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An ontology-supported transaction formalism protocol in infrastructure management Zeb, Jehan 2014

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AN ONTOLOGY—SUPPORTED TRANSACTION FORMALISM PROTOCOL IN INFRASTRUCTURE MANAGEMENT  by   Jehan Zeb  M.A.Sc., The University of British Columbia, Canada, 2008 M.B.A, Sarhad University of Science and Information Technology, Pakistan, 2006   M.Sc., National University of Sciences and Technology, Pakistan, 1997 B.Sc., N.W.F.P University of Engineering and Technology, Pakistan, 1993  A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF  THE REQUIREMENTS FOR THE DEGREE OF   DOCTOR OF PHILOSOPHY  in  THE FACULTY OF GRADUATE AND POSTDOCTORAL STUDIES  (Civil Engineering)   THE UNIVERSITY OF BRITISH COLUMBIA  (Vancouver)    November 2014  © Jehan Zeb, 2014  ii Abstract Infrastructure organizations use diversified information systems to exchange data (transaction). Presently, data exchange in the area of infrastructure management is accomplished in a manual and ad hoc basis. The growing trend is to transform these manual data exchanges to a computer-to-computer based transactions. The core research questions include:      What transactions are candidates to formalize?—this question is dealt with identifying and selecting a potential transaction for IT improvement—Asset Inventory and Condition Assessment Reporting/Tangible Capital Asset (AI&CAR/TCA) Reporting. Why formalize transactions?”—this question is dealt with developing and applying an Infrastructure Management—Process Maturity Model to assess the degree to which work processes and communications are formalized in infrastructure management. The results indicate that the work processes and communications are currently performed on an ad hoc basis.      How to formalize and manage transactions?— this question is dealt with developing and applying an ontology-supported Transaction Formalism Protocol (TFP), which is composed of two parts: ontology and protocol. Two ontologies, the Transaction Domain Ontology and Tangible Capital Asset ontology, were developed to represent transaction domain knowledge and Tangible Capital Asset knowledge respectively to support the design, management, and implementation of transactions in infrastructure management. Moreover, an eight-step procedure—the TFP was developed from two perspectives: The TFP Specification modeled each step of the protocol as a function for which inputs, controls, mechanisms, tools/techniques, and outputs were defined, whereas the TFP Tool includes a set of forms and guidance developed for specific steps of the protocol.     The proposed TFP was applied to develop transaction specification for the AI&CAR/TCA Reporting, which was managed and implemented through developing the Infrastructure Transaction Management Portal and Asset Information Integrator System repectively.  The evaluation results indicate that both the ontologies are consistent, concise, complete, correct, and clear. Similarly, the protocol was found to be feasible, usable, useful, and generic. The major contributions include the development of two ontologies and protocol, whereas the medium contributions are: IT use survey, development of the IM-PMM, portal, and asset integrator information system. The minor contribution; however, includes the development of the transaction specification for the AI&CAR/TCA Reporting.   iii Preface A component of this Ph.D. research work provided part of the Semantic Collaborative Portal for the Exchange of Infrastructure Interdependencies Information (SCPEI3) project under the Joint Infrastructure Interdependency Research Program (JIIRP), which is accomplished jointly by the research students at the University of Toronto and the University of British Columbia.  The core focus of this research work is on the development and application on an ontology-supported transaction formalism protocol that transaction development personnel can use to define transactions for IT improvement in the domain of infrastructure management. The author of this research work is solely responsible for all the content presented in this manuscript-based thesis that relates to the literature review, research framework, case study, IT survey, development and application of the Infrastructure Management–Process Maturity Model, development and application of the Transaction Domain Ontology and Tangible Capital Asset Ontology, development and application of the Transaction Formalism Protocol, development of the prototype Infrastructure Transaction Management Portal, and development and application of the prototype Asset Information Integrator Systems.  Much of the content of this dissertation is in the form of manuscripts prepared for publication. For each of these, the dissertation author (Zeb) was the primary manuscript author, while the other co-authors provided guidance on the development and application of various aspects of the research as well as manuscript review and editing.    The following six journal papers have either been accepted or published:    i. Zeb, J.; Froese, T.; and Vanier, D. (2014). “ An Ontology-Supported Asset Information Integrator System in Infrasturcture Management”, Accepted for Publication, Built Environment Project and Asset Management, Emerald Publishing Inc.  ii. Zeb, J. and Froese, T. (2014). “Tangible Capital Asset Ontology in Infrastructure Management”, Infrastructure Asset Management Journal, Vol. 1, Issue 3, Institution of Civil Engineers, ICE Publishing, United Kingdom, pp. 81-92, http://dx.doi.org/10.1680/iasma.14.00012 iii. Zeb, J. and Froese, T. (2014). “Infrastructure Management Transaction Formalism Protocol Specification: A Process Development Model", Construction Innovation: Information, Process, Management Journal, Volume 14, Issue 1, pp. 69-87. iv. Zeb, J.; Froese, T.; and Vanier, D.  (2013). “Infrastructure Management Process Maturity Model: Development and Testing”, Journal of Sustainable Development, Vol. 6, Issue No. 11, Published by Canadian Center of Science and Education, http://doi:10.5539/jsd.v6n11p1.  v. Zeb, J.; Froese, T.; and Vanier, D. (2012). “Survey of Information Technology Use for Municipal Infrastructure Management”, Journal of Information Technology in Construction, Vol. 17, pp. 179-193, http://www.itcon.org/2012/11. iv vi. Zeb, J. and Froese, T. (2012). “Transaction Ontology in the Domain of Infrastructure Management”, Canadian Journal of Civil Engineering, Vol. 39, Issue 9, Published by NRC Research Press, pp. 993-1004, doi:10.1139/L2012-054. Chapter 7 and 8 contain journal manuscripts that have been submitted for publication:  i. Zeb, J. and Froese, T. (2014). “Transaction Formalism Protocol Tool in Infrastructure Management”, Submitted for Publication.   ii. Zeb, J. and Froese, T. (2014). “An Ontology-Supported Infrastructure Transaction Management Portal”, Submitted for Publication. The following peer-reviewed conference papers have been published in the conference proceedings: i. Zeb, J.; Froese, T.; and Vanier, D. (2014). “Knowledge Enabled Tangible Capital Asset Reporting Using Asset Information Integrator System in Infrastructure Management”, Genernal Conference, Canadian Society of Civil Engineering, May 28-31, 2014, Halifax, Nova Scotia, Canada, pp. GEN-17-1~10. ii. Zeb, J. and Froese, T. (2013). “Transaction Formalism Protocol in the Domain of Infrastructure Management”, Siamak Yazdani and Amarjit Singh (Eds.), New Developments in Structural Engineering and Construction, Research Publishing Services, C-34-271, Seventh International Structural Engineering and Construction Conference (ISEC-7), June 18-23, 2013, Honolulu, Hawaii, USA.  iii. Zeb, J. and Froese, T. (2013). “Tangible Capital Asset Ontology Towards Standardized Reporting in Infrastructure Management”, 4th Construction Specialty Conference, Canadian Society of Civil Engineering, May 29-June 1, 2013, Montreal, Quebec, pp. CON-090-1~10. iv. Zeb, J.; Froese, T.; and Vanier, D. (2012). “A Review of the Process Formalization Standards to Develop a Transaction Protocol for Infrastructure Management”, Gudnason & Scherer (Eds.), eWork and eBusiness in Architecture, Engineering and Construction, © 2012 Taylor & Francis Group, 9th European Conference on Product and Process Modeling (eCPPM 2012), July 25-27, 2012, Reykjavik, Iceland, pp. 405~412. v. Zeb, J.; Froese, T.; and Vanier, D. (2011). “Development and Testing of a Process Maturity Model in the Domain of Infrastructure Management”, Proceedings of the CIB W78–W102, October 26-28, 2011, Sophia Antipolis, France. vi. Zeb, J. and Froese, T. (2011). “Design and Management of Transactions in the AEC/FM Industry Using an Ontological Approach”, 3rd International/9th Construction Specialty Conference, Canadian Society of Civil Engineering, June 14-17, 2011, Ottawa, ON, pp. CN-021-1~10. A peer-reviewed book chapter has been accepted for publication. i. Zeb, J. and Froese, T. (2014). “Transaction Formalization in the Infrastructure Management Using an Ontological Approach”, Techncial Book Chapter Accepted for Publication in the ASCE Ontology Monograph Book Titled “Ontology in the AEC domain: A Decade of Research and Developments.”  v Finally, two manuscripts from the content presented in Appendix E are in draft stage, which are to be submitted soon for publication.  Moreover, ethics review of the survey on the use of IT in infrastructure management was conducted as part of this research work. The Behavioral Research Ethics Board reviewed and approved the IT survey questionnaire (attached at Appendix C) and all associated documents. A certificate of approval was issued on Aug 27, 2011, reference number, UBC BREB # H10-00050. The certificate was subsequently renewed for two years—the period of the survey, which was terminated on Aug 08, 2013.   vi Table of Contents Abstract ..................................................................................................................................................................... ii Preface...................................................................................................................................................................... iii Table of Contents ......................................................................................................................................................vi List of Tables ........................................................................................................................................................... xv List of Figures ....................................................................................................................................................... xvii List of Abbreviations ........................................................................................................................................... xxiii Acknowledgements ............................................................................................................................................ xxviii Chapter 1 Introduction.......................................................................................................................................... 1 1.1 Introduction ....................................................................................................................................................... 1 1.2 Problem Statement and Solutions ...................................................................................................................... 1 1.3 Objectives, Framework, Scope, and Contributions ............................................................................................ 4 1.3.1 Research Objectives ............................................................................................................................... 4 1.3.2 Research Framework ............................................................................................................................. 6 1.3.3 Research Scope .................................................................................................................................... 12 1.3.4 Brief Description of Research Contributions ....................................................................................... 13 1.4 Points of Departure .......................................................................................................................................... 14 1.4.1 A Review of Surveys on the Use of IT ................................................................................................ 14 1.4.2 A Review of Maturity Models ............................................................................................................. 16 1.4.3 A Review of the Domain and Application Ontologies ........................................................................ 18 1.4.4 A Review of Process/Transaction Formalization Standards and Methodologies................................. 19 1.5 Case Study ....................................................................................................................................................... 21 1.5.1 Asset Inventory and Condition Assessment Reporting/Tangible Capital Asset Reporting Process .... 22 1.6 Thesis Organization ......................................................................................................................................... 24 Chapter 2 Survey on the Use of Information Technology ................................................................................ 25 2.1 Introduction ..................................................................................................................................................... 25 2.2 Review of the Related Research ...................................................................................................................... 25 2.3 Survey Research Methodology ........................................................................................................................ 26 vii 2.3.1 Phase 1—Survey Planning ................................................................................................................... 26 2.3.2 Phase 2—Survey Design ..................................................................................................................... 26 2.3.3 Phase 3—Survey Execution ................................................................................................................. 26 2.3.4 Phases 4 and 5—Survey Analysis and Reporting ................................................................................ 27 2.4 Survey Results and Discussion ........................................................................................................................ 27 2.4.1 Benchmarking IT Use .......................................................................................................................... 27 2.4.2 Benchmarking Communication Channels for Transactions ................................................................. 29 2.5 Conclusions ..................................................................................................................................................... 32 Chapter 3 Infrastructure Management—Process Maturity Model ................................................................ 33 3.1 Introduction ..................................................................................................................................................... 33 3.2 Related Work in Process Maturity Models ...................................................................................................... 34 3.3 Methodology to Develop and Apply the Proposed Maturity Model ................................................................ 34 3.4 Comparison and Summary of Maturity Models .............................................................................................. 34 3.5 Development of the Infrastructure Management—Process Maturity Model ................................................... 35 3.5.1 Work Processes and Communications Targets .................................................................................... 35 3.5.2 Maturity Stages .................................................................................................................................... 36 3.5.3 Work Process and Communication Elements ...................................................................................... 37 3.6 Application of the Infrastructure Management Process Maturity Model......................................................... 37 3.7 Analysis of Survey Results .............................................................................................................................. 38 3.7.1 Typical Maturity Levels ....................................................................................................................... 39 3.7.2 Comparison of Different Work Processes and Different Communications ......................................... 39 3.7.3 Comparison of Different Elements ...................................................................................................... 41 3.7.4 Work Process versus Communications ................................................................................................ 41 3.7.5 Comparison of Cities versus Districts .................................................................................................. 41 3.7.6 Overall Interpretation ........................................................................................................................... 41 3.8 Conclusions ..................................................................................................................................................... 42 Chapter 4 Transaction Domain Ontology .......................................................................................................... 44 4.1 Introduction ..................................................................................................................................................... 44 viii 4.2 Previous Research in the Area of Ontology Development .............................................................................. 45 4.3 Developing the Transaction Domain Ontology ............................................................................................... 45 4.3.1 Ontology Architecture ......................................................................................................................... 45 4.3.2 Ontology Development Methodology ................................................................................................. 47 4.3.3 Core Concept Taxonomies in the Transaction Domain Ontology ....................................................... 48 4.4 Transaction Taxonomy .................................................................................................................................... 48 4.4.1 Communication Transaction-Modalities .............................................................................................. 48 4.4.2 Domain Transaction-Modalities .......................................................................................................... 52 4.5 Message Taxonomy ......................................................................................................................................... 54 4.5.1 Function Modality ............................................................................................................................... 55 4.5.2 Formulation Modality .......................................................................................................................... 56 4.5.3 Representation Modality ...................................................................................................................... 57 4.5.4 Intelligent Modality ............................................................................................................................. 57 4.6 Ontology Evaluation ........................................................................................................................................ 57 4.7 Application of the Transaction Domain Ontology ........................................................................................... 60 4.8 Conclusion ....................................................................................................................................................... 61 Chapter 5 Tangible Capital Asset Ontology ...................................................................................................... 62 5.1 Introduction ..................................................................................................................................................... 62 5.2 Relevant Research Work in the Domain of Infrastructure Management ......................................................... 62 5.3 Methodology to Develop Tangible Capital Asset Ontology, (TCA_Onto) ..................................................... 63 5.4 Development of a Modality-based Tangible Capital Asset Kernel Ontology .................................................. 64 5.4.1 Individual Asset Modality ................................................................................................................... 64 5.4.2 Function Asset Modality ...................................................................................................................... 65 5.4.3 Composition Asset Modality ............................................................................................................... 65 5.4.4 Sector Asset Modality .......................................................................................................................... 65 5.5 Development of a Modality-based Tangible Capital Asset Ontology ............................................................. 66 5.5.1 Facility Sector Modality ...................................................................................................................... 66 5.5.2 Infrastructure Sector Modality ............................................................................................................. 66 ix 5.5.3 Tangible Capital Asset Attribute ......................................................................................................... 73 5.6 Application of the Tangible Capital Asset Ontology ....................................................................................... 74 5.7 Ontology Evaluation ........................................................................................................................................ 76 5.8 Conclusions ..................................................................................................................................................... 78 Chapter 6 Transaction Formalism Protocol Specification ............................................................................... 80 6.1 Introduction ..................................................................................................................................................... 80 6.2 Review of Existing Formalization Techniques ................................................................................................ 80 6.3 Development Methodology for the Transaction Formalism Protocol ............................................................. 81 6.4 Transaction Formalism Protocol Architecture ................................................................................................. 83 6.5 Transaction Formalism Protocol Specification Development ......................................................................... 83 6.5.1 Transaction Formalism Protocol—Process Model .............................................................................. 83 6.5.2 Transaction Formalism Protocol Steps ................................................................................................ 86 6.6 Transaction Formalism Protocol Tool and its Application .............................................................................. 89 6.7 Transaction Formalism Protocol Evaluation ................................................................................................... 91 6.8 Conclusions ..................................................................................................................................................... 93 Chapter 7 Transaction Formalism Protocol Tool ............................................................................................. 94 7.1 Introduction ..................................................................................................................................................... 94 7.2 Related Work Process and Communication Formalization Standards ............................................................. 94 7.3 Methodology to Develop the Proposed Transaction Formalism Protocol ....................................................... 95 7.4 Transaction Formalism Protocol Architecture ................................................................................................. 96 7.5 Introduction to Transaction Formalism Protocol Specification ....................................................................... 97 7.6 Transaction Formalism Protocol Tool Development ....................................................................................... 97 7.6.1 Step 1—Assess Needs ......................................................................................................................... 97 7.6.2 Step 2—Define the As-is Transaction Map ......................................................................................... 99 7.6.3 Step 3—Develop the To-be Transaction Map ................................................................................... 100 7.6.4 Step 4—Collect Information .............................................................................................................. 101 7.6.5 Step 5—Design Message Template ................................................................................................... 104 7.6.6 Step 6—Review To-be Transaction Map and Message Template ..................................................... 104 x 7.6.7 Step 7—Adopt and Implement the Transaction Specification ........................................................... 106 7.6.8 Step 8—Monitor Transaction Specification ...................................................................................... 106 7.7 TFP Tool Application in the Domain of Infrastructure Management ............................................................ 107 7.8 Transaction Formalism Protocol Evaluation ................................................................................................. 109 7.9 Conclusions ................................................................................................................................................... 110 Chapter 8 Infrastructure Transaction Management Portal .......................................................................... 112 8.1 Introduction ................................................................................................................................................... 112 8.2 Related Research Work ................................................................................................................................. 113 8.3 Proposed Approach ........................................................................................................................................ 113 8.4 Methodology to Develop the Proposed Portal ............................................................................................... 115 8.5 Infrastructure Transaction Management Portal Development ....................................................................... 115 8.5.1 Step 1—Create Virtual Directory ...................................................................................................... 116 8.5.2 Step 2—Create Collection Site .......................................................................................................... 116 8.5.3 Step 3—Create Sub-sites ................................................................................................................... 117 8.5.4 Step 4—Create Web Pages ................................................................................................................ 117 8.6 Infrastructure Transaction Management Portal Application .......................................................................... 120 8.7 Implications and Challenges .......................................................................................................................... 122 8.8 Conclusions ................................................................................................................................................... 123 Chapter 9 Asset Information Integrator System ............................................................................................. 124 9.1 Introduction ................................................................................................................................................... 124 9.2 Literature Review .......................................................................................................................................... 125 9.3 Development Methodology ........................................................................................................................... 125 9.4 Asset Information Integrator System Development ....................................................................................... 126 9.4.1 Step 1—Create Website and Library ................................................................................................. 126 9.4.2 Step 2—Review and Modify Message Templates ............................................................................. 127 9.4.3 Step 3—Design and Configure Workflows ....................................................................................... 128 9.4.4 Step 4—Define/Add Functionalities .................................................................................................. 130 9.5 Asset Information Integrator System Application ......................................................................................... 130 xi 9.5.1 Action 1—Fill the Message Templates .............................................................................................. 131 9.5.2 Action 2—Send the TCA Information ............................................................................................... 132 9.5.3 Action 3—Receive the TCA Information .......................................................................................... 132 9.5.4 Action 4—Upload the TCA Information as List Item ....................................................................... 133 9.5.5 Action 5—Process the TCA Information ........................................................................................... 133 9.5.6 Action 6—Send Accept Acknowledgement Message ....................................................................... 134 9.5.7 Action 7—Visualize the TCA Information ........................................................................................ 134 9.5.8 Action 8—Analyze the TCA Information ......................................................................................... 136 9.6 Conclusions ................................................................................................................................................... 137 Chapter 10 Conclusions, Contributions, and Recommendations .................................................................... 138 10.1 Introduction ................................................................................................................................................... 138 10.2 Objective 1—Benchmark Initiatives.............................................................................................................. 139 10.2.1 Benchmark IT Use and Identify Potential Transactions .................................................................... 139 10.2.2 Develop and Apply Infrastructure Management-Process Maturity Model ........................................ 139 10.3 Objective 2—Build Ontologies ..................................................................................................................... 140 10.3.1 Transaction Domain Ontology ........................................................................................................... 140 10.3.2 Tangible Capital Asset Ontology ....................................................................................................... 141 10.4 Objective 3—Develop Protocol ..................................................................................................................... 142 10.4.1 Transaction Formalism Protocol Specification and Tool ................................................................... 142 10.5 Objective 4—Develop, Manage, and Implement Transaction Specifications ............................................... 143 10.5.1 Develop Transaction Specification .................................................................................................... 143 10.5.2 Manage Transaction Specification ..................................................................................................... 143 10.5.3 Implement Transaction Specification ................................................................................................ 143 10.6 Theoretical Implications and Research Contributions ................................................................................... 144 10.6.1 Contributions of Objective 1—Benchmarking Initiatives ................................................................. 144 10.6.2 Contributions of Objective 2—Develop Ontologies .......................................................................... 144 10.6.3 Contributions of Objective 3—Develop Protocol .............................................................................. 145 xii 10.6.4 Contributions of Objective 4—Apply the Protocol to Develop, Manage, and Implementation Transaction Specifications ................................................................................................................................. 145 10.7 Practical Implications of the Research ........................................................................................................... 146 10.8 Limitations of the Research ........................................................................................................................... 147 10.9 Recommendations for Future Research ......................................................................................................... 148 References ............................................................................................................................................................. 149 Appendix A Analysis of Variance for the Use of Information Technology ...................................................... 159 A.1 Analysis of Variance for IT Survey ............................................................................................................... 159 Appendix B Analysis of Variance for Maturity Assessments ............................................................................ 161 B.1 Analysis of Variance for Work Processes and Communications Maturity .................................................... 161 B.2 Sample Size Calculation ................................................................................................................................ 163 Appendix C IT Survey Questionnaire ................................................................................................................. 164 Appendix D Transaction Upper  Ontology ......................................................................................................... 196 D.1 Transaction Upper Ontology ......................................................................................................................... 196 D.1.1 Transaction Upper Ontology Core Concepts ..................................................................................... 196 D.1.2 Transaction Upper Ontology Support Concepts ................................................................................ 197 Appendix E Transaction Domain Ontology ........................................................................................................ 198 E.1 Transaction Domain Ontology Development ................................................................................................ 198 E.1.1 Step 1—Define Ontology Coverage .................................................................................................. 198 E.1.2 Step 2—Capture Competency Questions ........................................................................................... 199 E.1.3 Step 3—Create/Generate Taxonomy ................................................................................................. 204 E.1.4 Step 4—Reuse Existing Ontologies ................................................................................................... 204 E.1.5 Step 5—Develop Transaction Domain Kernel Ontology .................................................................. 204 E.1.6 Step 6—Extend Transaction Domain Kernel Ontology ..................................................................... 206 E.1.7 Step 7—Capture Ontology ................................................................................................................. 223 E.1.8 Step 8—Code Ontology ..................................................................................................................... 228 E.1.9 Step 9—Evaluate Ontology ............................................................................................................... 232 E.1.10 Step 10—Document Ontology ........................................................................................................... 246 xiii Appendix F Tangible Capital Asset Ontology Evaluation ................................................................................ 247 F.1 Evaluation of Tangible Capital Asset Ontology ............................................................................................ 247 F.1.1 Protégé Automated Reasoner-based Verification of the Tangible Capital Asset Ontology ............... 247 F.1.2 Competency Question-based Verification of the Tangible Capital Asset Ontology .......................... 249 F.1.3 Expert Review based Validation of the Tangible Capital Asset Ontology ........................................ 250 Appendix G Transaction Domain Ontology Validation Questionnaire ............................................................ 258 Appendix H TCA Ontology Validation  Questionnaire ..................................................................................... 274 Appendix I Transaction Formalism Protocol Tools/Techniques ..................................................................... 294 I.1 Transaction Formalism Protocol Tools and Techniques ................................................................................ 294 Appendix J Transaction Formalism Protocol Naming Rules ........................................................................... 297 J.1 Naming Rules for Transaction Formalism Protocol ...................................................................................... 297 J.1.1 Naming Rules for Transaction Maps (TMs) ...................................................................................... 297 J.1.2 Naming Rules for Information ........................................................................................................... 298 J.1.3 Naming Rules for Message Templates .............................................................................................. 298 Appendix K Transaction Formalism Protocol Tool Application ...................................................................... 299 K.1 Application of Transaction Formalism Protocol Tool—(Filled Forms) ........................................................ 299 K.1.1 Step 1—Asses Needs ......................................................................................................................... 299 K.1.2 Step 2—Define As-is Transaction Map ............................................................................................. 300 K.1.3 Step 3—Develop To-be Transaction Map ......................................................................................... 302 K.1.4 Step 4—Collect Information .............................................................................................................. 304 K.1.5 Step 5—Design Message Template ................................................................................................... 307 K.1.6 Step 6—Review To-be Transaction Map and Message Templates ................................................... 327 K.1.7 Step 7—Adopt and Implement Standard Transaction Agreement/Transaction Specification ........... 328 K.1.8 Step 8—Monitor Standard Transaction Agreements/Transaction Specification ............................... 329 Appendix L Analysis of Variance, Transaction Formalism Protocol Verification ......................................... 330 L.1 Analysis of Variance Single Factor Test for Transaction Formalism Protocol ............................................. 330   xiv Appendix M Transaction Formalism Protocol Validation ................................................................................. 332 M.1 Transaction Formalism Protocol Tool Validation ......................................................................................... 332 M.1.1 Respondents Profile Information ....................................................................................................... 332 M.1.2 Respondents Familiarity with Infrastructure Sectors; and Data, Process, Transaction Modeling ..... 332 M.1.3 Transaction Formalism Protocol Feasibility ...................................................................................... 333 M.1.4 Transaction Formalism Protocol Usability ........................................................................................ 334 M.1.5 Transaction Formalism Protocol Usefulness ..................................................................................... 335 M.1.6 Transaction Formalism Protocol Generalizability ............................................................................. 337 Appendix N Transaction Map/Message Template Review Questionnaire ....................................................... 338 Appendix O Transaction Formalism Protocol Validation Questionnaire ........................................................ 348    xv List of Tables Table 1-1 Thesis organization ..................................................................................................................................... 24 Table 2-1 Survey sample and response profile ............................................................................................................ 26 Table 3-1 Work processes and communications—total responses per stage and responses per element .................... 39 Table 3-2 Results of tests for statistical significance using ANOVA technique.......................................................... 40 Table 5-1 Tangible capital asset ontology evaluation framework ............................................................................... 76 Table 6-1 Transaction formalism protocol specification evaluation ............................................................................ 92 Table 7-1 Transaction formalism protocol tool validation ........................................................................................ 109 Table A-1 ANOVA for software use across different municipalities and work functions ........................................ 159 Table A-2 ANOVA for software use in the city and district municipalities .............................................................. 159 Table A-3 ANOVA for the use of different types of communication channels ........................................................ 160 Table B-1 ANOVA for work processes ..................................................................................................................... 161 Table B-2 ANOVA for communications ................................................................................................................... 161 Table B-3 ANOVA for different elements in work processes ................................................................................... 162 Table B-4 ANOVA for different elements in communications ................................................................................. 162 Table B-5 ANOVA for work processes in the city and district municipalities .......................................................... 162 Table B-6 ANOVA for communications in the city and district municipalities ........................................................ 163 Table E-1 Requirement analysis ................................................................................................................................ 200 Table E-2 Ontology evaluation framework ............................................................................................................... 232 Table E-3 Competency questions based verification of the transaction domain ontology—(multi-sheet table) ....... 234 Table E-4 Respondent profile information ................................................................................................................ 241 Table E-5 Respondents familiarity with different infrastructure sectors ................................................................... 242 Table E-6 Clarity of the knowledge represented in the transaction domain ontology ............................................... 243 Table E-7 ANOVA two-factor without replication test for knowledge representation clarity .................................. 243 Table E-8 Completeness of the knowledge represented in the transaction domain ontology .................................... 244 Table E-9 ANOVA two-factor without replication test for knowledge representation completeness ....................... 244 Table E-10 Correctness of the knowledge represented in the transaction domain ontology ..................................... 245 Table E-11 ANOVA two-factor without replication test for knowledge representation correctness ........................ 246 xvi Table E-12 Transaction domain ontology overall assessment ................................................................................... 246 Table F-1 Competency questions based verification of the tangible capital asset ontology ...................................... 249 Table F-2 Respondents’ profile information.............................................................................................................. 250 Table F-3 Respondents familiarity with infrastructure sectors, data modeling, and tangible capital asset reporting 251 Table F-4 Clarity of the knowledge represented in the tangible capital asset ontology ............................................ 251 Table F-5 ANOVA two-factor without replication test for knowledge representation clarity .................................. 252 Table F-6 Completeness of the knowledge represented in the tangible capital asset ontology ................................. 254 Table F-7 ANOVA two-factor without replication test for knowledge representation completeness ....................... 255 Table F-8 Correctness of the knowledge represented in the tangible capital asset ontology ..................................... 256 Table F-9 ANOVA two-factor without replication test for knowledge representation correctness ........................... 256 Table F-10 Tangible capital asset ontology overall assessment ................................................................................ 257 Table K-1 Respondents profile information .............................................................................................................. 327 Table K-2 Familiarity with infrastructure sectors and PSAB reporting requirements ............................................... 327 Table L-1 Methodologies and standards evaluation result ........................................................................................ 330 Table L-2 ANOVA single-factor test result for methodologies and standards evaluation ........................................ 331 Table M-1 Respondents profile information.............................................................................................................. 332 Table M-2 Respondents familiarity with infrastructure sectors; and data, process, and transaction modeling ......... 333 Table M-3 Transaction formalism protocol feasibility .............................................................................................. 334 Table M-4 ANOVA two-factor without replication test result for transaction formalism protocol feasibility ......... 334 Table M-5 Transaction formalism protocol usability ................................................................................................ 335 Table M-6 ANOVA two-factor without replication test result for transaction formalism protocol usability ............ 335 Table M-7 Transaction formalism protocol usefulness ............................................................................................. 336 Table M-8 ANOVA two-factor without replication test result for transaction formalism protocol usefulness ......... 336 Table M-9 Transaction formalism protocol generalizability ..................................................................................... 337   xvii List of Figures Figure 1-1 Research focus ............................................................................................................................................. 3 Figure 1-2 Abstract research framework ....................................................................................................................... 5 Figure 1-3 Detailed framework for objective 1 ............................................................................................................. 7 Figure 1-4 Detailed framework for objective 2 ............................................................................................................. 8 Figure 1-5 Detailed framework for objective 3 ............................................................................................................. 9 Figure 1-6 Detailed framework for objective 4 ........................................................................................................... 11 Figure 1-7 As-is asset inventory and condition assessment/tangible capital asset reporting ....................................... 22 Figure 1-8 To-be asset inventory and condition assessment/tangible capital asset reporting ...................................... 23 Figure 2-1 Software versus asset maintenance management planning work function ................................................. 28 Figure 2-2 Software use in the city and district municipalities .................................................................................... 29 Figure 2-3 Communication channel use at municipality level..................................................................................... 30 Figure 2-4 Communication channel use for asset inventory and condition assessment data ....................................... 31 Figure 3-1 The infrastructure management—process maturity model, rubric for assessing infrastructure work processes and communications .................................................................................................................................... 37 Figure 3-2 Benchmarking results showing the work processes and communications studied, the elements evaluated, and the number of responses found for each maturity stage ........................................................................................ 38 Figure 4-1 Transaction domain ontology development architecture ........................................................................... 45 Figure 4-2 Transaction domain kernel ontology .......................................................................................................... 46 Figure 4-3 Transaction taxonomy based on communication transaction-modality ..................................................... 49 Figure 4-4 Transaction taxonomy based on domain transaction-modality .................................................................. 53 Figure 4-5 Message taxonomy ..................................................................................................................................... 55 Figure 4-6 Transaction showing various messages ..................................................................................................... 56 Figure 5-1 Modality-based tangible capital asset kernel ontology .............................................................................. 65 Figure 5-2 Modality-based taxonomy of the facility sector assets .............................................................................. 66 Figure 5-3 Taxonomy of the transportation sector assets ............................................................................................ 67 Figure 5-4 Definition of different types of rural roads ................................................................................................ 68 Figure 5-5 Definition of different types of urban roads ............................................................................................... 69 Figure 5-6 Taxonomy of the water sector assets ......................................................................................................... 70 xviii Figure 5-7 Taxonomy of wastewater sector assets ...................................................................................................... 72 Figure 5-8 Taxonomy of solid waste sector assets ...................................................................................................... 73 Figure 5-9 Taxonomy of tangible capital asset attributes ............................................................................................ 74 Figure 5-10 Message template header information for the AI&CAR/TCA reporting ................................................. 74 Figure 5-11 Multiple view message template showing payload information for the AI&CAR/TCA reporting .......... 75 Figure 6-1 The components (rectangles with rounded sides) of relevant process formalization standards (rectangles with rounded corners) that correspond to similar components of the proposed protocol ............................................ 82 Figure 6-2 A process model of the overall transaction formalism protocol ................................................................. 84 Figure 6-3 Inputs, controls, tools/techniques, and outputs of step 1 through 4: (a) Assess needs; (b) Define as-is transaction map; (c) Develop to-be transaction map; and (d) Collect information ...................................................... 86 Figure 6-4 inputs, controls, tools/techniques, and outputs of step 5 through 8; (a) Design message template; (b) Review transaction map and message template; (c) Adopt and implement transaction specification; and (d) monitor transaction specification ................................................................................................................................................................. 88 Figure 6-5 A form for the transaction formalism tool for supporting the needs assessment step in the domain of infrastructure management .......................................................................................................................................... 90 Figure 7-1 Approach to developing the transaction formalism protocol ..................................................................... 95 Figure 7-2 Transaction formalism protocol architecture ............................................................................................. 96 Figure 7-3 Inputs, controls, tools/techniques, and outputs for step-3, (develop the to-be transaction map) ................ 97 Figure 7-4 Assess needs—sample form ....................................................................................................................... 98 Figure 7-5 Define As-is transaction map—sample form ............................................................................................. 99 Figure 7-6 Develop To-be transaction map—sample form ....................................................................................... 101 Figure 7-7 Collect header information—sample form ............................................................................................... 102 Figure 7-8 Collect payload information—sample form ............................................................................................. 103 Figure 7-9  Review To-be transaction map and message templates—sample form .................................................. 105 Figure 7-10  Monitor transaction specification—sample form .................................................................................. 107 Figure 7-11 Develop To-be transaction map for asset inventory and condition assessment reporting/tangible capital asset reporting ............................................................................................................................................................ 108 Figure 8-1 Proposed approach ................................................................................................................................... 114 Figure 8-2 Infrastructure transaction management portal architecture ...................................................................... 115 xix Figure 8-3 Create a virtual directory of the prototype portal ..................................................................................... 116 Figure 8-4 Create a collection site of the prototype portal ........................................................................................ 116 Figure 8-5 Create subsites of the prototype portal; (a) Subsite for the domain transaction; (b) Subsite for collaboration transaction; and (c) Subsite for multilateral transaction ............................................................................................ 117 Figure 8-6 Create web pages in subsites of the prototype portal ............................................................................... 118 Figure 8-7 Create web pages for transaction specification—forms ........................................................................... 118 Figure 8-8 (a) Shows the recording of the transaction specification meta information; (b) Shows the attached tangible capital asset reporting transaction specification file .................................................................................................. 119 Figure 8-9 (a) Create a web page for transaction specification—to be transaction map; and (b) Portal navigation hierarchy .................................................................................................................................................................... 119 Figure 8-10 (a) Create a web page for transaction specification—message templates; and (b) Inline editing of attached file metadata .............................................................................................................................................................. 120 Figure 8-11 The web page shows the search functionality ........................................................................................ 120 Figure 8-12 Infrastructure transaction management portal application ..................................................................... 122 Figure 9-1 (a) Create asset information integrator system website and a library and; (b) Library attributes ............ 126 Figure 9-2 Review and modify message template; (a) Message header section (show examples of validation rules); and (b) Message payload section ............................................................................................................................... 127 Figure 9-3 Transaction map developed for asset inventory and condition assessment/tangible capital asset  reporting ................................................................................................................................................................................... 128 Figure 9-4 Validated SharePoint workflow diagram ................................................................................................. 129 Figure 9-5 (a) Non-configured workflow; and (b) Configured workflow ................................................................. 129 Figure 9-6 (a) Adding sum function; and (b) Adding average function .................................................................... 130 Figure 9-7 Asset information integrator system application ...................................................................................... 131 Figure 9-8 (a) Submit option functionality in infopath filler and (b) Successful submission notification ................. 132 Figure 9-9 (a) Inbox showing receipt of the tangible capital asset report; and (b) TCA report attached as an XML file ................................................................................................................................................................................... 132 Figure 9-10 Uploaded tangible capital asset report ................................................................................................... 133 Figure 9-11 (a) Processing of the tangible capital asset report is in progress; and (b) Work flow status visualization ................................................................................................................................................................................... 133 Figure 9-12 Review task is completed ....................................................................................................................... 134 xx Figure 9-13 Send accept acknowledgement message ................................................................................................ 134 Figure 9-14 A set of ten tangible capital asset reports ............................................................................................... 135 Figure 9-15 Real time charts development for the tangible capital asset list ............................................................. 135 Figure 9-16 Excel web query file is exported and opened in MS Excel .................................................................... 136 Figure D-1 Transaction upper ontology ..................................................................................................................... 196 Figure E-1 Methodology to develop transaction domain ontology ........................................................................... 198 Figure E-2 Transaction domain kernel ontology ....................................................................................................... 205 Figure E-3 Taxonomy of actor and actor roles .......................................................................................................... 207 Figure E-4 Taxonomy of information ........................................................................................................................ 209 Figure E-5 Taxonomy of transaction attributes ......................................................................................................... 211 Figure E-6 Taxonomy of information, message, and actor/actor role attributes ........................................................ 212 Figure E-7 Taxonomy of transaction mechanisms .................................................................................................... 215 Figure E-8 Taxonomy of transaction constraints ....................................................................................................... 219 Figure E-9 Taxonomy of relationships ...................................................................................................................... 221 Figure E-10 Whole-part composition relationship—(partonymy) ............................................................................. 222 Figure E-11 Taxonomy of axioms ............................................................................................................................. 223 Figure E-12 Existential restriction ............................................................................................................................. 225 Figure E-13 Universal restriction .............................................................................................................................. 226 Figure E-14 Cardinality restriction ............................................................................................................................ 226 Figure E-15 hasValue restriction ............................................................................................................................... 227 Figure E-16 Class hierarchy representing taxonomies of core and support concept ................................................. 228 Figure E-17 Transaction taxonomy coded in Protégé ontology editor using ontology web language ....................... 229 Figure E-18 (a) Abstract object property hierarchy; and (b) Expanded directed associations ................................... 230 Figure E-19 Axioms coded in Protégé ontology editor to define concepts explicitly ............................................... 231 Figure E-20 Reasoners based verification of the transaction domain ontology; (a) Class hierarchy with Protégé automated reasoners; (b) Inconsistent inferred class hierarchy; and (c) Consistent inferred class hierarchy ............ 233 Figure F-1 Reasoners based verification of tangible capital asset ontology; (a) Class hierarchy with Protégé automated reasoners; (b) Inconsistent inferred class hierarchy; and (c) Consistent inferred class hierarchy .............................. 248 xxi Figure K-1 Assess needs—filled form ....................................................................................................................... 299 Figure K-2 Define As-is transaction map for the AI&CAR/TCA reporting—filled form......................................... 300 Figure K-3 UML sequence diagram of the As-is transaction map using generic names of atomic transactions ....... 301 Figure K-4 UML sequence diagram of As-is transaction map using specific names of atomic transactions ............ 301 Figure K-5 Develop To-be transaction map of AI&CAR/TCA reporting—filled form ............................................ 302 Figure K-6 UML sequence diagram of To-be transaction map using generic names of atomic transactions ............ 303 Figure K-7 UML sequence diagram of To-be transaction map using specific names of atomic transactions ........... 304 Figure K-8 Header information specification for the AI&CAR/TCA reporting—(filled form) ................................ 305 Figure K-9 Payload information specification for the AI&CAR/TCA reporting—(filled form)............................... 306 Figure K-10 Message template defined for atomic transaction 1 and 2—request TCA information ........................ 307 Figure K-11 Message template used in atomic transaction 3 and 10—receipt acknowledgement ............................ 308 Figure K-12 Message template view 1 defined for atomic transaction 4, 6, and 7—submit TCA information, (facility sector assets) .............................................................................................................................................................. 310 Figure K-13 Message template view 2 defined for atomic transaction 4, 6, and 7—submit TCA information, (road transportation sector assets) ....................................................................................................................................... 312 Figure K-14 Message template view 3 defined for atomic transaction 4, 6, and 7—submit TCA information, (bridge transportation sector assets) ....................................................................................................................................... 313 Figure K-15 Message template view 4 defined for atomic transaction 4, 6, and 7—submit TCA information, (water sector assets) .............................................................................................................................................................. 314 Figure K-16 Message template view 5 defined for atomic transaction 4, 6, and 7—submit TCA information,        (sanitary wastewater sector assets) ............................................................................................................................ 315 Figure K-17 Message template view 6 defined for atomic transaction 4, 6, and 7—submit TCA information,            (storm wastewater sector assets) ................................................................................................................................ 316 Figure K-18 Message template view 7 defined atomic transaction 4, 6, and 7—submit TCA information,                    (solid waste management sector assets) ..................................................................................................................... 317 Figure K-19 Message template view 8 defined for atomic transaction 4, 6, and 7—submit TCA information,        (sectoral cost summary) ............................................................................................................................................. 318 Figure K-20 Message template view 1 defined for atomic transaction 8 and 9—send TCA information,                    (facility sector assets) ................................................................................................................................................ 319 xxii Figure K-21 Message template view 2 defined for atomic transaction 8 and 9—send TCA information, (road transportation sector assets) ....................................................................................................................................... 321 Figure K-22 Message template view 3 defined for atomic transaction 8 and 9—send TCA information,                     (bridge transportation sector assets) .......................................................................................................................... 322 Figure K-23 Message template view 4 defined for atomic transaction 8 and 9—send TCA information,                        (water sector assets) ................................................................................................................................................... 323 Figure K-24 Message template view 5 defined for atomic transaction 8 and 9—send TCA information,                  (sanitary wastewater sector assets) ............................................................................................................................ 324 Figure K-25 Message template view 6 defined for atomic transaction 8 and 9—send tca information,                            (storm wastewater sector assets) ................................................................................................................................ 325 Figure K-26 message template view 7 defined for atomic transaction 8 and 9—send TCA information,                          (solid waste management sector assets) ..................................................................................................................... 326 Figure K-27 Message template view 8 defined for atomic transaction 8 and 9—send TCA information,                       (sectoral cost summary) ............................................................................................................................................. 326 Figure K-28 Review To-be transaction map and message templates defined for the AI&CAR/TCA reporting—(filled form) .......................................................................................................................................................................... 328   List of Abbreviations -       Partially Satisfied +        Fully Satisfied √        Compliance 3D       Three Dimension AADT        Average Annual Daily Traffic AASHTO       American Association of  State Highway and Transportation Officials ABS       Acrylonitrile Butadiene Styrene AC       Asbestos Cement Actor-Onto       Actor Ontology AEC       Architecture, Engineering, Construction AEC/FM       Architecture, Engineering, Construction and Facilities Management  agcXML       Associated General Contractors of America Extensible Markup Language AI&CAR/TCA Reporting Asset Inventory and Condition Assessment Reporting/Tangible Capital Asset Reporting AIIS       Asset Information Integrator System AMMP-WF       Asset Maintenance Management Planning Work Function  ANOVA       Analysis of Variance  Arc-GIS       Arc Geographic Information System ASCE       American Society of Civil Engineers As-is TM       As-is Transaction Map    Asp.net       Active Server Pages are an Integral Part of .Net Framework BC       British Columbia BIM       Building Information Model BPMM       Business Process Maturity Model BPSS       Business Process Specification Schema C2C       Computer-to-Computer   CA       Corrugated Aluminium CAD       Computer Aided Drafting/Computer Aided Design CEDAC       Cause and Effect Diagram with the Addition of Cards  CFMA       Construction Financial Management Association CI       Cast Iron CIB W78-W102 Conseil International du Batiment pour la Recherche l'Etude et la Documentation" or in English "International Council for Research and Innovation in Building and Construction  CM       Construction Manager CMMI       Capability Maturity Model Integration xxiv COINS-BIM Construction Objects and the Integration of Processes and Systems–Building Information Model  COINS-CEM Construction Objects and the Integration of Processes and Systems–Construction Engineering Method  CPVC       Chlorinated Polyvinyl Chloride CQs       Competency Questions  CS       Concrete Cement CSC-MM       Construction Supply Chain Maturity Model DE       Design Engineer  DI       Ductile Iron DRIVE       Define, Review, Identify, Verify, and Execute dTIM       Deighton Total Infrastructure Management System  ebXML       electronic business Extensible Markup Language  eCPPM       European Conference on Product and Process Modeling Eds.       Edition EFQM/BQM       European Foundation for Quality Management/Business Quality Model  E-mail       Electronic Mail F       Full Compliance  FAA-iCMM      Federal Aviation Administration-Integrated Capability Maturity Model FC       Full Compliance  FIATECH       Fully Integrated and Automated Technology FIPS       Federal Information Processing Standard FTEs       Full Time Employees FTP       File Transfer Protocol  GC       General Contractor GHz       Giga Hertz GI       Galvanized Iron GS       Galvanized Steel H        High HDPE       High Density Polyethylene IAI       International Alliance of Interoperability IC-Pro-Onto      Infrastructure and Construction Process Ontology ICT       Information and Communication Technology ID       Idenitfy IDEF0       Integration Definition Function Modeling Technique IDM       Information Delivery Manual  IFC       Industry Foundation Class xxv IIS       Internal Information Server IMM       Interactive Capability Maturity Model  IM-PMM       Infrastructure Management - Process Maturity Model IPD-Onto       Infrastructure Product Ontology ISEC       International Structural Engineering and Construction Conference IT       Information Technology  ITC       Information Technology in Construction ITMP       Infrastructure Transaction Management Portal IU-BIM       Indiana University Building Information Modeling  IU-BIM-PM      Indiana University Building Information Modeling Proficiency Matrix  JIIRP       Joint Infrastructure Interdependency Research Program IT M       Medium  MM       Maturity Model MS       Microsoft MSP       Managing Successful Programs Methodology MT       Message Template MVD       Model View Definition N        Non or Not at All Easy or Not Applicable N       Non Compliance  N/A       Not Applicable  NBIMS       National Building Information Model Standards NC       Non Compliance NIBS       National Institute of Building Sciences  NSERC       Canadian Natural Sciences and Engineering Research Council  Open-edi Onto     Open-electronic Data Interchange Ontology OPM3       Organizational Project Management Maturity Model  OPT       Optional OS        Operating System OWL       Ontology Web Language P       Partial Compliance  P2C       Person-to-Computer P2P       Person-to-Person  P3M3       Portfolio, Program, and Project Management Maturity Model PC       Partial Compliance PDF       Portable Document Format PE       Polyethylene PMBOK       Project Management Body of Knowledge xxvi PMI       Project Management Institute  PP       Polypropylene PSAB       Public Sector Accounting Board PVC       Polyvinyl Chloride RAM       Random Access Memory  RDF        Resource Description Framework  RDF-S       Resource Description Framework Schema REA       Resource-Event-Agent REQ       Required   RIVA       Real Time Infrastructure Valuation Analysis RPM       Reinforced Plastic Mortar S       Steel SC       Subcontractor SEI       Software Engineering Institute SPICE       Standardized Process Improvement for Construction Enterprises SPICE3 Semantic Collaborative Portal for the Exchange of Infrastructure Interdependencies Information  SQL       Structured Query Language SORP       Statement of Recommended Practice SWOT       Strengths, Weaknesses, Opportunities, and Threats TCA       Tangible Capital Asset TCA_Extended_Onto   Tangible Capital Asset Extended Ontology TCA_Kernel_Onto    Tangible Capital Asset Kernel Ontology TCA_Onto       Tangible Capital Asset Ontolgoy TFP       Transaction Formalism Protocol TM       Transaction Map   To-be TM       To-be Transaction Map Trans_Dom_Extended_Onto Transaction Domain Extended Ontology Trans_Dom_Kernel_Onto  Transaction Domain Kernel Ontology Trans_Dom_Onto    Transaction Domain Ontology Trans_Upper_Onto    Transaction Upper Ontology UBC       University of British Columbia UK       United Kingdom UML       Unified Modeling Language UMM       UN/CEFACT Modeling Methodology  UN/CEFACT      United Nation's Center for Trade Facilitation and Electronic Business  URL       Univeral Resource Locator xxvii USA       United States of America VC       Vitrified Clay VISI        Voorwaarden Scheppen VoorInvoering Standaardisatie VWI       Visio Workflow Interchange  X        Non Compliance/Not applicable X       Non Satisfied XML       Extensible Markup Language   xxviii Acknowledgements First of all, I would like to pay thanks to almighty Allah, who has given me the opportunity, ability, and knowledge to complete this challenging research undertaking. A long and interesting journey could not come to an end without the help, guidance, and support of many individuals. I am very much grateful to my supervisor, Prof. Thomas Froese for his continued financial, moral, and technical support throughout my research program. He has guided me throughout this research and kept me on track through his broader vision, vast knowledge, and expertise in the academia. His concrete and realistic ideas helped me converge my thought process on specific aspects of this research. His relax attitude towards research helped me relieve my tension throughout this research. Thank you very much for your help, inspiration, dedication, and guidance. It’s been a great pleasure working with you. I am very much thankful to all members of the research supervisory committee for their invaluable guidance throughout the research program. I would like to pay thanks to Dr. Dana Vanier for his extensive coordination with the local government officials towards accomplishing an IT survey conducted as part of this research work. His vast expertise in the area of infrastructure management has helped me identify research issues in this niche segment of the construction industry. I am also thankful to Prof. Sheryl Staub-French for his constructive feedback and thought-stimulating questions in the committee meetings and seminars. I am grateful to the Dr. Mahmoud Halfawy for his critical comments, suggestions, and positive feedback. My special and cordial thanks go to Prof. Alan Russell for his invaluable guidance and positive critique on various aspects of this research.  I would like to pay thanks to all experts from different municipalities who participated in the IT survey: Mr. Barry Davis, Mr. Justin Lawrence, Mr. David McAllister, Mr. Tim Henry, Mr. Tyler Bowie, Jeff Arason, Mr. Jon Munn, Mrs. Lorena Mueller, Mr. Terry Veer, Mr. Lloyd Bie, Mr. Brandon Kurtz, Mr. Jim Nelson, Mr. Lionel Wang, Mr. Khushnud Alam Yoursafzai and Javed Shah. I am also thankful to industry experts; Mr. Khushnud Alam Yousafzai, Mr. Ghulam Rasool Shah, Mr. Madav Nepal, and Mr. Farhan Rafique for reviewing and validating various components of this research work. I would like to pay thanks to Mr. Muhammad Tufail, who have helped me installing and working with different software.  I am grateful to all professors and colleagues at the project and construction management group for their valuable suggestions, and discussions: Mr. Saad Abo-Moslim, Mr. Madav Nepal, Mr. Chao-Ying Chiu, Mr. Ngoc Tran, Mr. Mingen-En Li, Mr. Hasan Burak Cavaka, Mr. Ali-Ghamsari Asphahani, and Mr. Fenyang Chan. I would like to appreciate and recognize well-wishes, encouragement, and moral support from Dr. Yar Muhammad, Dr. Navid Ahmad, Dr. Muhammad Tahir Khan, and Mr. Muhammad Irfan Ullah. I would like to express my warmest and deepest thanks to my parents and brother; Mr. Ali Akbar Shah, Mrs. Khalida Begum and Mr. Rashid Khan, who have suffered a lot due to my studies abroad. They raised me, taught me, supported me, loved me, and instilled in me the passion of learning. I would also like to express my loving thanks and profound gratitude to my wife Mrs. Ayesha Durrani, and three kids: Qazi Syed Abdur Rehman, Maryam Zeb, and Qazi Syed Muhammad Abdullah for bearing with me throughout the long hours of work and for being my greatest joy.1  1.1 Introduction This chapter 1  is a brief overview of the complete research work that relates to transaction formalization in infrastructure management. Presently, communications (i.e. transactions) between the infrastructure agencies are accomplished in a manual and ad hoc basis. The growing trend is to transform these manual communications to a more formalized computer-based communications, which is the core focus of this research work. There are three main research questions “what transactions are candidates to formalize?” “why formalize transactions?” and “how to formalize and manage transactions?” Answers to these questions were explored through setting up four main research objectives that were decomposed into nine sub-objectives. The four main objectives are: benchmark initiatives, build ontologies, develop protocol, and apply the protocol. This chapter is divided into six sections. Discussion in different sections of this chapter is organized according to four research objectives. This chapter; introduces the research topic and states the problem, discusses research objectives, framework, scope and contributions, briefly reviews literature, discuss the case study, and describes thesis organization.   1.2 Problem Statement and Solutions Infrastructure agencies have the prime responsibility to deliver services (e.g. road access, water supply, sewage disposal, and so on) to users in an effective and efficient manner through a complex and interdependent network of infrastructure systems. Various private, para-governmental (crown corporations), and public agencies (e.g. municipal, regional, provincial, and federal governments) own, operate, and manage these infrastructure systems using a wide range of information systems, each based on different proprietary data models. Different agencies interact with each other and exchange infrastructure information to accomplish a wide range of collaborative tasks. As infrastructure agencies increasingly rely on computer-based systems to manage infrastructure data, much of the information that was traditionally exchanged through human-to-human communications can now be exchanged electronically through computer-to-computer data exchange. This allows for more extensive, rapid, and error-free exchange of information,                                                             1 A version of the chapter is published in the 9th European Conference on Product and Process Modeling (eCPPM 2012). Zeb, J.; Froese, T.; and Vanier, D. (2012). “A Review of the Process Formalization Standards to Develop a Transaction Protocol for Infrastructure Management”, Gudnason & Scherer (Eds.), eWork and eBusiness in Architecture, Engineering and Construction, © 2012 Taylor & Francis Group, 9th European Conference on Product and Process Modeling (eCPPM 2012), July 25-27, 2012, Reykjavik, Iceland. The main focus of this paper is to review state-of-the-art work process and communication formalization standards and methodologies in various industries and build on the existing standards to develop the proposed Transaction Formalism Protocol as part of this research work. Chapter 1 Introduction  2 but it requires more formal specifications and agreements to govern these data exchanges. The terms; data exchange, information exchange, communication, communication process, and transaction are used interchangeably in this research work. A transaction is defined “as any communication or interaction between the sender and receiver roles that make up the information flow through a single or collection of a sequenced set of messages” (Zeb and Froese, 2012). Examples of transactions between infrastructure organizations or between infrastructure management systems include: communications during a disaster response (“is power available in this area?” “who is responsible for this section of roadway?” “when will water to be restored to this area?”); coordination between buried utility agencies to provide a “call-before-you-dig” call center for excavations; or aggregation of data from multiple infrastructure management software for the purpose of performing sustainability analysis or asset inventory and condition assessment reporting to meet public sector accounting requirements. In addition, formalized transactions can be used in the multi-agency situational awareness system wherein the provincial government requires information from many other organizations outside the provincial jurisdiction to prepare for and mitigate the impacts of emergency incidents through timely sharing of geospatially-referenced information. The system provides situational awareness data aggregation and automate the information dissemination and communication process during an emergency and allows visual representation of this information on maps (Stewart, 2010). Currently, work processes and data exchanges between collaborating partners in the Architecture, Engineering, Construction, and Facilities Management (AEC/FM) industry are manual (human-to-human), unstructured, and ad hoc: which all result in poor communication. Some of the disadvantages of this poor communication are time and cost overruns, productivity losses, rework, and reduced quality. Emerging trends in the AEC/FM industry for globalization and partnering along with enhanced pressure to reduce project time and cost require information to be exchanged in an effective way (Pouria et al. 2002). “Some industry studies have estimated that 30% of design and construction costs, excluding hard-dollar (i.e. bricks and mortar) materials costs, are wasted due to poor communication and inefficiencies within and between companies” (Unger 2005, p. 1). The results of the FMI/CMAA 4th and 5th annual surveys of owners indicated that poor communication is the main cause of the lack of collaboration and coordination between various partners (FMI/CMAA, 2003 and 2004). The Voorwaarden Scheppen VoorInvoering Standaardisatie (VISI) organization studied large-scale infrastructure projects and found that the lack of structured communication was one of the main bottlenecks in implementing infrastructure projects (VISI, 2007). To overcome all of these problems, there is a need to have a paradigm shift of the current practices of manual communication to a more formalized computer-to-computer based exchange of information between different partners of the AEC/FM industry. One possible solution is shown in Figure 1-1.  For computer-based communications, the data exchanges in Figure 1-1 between the parties require more formal descriptions of the flow (Transaction Map, TM) and structure of information (Message Template, MT). The complete documentation of the formal descriptions, including the formalized TM and MTs, are referred to as transaction specifications or standard transaction agreements, as illustrated in Figure 1-1. Although the inevitable trend in communications technology is towards increasing computerization, computer-to-computer data exchange, and, therefore, transaction formalization, there are many challenges that prevent this formalization from being an easy or efficient process. These challenges include the issues of identifying the spectrum of transactions that exist within the 3 infrastructure industry; assessing transactions to determine those that are best suited for formalization; and developing an appropriate process for carrying out this formalization.  At the level of the data structures needed to construct transaction specifications, the diversity of software used within the infrastructure industry has led to significant challenges with heterogeneity in data forms, data (class) definitions, and data aggregation structures (Felio, 2012).  These issues can be grouped to create the three main research questions of the thesis:   Figure 1-1 Research focus i. What transactions are candidates to formalize? The first question pertains to identifying the transactions that have the greatest potential for IT improvement. This issue was addressed by conducting an info