretical background to extend the knowledge of urban morphology.
The formal transformation of the Kaoping Delta is divided into four main periods, which reveals human activities have affected the operation of natural systems since a century ago. From a delta scale perspective, those effects interacting between different layers can be identified in six different topographies (in italics) of the whole river catchment area.
A. The dike system along the main stream in the plains protects delta cities against floods, which enables rapid urbanisation. Population growth in delta cities increases food demand, which causes the intensive agricultural cultivation of mountain areas.
B. The dike system narrows the original riverbed in the river basin, which raises the water level of the river during storms. This situation blocks the drainage outlets of delta cities and induces higher frequencies of urban inundations.
C. The dike system along the main stream in the plains has significantly changed the surface flowing path of river and dramatically decreased the recharge of groundwater in foothills. It causes serious land subsidence in coastal areas when the ground cannot obtain sufficient groundwater.
D. The dike system and the bridges of transportation crossing river has resulted in the lag-sedimentation of the river in the river basin. When a significant amount of river sand deposits in the riverbed rather than being transited to the estuary to supply the demand for sand along the coast, it induces serious erosion in the coast. À¨Following this context, this study organised a five day workshop in Kaohsiung, ‘Workshop on Water Environment Development in Kaohsiung’ in 2012 to further examine the results derived from Chapters 3 and 4, and to demonstrate how a 3-layer approach can work between multiple disciplines as a platform for collaboration.À¨This workshop followed the theoretical framework of the 3-layers to explore the entire Kaoping River catchment area and its two tributary basins as the chosen local-scale sites: the Meinong River and the Love River. This workshop gives the best demonstration of how to practically utilise the 3-layer approach to organise multiple- disciplinary work, and then to make an integrated plan. The results and process of this workshop are also generalised as a framework, which could be applied to other cases. 
Introduction to Sustainable Urban Renewal: CO2 Reduction and the Use of Performance Agreements: Experience from the Netherlands
Get PDFAs in other European countries, the renewal of post-war housing estates is a major policy issue in the Netherlands. The aim is to upgrade neighbourhoods by means of demolition, renovation of social rented housing and construction of new owner-occupied dwellings. The existing housing stock is a key factor in attaining the greenhouse gas reduction targets in the Kyoto Protocol. This process of renewal will pursue high targets and ambitions as it gets underway in the coming years. It will lead to major interventions in the housing stock and - at the same time - rigorously challenge the market players to make existing dwellings more environmentally-friendly and to develop sustainability in post-war housing. By presenting two case studies this book offers insight into the environmental policies of Dutch housing associations and municipalities. Focusing specifically on the role of performance agreements in realising sustainability ambitions, it also assesses the feasibility of C02 reductions and examines the costs and decision-making processes
Thermal comfort in sun spaces: To what extend can energy collectors and seasonal energy storages provide thermal comfort in sun space?
Get PDFPreparation for fossil fuel substitution in the building sector persists as an essential subject in architectural engineering. Since the building sector still remains as one of the three major global end energy consumer — climate change is closely related to construction and design.
We have developed the archetype sun space to what it is today : a simple but effective predominant naturally ventilated sun trap and as well as living space enlargement. With the invention of industrial glass orangery’s more and more changed from frost protecting envelopes to living spaces from which we meantime expect thermal comfort in high quality.
But what level of thermal comfort provide sun spaces? And to what extend may sun spaces manage autarkic operation profiting from passive solar gains and, beyond that, surplus energy generation for energy neutral conditioning of aligned spaces? We deliver detailed information for this detected gap of knowledge.
We know about limited thermal comfort in sun spaces winter times.
This reasons the inspection of manifold collector technologies, which enable to be embedded in facades and specifically in sun space envelopes. Nonetheless, effective façade integrated collectors are ineffective in seasons with poor irradiation. Hence, the mismatch of offer and demand we have experienced with renewable energies ignites thinking about appropriate seasonal energy storages, which enlarges the research scope of this work. This PhD thesis project investigates on both, a yearly empirical test set up analysis and a virtual simulation of different oriented and located sun spaces abroad Germany. Both empirical and theoretical evaluation result in a holistic research focusing on a preferred occupation time in terms of cumulative frequencies of operational temperature and decided local discomfort, of potential autarkic sun space operation and prospective surplus exergy for alternative heating of aligned buildings. The results are mapped geographically for Germany.
Fossil fuel substitution, as far as this thesis elaborated, is closely related to quality of thermal comfort, sun space orientation and energetic standard of the aligned building. Unexpectedly, spaces, which define envelopes incorporating collectors in combination with storage technologies both profit and suffer to some extend in respect to thermal comfort.
Essentially, we can conclude, that the more area-wise efficient and the more integral the collector technology is incorporated into façade design, the more distinct significance of thermal comfort quality and fossil fuel substitution is.
Eventually, this dissertation determines the potential of a new generation of sun spaces in the context of energy transition
Imagine: RAPIDS 2.0
No full textIn 2014, a 3D-printed Canal House by DUS architects caught the attention of the world — including President Obama. The 3D Print Canal House proved the potentials of Additive Manufacturing for architecture and construction. Additive Manufacturing provides the architect with completely new solutions for realising tool-less production methods while allowing maximum freedom of design. Additive Manufacturing is ideally suited for Rapid Prototyping. It is possible to manufacture physical presentation and functional prototypes with complex shapes quickly and cost-efficiently without the need for manual processing — directly using three-dimensional CAD construction data. This makes the entire product development process considerably faster.
Imagine 10 explores the potentials of Additive Manufacturing for architecture by charting the current state of technology, discussing its implications for design and construction processes, and presents research projects as well as concept ideas for future Additive Manufacturing applications
Large Housing Estates: Ideas, Rise, Fall and Recovery: The Bijlmermeer and beyond
No full textLarge housing estates: for some people these three words symbolise all that is wrong in urban planning. Large is wrong, because many people prefer a living surrounding that reflects the human scale. Housing as a single function is wrong, because mixed areas are livelier. And estates are wrong, as these refer to top-down planned areas which the residents themselves have no say in.
Although many such estates function well, others have proved to be in serious problems. The question is how to deal with this legacy. For these estates to recover, an integrated solution is needed. Large-scale problems require large-scale interventions.
The Amsterdam Bijlmermeer area has been the most deprived and stigmatised area in the Netherlands for at least a quarter of a century, despite its glorious design in the 1960s. The Bijlmermeer can now be considered as a leading case for area regeneration. The author has followed this fascinating neighbourhood for years and provides an analysis of its construction, fall and recovery. Moreover, he compares the Bijlmermeer with many other large housing estates in the Netherlands and abroad, and analyses what conclusions may be of use for other areas.
 
Partnering for climate change adaptations by Dutch housing associations
Get PDFClimate change can no longer be ignored. It is globally recognised that the evidence for climate change is unequivocal and that action needs to be taken in order to address its negative effects.
These effects, such as warmer and drier summers and more extreme rainfall, may threaten the quality of life of those living in urban environments. To limit these threats, a number of climate change adaptation measures can be taken to pre-empt the negative effects of climate change.
The challenge of increasing the implementation of climate change adaptation measures is addressed in this thesis by engaging the construction sector while focusing on the housing stock that is owned and maintained by Dutch housing associations. By implementing climate change adaptation measures, dwellings will become more resilient to some of the effects of climate change, becoming less vulnerable for damage and ensuring the comfort, safety and quality of life of their occupants. Because housing associations are regarded as societal entrepreneurs, these are expected to use resources and commercial profits to achieve societal aims that are in the common interest, such as making timely adaptations, so that changing climatic conditions cannot threaten the quality of their dwellings. Moreover, there are relatively few housing associations compared to the number of houses they own and maintain. In 2012, there were 381 housing associations that owned and maintained a stock of 2.4 million dwellings, representing 32% of the total Dutch housing stock. This means that approaching the Dutch social rented sector was seen as an effective way of generating a greater societal impact.
In the past decade, external influences such as the recent economic crisis and political pressure, have led housing associations to become more cost effective and to make changes in their organisational strategies, which has resulted in the adoption of more integrated project delivery methods, such as partnering. These integrated methods aim to involve the construction sector early in the development of plans so that they can contribute their expertise. This creates a more efficient construction and maintenance process and delivers dwellings of higher quality.
The housing associations cannot pre-empt all the effects of climate change alone. For adaptation measures at the neighbourhood level, they are dependent on collaboration with other stakeholders such as municipalities, but there are measures that can be applied at the building level, which falls within their range of influence. An example is the application of lighter colours on building façades in order to reflect radiation and reduce the air temperature close to the façades. The hazards of overflowing sewage systems caused by extreme precipitation can be reduced by applying measures to retain water temporarily, such as ‘green roofs’ or to ensure effective drainage such as open pavements. These measures reduce the peak load on the sewage system. Another effective measure is the use of materials that are not negatively affected by water so that if, despite all the precautionary measures, flooding does occur, the consequences would be less severe.
Problem formulation
This research assesses the potential of adopting a partnering approach as a governance tool with which to increase the implementation of climate change adaptation measures like those described above. The housing stock owned by Dutch housing associations is taken as a case study. Involving the construction sector through a partnering approach is promising, since construction companies are the ones who carry out the works. Their early commitment reduces the risks of miscommunication or failure and enhances opportunities for innovative solutions. By doing this, not only do housing associations take responsibility for their actions, but the construction sector as a whole gains more responsibility for solving societal challenges and is enabled to co-create solutions that can then be disseminated more easily.
The main research question is: How can partnering in construction increase the implementation of climate change adaptation measures in dwellings owned by Dutch housing associations?
Research approach and results
To formulate an answer to this research question, several separate studies were conducted. First, the characteristics of three types of governance were studied in a literature review, these being hierarchic, market and network governance. Based on these types of governance, many tools have been developed over time, but to increase the implementation of climate change adaptation measures in social housing, not all tools are equally successful, at least not from a theoretical point of view. To improve the implementation of measures, tools could be combined to create a more solid basis for action, and there is room for extra governance tools in the current palette.
Based on the literature review on partnering, it was concluded that this could be classified as a combined ‘market’ and ‘network’ type of tool. The market aspect refers to the knowledge of climate change adaptation that is gained by the participating construction companies, which can imply a competitive advantage for them. The network aspect is closely linked to collaboration within a partnering approach. In other contexts, the partnering approach has been shown to remove the barriers of fragmentation in the construction sector; to provide for a more efficient and integral construction process, and to allow for the easier flow of knowledge on climate change adaptation.
Next, the current state of knowledge among housing associations was studied with regard to climate change adaptation measures for the housing stock. A content analysis was conducted on the annual reports and policy plans of the 25 largest Dutch housing associations and revealed that they display no awareness of climate change adaptation in their policy documents. As such, they were categorised as ‘unaware’. However, this does not mean that the building stock is not being adapted to climate change, because in the annual reports they state that they have applied climate change adaptation measures, although they do not name these as such. This means that applying adaptation measures is neither impossible nor unrealistic, as long as they are not implemented solely for climate change adaptation purposes, but for other reasons as well, such as energy-efficiency.
In contrast to the corporate policy documents, interviews with individual policy-makers showed that housing associations are aware of climate change at a global scale. However, in relation to climate change adaptation measures in their daily work, such as the impact of flooded streets and overheating interiors of dwellings, awareness is low. They could not name many threats or adaptation measures. However, once they had been made aware of the need for such measures, the employees were fairly well capable of assessing them, even though the implementation of measures was evaluated as unfeasible in most cases. The main reason provided was that the housing associations did not have policy guidelines in place for such adaptation measures. Moreover, in many cases there were financial and/or technical barriers that would have to be addressed first. There was a consensus among employees that all the measures would have a positive effect on the comfort of the dwellings.
Partnering in construction can help to increase the implementation of adaptation measures because it can overcome many of these challenges. For this reason, the way that housing associations and construction companies carry out refurbishment projects in a partnering approach was also studied. The researcher participated in a knowledge exchange project in which housing associations and construction and maintenance companies had formed dyads and carried out a refurbishment project. They exchanged their experiences on a regular basis through interviews and plenary sessions.
In the interviews, employees of housing associations and construction and maintenance companies were asked how they dealt with the success factors for partnering, which were derived from literature. These success factors were trust, leadership, partner capabilities, commitment, conflict resolution, coordination and communication.
Although they did not address all these success factors equally well, the study showed that Dutch housing associations and construction and maintenance companies are indeed capable of carrying out housing refurbishment projects in a partnering approach. This allows for the selection of the construction process as a governance tool with which to implement climate change adaptation measures. These measures are considered new products that can be installed with the aim of improving the technical and functional quality of dwellings. In that sense, they are perceived as product innovations, with the dwellings being the ‘products’ and/or assets of the housing associations. This perspective corresponds with the definition1: “[An innovation is] a new idea that is implemented in a construction project with the intention of deriving additional benefits although there might have been associated risks and uncertainties. The new idea may refer to new design, technology, material component or construction method deployed in a project”.
Subsequently, the employees of the housing associations and construction and maintenance companies were asked how they dealt with the implementation of innovations using surveys. Although several studies indicate that innovation can benefit when projects are based on an integrated construction process such as partnering, the current study concludes that partnering does not automatically lead to product innovation. Most of the respondents saw partnering itself as the innovative aspect of their projects — i.e. a process innovation. That process innovation required so much attention that there was less emphasis on opportunities for product innovations. This should be taken into account when developing governance tools to encourage the implementation of product innovations in dwellings such as climate change adaptation measures.
Moreover, the choice of partnering as a project delivery method as a governance tool is less likely to resolve issues regarding policy, which remain a barrier for the implementation of measures. In addition, other parties can also become involved, to generate resources for the implementation of measures by housing associations. The adoption of partnering as a project delivery method is therefore not the only possible governance tool.
To increase the implementation of climate change adaptation measures, two more conceptual approaches were developed by the researcher in addition to the initially hypothesised partnering approach. These additional conceptual approaches involved policy development by housing associations vis-í -vis climate change adaptation measures and collaboration with external actors who face the same challenges in order to enhance efficiency in solving these issues together. The feasibility of the three conceptual approaches was verified by means of a SWOT analysis performed with practitioners from housing associations and construction companies as well as external players such as water authorities, insurance companies and municipalities. The results of the SWOT analysis made it clear that single-pronged conceptual approaches are unlikely to be successful because they involve serious weaknesses or threats. A combination of conceptual approaches is much more likely to remove the barriers that obstruct the implementation of climate change adaptation measures.
The conceptual approaches were therefore combined and renamed as implementation strategies. In on-line questionnaires carried out among all Dutch housing associations, it was assessed if the housing associations found it likely that these strategies would indeed lead to the implementation of climate change adaptation measures. In general, the respondents assessed the feasibility of all strategies as unlikely to neutral. There was no strategy that clearly stood out as more feasible for the implementation of climate change adaptation measures. However, a considerable number of housing associations assessed one or more implementation strategies positively and saw opportunities for the implementation of measures, albeit framed differently, such as measures to increase energy-efficiency or enhance comfort.
Conclusion
Based on the findings outlined above, the answer to the main research question is: Partnering in construction can increase the implementation of climate change adaptation measures in dwellings owned by housing associations, when it is understood as a catalyst for information-sharing and increased efficiency in the construction process.
By looking for shared interests between housing associations and the construction sector, the chances of implementing adaptation measures increase. However, if other stakeholders are involved as well, and if housing associations embed climate change adaptation in their policy guidelines, the likelihood of implementation would increase even more. Although none of the implementation strategies stood out clearly as the strategy most likely to result in the implementation of climate change adaptation measures, a considerable number of housing associations assessed various implementation strategies positively.
If the construction process becomes more network-based, which is the case when a partnering approach is adopted, many more parties can become involved and contribute to the implementation of climate change adaptation measures. In such a situation, it no longer matters who introduces the subject during the plan development and construction process, as long as it ends up there and action is taken. To implement these measures more easily, the framing is very important. Climate change adaptation is not enough reason in its own right to begin implementing measures. Insulation to prevent overheating in the summer is considered an ‘extra’ measure - the necessity of which is still questioned by policymakers, for example. However, if the same measure is framed as an energy-saving measure, it is also a cost-cutting measure, which increases the likelihood that policymakers will start making plans to implement it!
Scientific implications of the results
This thesis has contributed to the development of governance tools to increase the implementation of climate change adaptation measures in dwellings, while current adaptation strategies predominantly target the national or local levels of the built environment. Moreover, this thesis has examined the adoption of partnering as a project delivery method and a governance tool with which to bridge the theoretical fields of network governance and integrated construction and maintenance processes. It extends the palette of governance tools that traditionally consists of information tools, tools relating to the division of property rights, incentives and regulatory tools. It has proven that housing associations can successfully adopt partnering approaches. As such, partnering is a feasible approach by which to increase the implementation of innovative measures such as climate change adaptations.
Practical implications
The assessment of the five implementation strategies showed that adapting housing for climate change has a low priority as a separate policy field. It is a relatively new area for policymakers, so they may be reluctant to believe that measures are likely to be implemented. Moreover, many other topics may take a higher priority for them, such as improving energy-efficiency and thereby also the affordability of dwellings, and/or preparing the dwellings for an ageing population. In the literature on climate change adaptation, it is suggested that mainstreaming climate change adaptation is the best course, which implies attaching the adaptation policy to existing policy frameworks. This would make policymakers aware of the topic of climate change adaptation and they could look for synergies between measures that were already planned and measures related to climate change adaptations.
The refurbishment and maintenance process of housing associations provides opportunities for the mainstreaming of adaptation measures. Housing associations are facing an ageing stock that needs to be improved if it is to continue to meet the ever increasing basic requirements of tenants in terms of quality and comfort and increasingly strict energy-efficiency standards. Since climate change is occurring gradually, there is still time to adapt the building stock gradually, in step with the renovation and maintenance cycles of the housing associations.
Bringing in external players, especially municipalities and water authorities, would appear to be a highly feasible approach, given their shared interest in the quality of life in local areas. Bringing together the construction partners requires governance tools that inform them of the benefits of partnering. Particularly if construction companies are to be responsible for the renovation and the maintenance for the rest of the service life of the dwellings, they could focus on improved design solutions that aim to create resilient dwellings, and/or using materials that would be less affected by the effects of climate change. The role of tenants in the implementation of climate change adaptations is primarily that they might exert ‘bottom-up’ pressure by requesting action from housing associations. But for this to happen, they would likely need to be informed about the effects of climate change on their dwellings and/or neighbourhoods, in order for them to be motivated to ensure that their homes are climate change resilient
Integrated project delivery methods for energy renovation of social housing
Get PDFEuropean Social Housing Organisations (SHOs) are currently facing challenging times. The ageing of their housing stock and the economic crisis, which has affected both their finances and the finances of their tenants, are testing their capacity to stick to their aim of providing decent and affordable housing. Housing renovation projects offer the possibility of upgrading the health and comfort levels of their old housing stock to current standards and improve energy efficiency, and this solution also addresses the fuel poverty problems suffered by some tenants. Unfortunately, the limited financial capacity of SHOs is hampering the scale of housing renovation projects and the energy savings achieved.
At the same time, the renovation of the existing housing stock is seen as one of the most promising alternative routes to achieving the ambitious CO2 emissions reduction targets set by European authorities — namely, to reduce EU CO2 emissions to 20% below their 1990 levels by 2020. The synergy between European targets and the aims of SHOs has been addressed by the energy policies of the member states, which focus on the potential energy savings achievable by renovating social housing. In fact, the European initiatives have prioritised energy savings in social housing renovations to such an extent that these are referred to as ‘energy renovations’. Energy renovation is therefore a renovation project with higher energy savings target than a regular renovation project.
In total, European SHOs own 21.5 million dwellings representing around 9.4% of the total housing stock. Each SHO owns a large number of dwellings, which means there are fewer people to convince of the need to make energy savings through building renovations, maximising the potentially high impact of decisions. Moreover, SHOs are responsible for maintaining and upgrading their properties in order to continue renting them. As such, SHOs are used to dealing with renovations on a professional basis. The limited financial capacity of SHOs to realise energy renovations magnifies the importance of improving process performance in order to get the best possible outcomes. In the last 30 years numerous authors have addressed the need to improve the performance of traditional construction processes via alternative project delivery methods. However, very little is known about the specifics of renovations processes for social housing, the feasibility of applying innovative construction management methods and the consequences for the process, for the role of all the actors involved and for the results of the projects.
The aim of this study is to provide an insight into the project delivery methods available for SHOs when they are undertaking energy renovation projects and to evaluate how these methods could facilitate the achievement of a higher process performance. The main research question is:
How can Social Housing Organisations improve the performance of energy renovation processes using more integrated project delivery methods?
The idea of a PhD thesis about social housing renovation processes originated from the participation of TU Delft as research partner in the Intelligent Energy Europe project SHELTER1 which was carried out between 2010 and 2013. The aim of the SHELTER project was to promote and facilitate the use of new models of cooperation, inspired by integrated design, for the energy renovation of social housing. The SHELTER project was a joint effort between six social housing organisations (Arte Genova, Italy; Black Country Housing Group, United Kingdom; Bulgarian Housing Association, Bulgaria; Dynacití©, France; Logirep, France and Socií©tí© Wallonne du Logement, Belgium), three European professional federations based in Brussels (Architects Council of Europe, Cecodhas Housing Europe and European Builders Confederation) and one research partner (Delft University of Technology).
Research methods
This thesis is composed of five studies. The first study is based on a literature review. The second study is based on five case studies from four countries (Belgium, Italy, France and United Kingdom), a questionnaire completed by 36 SHOs from eight countries and 14 interviews with experts from ten countries. The third is based on two French case studies and the fourth and fifth are based on 8 and 13 Dutch case studies respectively.
Construction projects in housing involve a high number of professionals and take place over a long period of time. External factors, such as the economic and political situation or changes in construction or procurement regulations, can have a considerable influence on the construction process. Moreover, the specific characteristics of the construction sector of every country can also shape the process. In consequence, there are many interrelated variables that can have an influence on the dynamics of the process and on the outputs achieved. Research that seeks to understand the causes of changes in this process need to dig deeper into the internal and external characteristics of the process, which makes case study research the most appropriate research method for this type of study.
The cases in each of the studies have been selected because innovative project management methods aiming for better collaboration between the participating actors were applied and because it was possible to gather high-quality data concerning these projects. The data were gathered mainly through interviews but other methods were also used: a questionnaire, observations and an analysis of tender documents. A protocol based on the recommendations of case study research literature was applied to assure the scientific validity of the data collected through the interviews. The case studies were complemented with a wide-ranging literature review covering scientific publications on project management in construction, mainly from the UK, the US, Australia, the Netherlands, Hong Kong and Finland. Reports from Intelligent Energy Europe projects were also reviewed, as well as legal texts relating to the tender options open to European social housing organisations.
Construction management methods
How to improve the performance of construction processes has long been and is still one of the key issues of the construction industry sector, social housing included. The performance of construction processes has been addressed from a range of perspectives in the construction management literature and diverse project management methods have been proposed. These methods are interrelated and in constant evolution. Moreover, different terminology is used to describe similar methods, which makes it difficult to obtain a clear picture. To simplify, three main perspectives or methods to improve the process integration and actors collaboration can be identified:
the multi-project: supply chain integration;
the single-project: integrated project delivery methods;
and collaboration: partnering.
Supply chain integration looks at the performance of the construction process from a multi-project perspective, relating the construction process to an industrial process. The project delivery method takes a single-project perspective into account because it is based on the premise that the complexity and singularity of any construction project will make it unique. Finally, partnering is focused on the characteristics of collaboration between the actors involved in the construction process.
The singularity of renovation projects and the limitations of public procurement make the single project perspective the most feasible strategy for improving the process performance of social housing renovation projects. As such, the analysis of the project delivery methods is the most suitable method for improving the performance of renovation processes. The literature review shows that the more integrated project delivery methods are particularly indicated for construction projects with a high commitment to sustainability in general and for energy performance in particular. The literature review also reveals that the key factor in the process efficiency of all project delivery methods is collaboration between the actors involved in the project.
Partnering methods can have a substantial positive influence on process performance. The study of the legal limitations imposed by the currently applicable public procurement Directive 2004/18/EC shows that even though a limited amount of tender options are available, is it possible to tender projects that apply integrated project delivery methods using the competitive dialogue procedure. Moreover, the recently approved but not yet enacted public procurement Directive 2014/24/ EU facilitates even further the use of competitive dialogue tenders for social housing energy renovations.
Project delivery methods in European social housing energy renovations
This study is based on five case studies, 36 questionnaires and 14 expert interviews, and identified four main project delivery methods for the energy renovation of social housing, namely:
Step-by-Step (SBS)
Design-Bid-Build (DBB)
Design-Build (DB)
Design-Build-Maintain (DBM).
SBS can be considered a major renovation when the replacement of a series of building components eventually produces the same final result as a renovation project. In order to optimise the service lives of building components, an SHO might choose to split a major renovation project into a series of minor renovations. Cost-efficiency is achieved by procuring a large number of replacements only when a particular component has reached the end of its service life. This project delivery method will not usually include a design phase because these interventions usually involve replacing building products and systems. DBB, DB and DBM take place all at once and involve design companies, construction companies and maintenance companies. The difference between the three methods is the time frame for the involvement of the different actors and the contractual relationship with the SHO. In DBB, the various contracted parties are involved in the project one after the other, while in DB design companies and construction companies are involved during the same time period, and in DBM all three parties are involved during the same time period. Under DB, the SHO tenders the design and construction work in a single contract and under DBM it tenders the design, construction and maintenance work in a single contract. The contracted entity may be a single company, with or without subcontractors, or a consortium.
SBS and DBB are the most commonly used project delivery methods for social housing renovation projects, although DB and DBM are also used for a small number of projects. The vast majority of SHOs use more than one project delivery method simultaneously, mainly a combination of SBS and DBB. For new-build projects, DBB has traditionally been considered the most commonly used project delivery method; however, our survey revealed that it is in fact the second most commonly used project delivery method after SBS.
The DBM approach has the maximum potential for delivering energy savings, because it facilitates collaboration between the different actors and promotes their commitment to achieving project goals. Furthermore, DBM offers greater price certainty and less risk of design failure compared to other project delivery methods. However, the project delivery method cannot guarantee the achievement of targeted energy savings by itself. Numerous factors need to be taken into account when considering a change in the project delivery method.
The property asset management of the dwelling stock that is renovated using SBS, which focuses on building elements and systems, is completely different from the property asset management of the dwelling stock renovated by DBB, DB or DBM, which focuses on entire properties. It is therefore unlikely that SHOs that are already applying SBS will switch to another project delivery method. Switching between DBB to DBM, or to DB, is feasible since they are similar in terms of property asset management. A change of project delivery method could be motivated by the use of energy performance guarantees offered by energy performance contracting, which is possible in cases where DBM is used. However, this choice is not suitable for all SHOs. For example, if an SHO has an in-house design team and changes to DBM (or DB), its design team will not be involved in the project as the contractor will have its own design staff. If an SHO has a corporate responsibility towards SMEs and changes to DBM (or DB), it will be more difficult to keep SMEs directly involved since they will need to organise themselves into consortia. And finally, if an SHO already has a contract with a maintenance company to manage their entire housing stock, changing to DBM will create a conflict in their maintenance management, since for every property where DBM has been used, a different maintenance company will take charge of maintenance.
Energy efficiency in French social housing renovations via Design-Build-Maintain
The study is based on the analysis of two social housing renovation projects, implemented by two French SHOs:
the renovation of 14 dwellings in a three-storey apartment block in Nurieux-Volognat (in south-eastern France) by the Dynacití© SHO; and
the renovation of 231 dwellings in four apartment blocks (ranging from 6 to 10 storeys) in Vitry-sur-Seine (in the southern suburbs of Paris) by the Logirep SHO.
The data on the case studies were obtained from: the tender documents (call for offers, specifications and preliminary designs); observation during the negotiation phase in the case of Dynacití©; interviews, carried out after the construction work was finished, with the social housing renovations manager, the social housing project manager, the construction company, the architect’s office and the maintenance company involved in both cases; and the evaluation reports produced by project managers at the SHOs. The results demonstrate that it is possible to engage design companies, construction companies and maintenance companies to achieve energy savings that exceed those stipulated by the SHO and to obtain a guarantee of results. This approach also makes it possible to shorten the duration of a project, while limiting the costs involved to approximately the equivalent of those incurred in DBB renovation projects. The collaborative set-up of the DBM process also results in improved relations between the actors involved. However, an analysis of these relationships indicated that there is still room for improvement, particularly with regard to the maintenance company. In order to guarantee the benefits of implementing a DBM process, it is necessary for the SHO to put in place the following: realistic but ambitious minimum requirements; clear and measurable award criteria that stress the importance of achieving high energy savings; and a guarantee mechanism that is fair and robust. Moreover, the SHO needs to ensure that the scale of the contract is large enough to guarantee that any compensation paid to non-selected candidates does not adversely affect the total cost of the project and that the SHO’s maintenance strategy must be flexible enough to handle maintenance contracts that are project-related as well as maintenance stock-related contracts.
Competitive tenders for integrated contracts for social housing renovation projects
The study, which is based on an analysis of eight renovation projects undertaken by SHOs in the Netherlands, shows that Dutch SHOs apply a range of mechanisms in order to influence the ambition, collaboration and long-term view of the consortia that participate in competitive tenders for integrated renovation projects. Their aim is to improve the quality of the construction process and thereby enhance the quality of the output.
The scale of the ambition is raised, in first place, through the competitive character of the selection procedure. Several candidates are invited to the tender but only the best will be selected. Secondly, the minimum performance level is defined above common standards by setting high but achievable minimum requirements. Thirdly, the candidates are encouraged to perform at their best by being rated by award criteria that evaluate their performance. The findings show that SHOs are not all singing from the same song sheet when it comes to determining the level of ambition they require from their candidates in relation to the key issue of energy saving.
Collaboration is encouraged mainly by setting a very tight deadline for the design proposals, a period of just 11 weeks on average. The consortium members are thus required to work closely together in order to get the proposals out on time and make a convincing pitch in a presentation. The findings show that the procedures with higher numbers of meetings between the SHO and the consortium during the design proposal period appeared to increase collaboration with the SHO. Other mechanisms, such as setting conditions for the nature of the candidates or proposing team coaches, were implemented to a lesser extent and not regarded as appropriate by all SHOs.
A longer-term view is promoted by including an optional long-term maintenance contract for the renovated dwellings. The results of this strategy were not as good as expected, however, because the majority of the candidates did not integrate maintenance into their proposal, preferring to make an additional and separate maintenance offer. The SHOs did not include maintenance as an integral part of the renovation project because they were afraid of the possible implications of a long-term maintenance contract on a project basis for their general building stock maintenance strategy and their in-house maintenance teams.
The role of the architect using integrated contracts for social housing renovation projects
The focus of previous studies is on analysing the implementation of integrated project delivery methods from the demand side, the social housing organisation. However, it has been also identified that the use of integrated project delivery methods have consequences for the supply side actors. Especially for the architect because his central role in the design process could be affected. This study, which is based on the analysis of the role of the architect in thirteen renovation projects that used integrated contracts, concludes that the main role of the architect, as having principal responsibility for the design choices made, does not change when integrated contracts are used. However, the decision-making power of the architect does decrease. With the use of integrated contracts, the main contractor and some specialised contractors can also influence the design choices — an influence that they would not otherwise have. In cases where the main contractor plays an active leading role in the consortium, the reduction of the decision-making power of the architect may become even more evident, and in the opinion of some architects, turn the role of architect into a role more akin to that of technical and aesthetic advisor. The changes in how design decisions are taken do not have a negative impact on the quality of the relationship between the architect and the SHO, and has a positive influence on the quality of the relationship between the architect and the construction companies involved in the project. Some changes were reported relating to the workload for each project compared to Design-Bid-Build projects. In some cases, architects were no longer involved in project management tasks, while in other cases architects were assigned additional responsibilities, such as communicating with tenants. It is not possible, therefore, to establish a direct relationship between the use of integrated contracts and the size of the architect’s workload.
Where there is an evident change is in the distribution of the workload and payment for the work done for the integrated contracts that have been tendered through a competitive procedure (seven of the thirteen projects analysed). In projects tendered using a competitive procedure, the work of the architect is condensed into a shorter timeframe (42% shorter than with a non-competitive procedure) and there is a higher risk that the working hours will not be paid in full if the consortium is not awarded the contract.
Conclusions
In order to improve the performance of energy renovation processes undertaken by social housing organisations, the Design-Build-Maintain project delivery method offers the best opportunity to facilitate the active involvement of all actors, obtain the best possible project performance and to guarantee the quality of the end results. However, given the characteristics of each SHO and the characteristics of the renovation projects, DBM is not always the project delivery method chosen. If DBM is not used, other simpler management mechanisms, such as the early involvement of contractors or the use of in-house maintenance companies as advisors, should be considered to contribute to better process performance.
In order to apply the DBM project delivery method successfully, it is necessary for the SHO to focus its efforts on designing a tender procedure that maximises the potential of the entire project delivery method.
Choosing a competitive tender procedure that allows the dialogue with candidates.
Defining performance-based specifications with realistic but ambitious minimum requirements and a set of clear and measurable award criteria that stress the importance of achieving energy savings.
Defining a performance guarantee mechanism that is fair and robust.
Setting up tender process conditions that facilitate communication between the candidates and the SHO a
HISTORY URBANISM RESILIENCE: Book of Abstracts
Get PDFThe 17th conference (2016, Delft) of the International Planning History Society (IPHS) and its proceedings place presentations from different continents and on varied topics side by side, providing insight into state-of-the art research in the field of planning history and offering a glimpse of new approaches, themes, papers and books to come.
Book of Abstracts