Appendix A
Every factual claim this toolkit makes, the source that supports it, and how far that source was actually read. A claim that cannot be traced to an entry here is softened or removed — it is never shipped with an approximate reference.
One standard applies throughout: a source counts as verified only where its own text has been read. Search engines were used to locate candidate sources; a search result summary was never treated as the source itself.
A reference list tells you what an author says they consulted. It does not tell you how far to trust each line of it. Every entry below therefore carries a tier stating what was read — not how reputable the publisher is.
What each tier permits a reader to take from the entry
| Tier | What was read | What may be cited from it |
|---|---|---|
| T1 | The publisher’s own text of the source | Clause numbers and verbatim wording |
| T2 | The publisher’s catalogue or specification record; full text paywalled | Identity, edition, scope. No clause wording |
| T3 | An authoritative secondary account — legal guide, official reproduction, institutional record | The substance of the provision, attributed to the secondary source |
| T4 | Not verified | Nothing. The claim is softened or removed |
Fabricated or approximate citations are the characteristic failure mode of machine-assisted literature work, and a single invented reference would compromise both this instrument and any publication resting on it. This register is written to make the absence of a source visible rather than to conceal it. Section 06 lists what is still unsupported.
Each question in the assessment names the source it is drawn from. This is where that source is stated in full, with the clause. Sixteen of the twenty are anchored to a published standard or industry-body document whose own text was read. Four are not, and say so.
Until this pass was completed the criteria carried candidate anchors that had never been checked against the sources they name. That is recorded here because the difference matters to a reader deciding how much weight the instrument carries: a criterion described as anchored, but never checked, is an assertion about the literature rather than a use of it.
Anchor as shown in the assessment · the clause it was checked against · how far the source was read
| Item | Anchor shown | Verified against | Tier |
|---|---|---|---|
| A1 | ISO 19650-1 · organisational information requirementsGovernance | ISO 19650-1:2018 3.3.3 organizational information requirements (OIR); Clause 5.2 | T1 |
| A2 | ISO 19650-2 · exchange information requirementsGovernance | ISO 19650-2:2018 5.2.1 appointing party’s EIR; 5.4.3 lead appointed party’s EIR; 5.1.4 project’s information standard | T1 |
| A3 | Vendor lock-in · data portabilityGovernance | No external anchor. Instrument design rationale. Nearest citable material: buildingSMART on openBIM vendor-neutrality [10]; ISO 16739-1 [3]. Neither says how often firms test portability | none |
| A4 | Locale pack · authority submission routeGovernance | Dubai Municipality Circular 9-1-2 (2023) [16]; Singapore CORENET X / IFC-SG [12] The label names this toolkit’s own locale mechanism; the practice it assesses is primary-sourced | T1 |
| B1 | ISO 19650-1 · capability and capacityPeople and skills | ISO 19650-1:2018 3.3.18 capability; 3.3.19 capacity; Clause 8 Delivery team capability and capacity | T1 |
| B2 | ISO 19650-1 · information management functionsPeople and skills | ISO 19650-1:2018 Clause 7 Project and asset information management functions (7.2–7.4); ISO 19650-2 5.1.1 | T1 |
| B3 | Key-person concentration · continuityPeople and skills | ISO 19650-1:2018 3.3.19 capacity — “resources available to perform and function”; Clause 8; ISO 19650-2 5.3.3, 5.3.4 | T1 |
| B4 | Succar · competency developmentPeople and skills | Succar, Sher & Williams (2013) [19] Competency tiers — Core, Domain, Execution — with sets and topics; individual competencies as “the building blocks of organizational capability” | T1 |
| C1 | Vendor concentration · switching costTechnology | No external anchor. Instrument design rationale. Measurable rather than citable | none |
| C2 | buildingSMART · IFC exchange fidelityTechnology | buildingSMART Software Certification Program [18] Global IFC Software Certification, export and import. Import certification is assessed by user questionnaire — a reported observation, which is what this item collects | T1 |
| C3 | Adoption barriers · licensingTechnology | No external anchor. Instrument design rationale. See section 06 | none |
| C4 | Switching cost · optionalityTechnology | No external anchor. Instrument design rationale. Measurable rather than citable | none |
| D1 | ISO 12006-2 · framework for classificationData and standards | ISO 12006-2:2015 Clause 1 Scope; Clause 5 Recommended classification tables. The standard states it “does not provide a complete operational classification system” | T1 |
| D2 | ISO 19650-2 · project information requirementsData and standards | ISO 19650-2:2018 5.1.2 Establish the project’s information requirements; 5.1.4 Establish the project’s information standard | T1 |
| D3 | buildingSMART · validation serviceData and standards | buildingSMART IFC Validation Service [17] STEP syntax, IFC schema, normative IFC rules; industry practices and bSDD compliance as warnings | T1 |
| D4 | ISO 19650-3 · long-term information stewardshipData and standards | ISO 19650-3:2020 Clause 1 Scope (operational phase); 5.8.2 Review and continue maintenance of the AIM; ISO 19650-2 5.8.1 Archive the project information model. The label is this toolkit’s paraphrase, not the standard’s wording | T1 |
| E1 | ISO 19650-1 · Common Data EnvironmentOrganisational processes | ISO 19650-1:2018 3.3.15 CDE; Clause 12, with the states at 12.2–12.7 — work in progress, shared, published, archive | T1 |
| E2 | ISO 19650-2 · information delivery planningOrganisational processes | ISO 19650-2:2018 5.4.4 task information delivery plans; 5.4.5 master information delivery plan | T1 |
| E3 | ISO 19650-3 · asset information modelOrganisational processes | ISO 19650-1 3.3.9 AIM; ISO 19650-3:2020 5.1.11 Establish the asset information model; 5.8.1–5.8.2 AIM aggregation and maintenance | T1 |
| E4 | ISO/IEC 33020 · measurement and improvementOrganisational processes | ISO/IEC 33020:2019 5.2.6 level 4 Predictable (PA 4.1 quantitative analysis, PA 4.2 quantitative control); 5.2.7 level 5 Innovating (PA 5.1 process innovation) | T1 |
The per-item anchors above are not the whole of the instrument’s construct validity, and treating them as such understates it. Every item offers exactly six options, and the six positions instantiate the six-point ordinal scale of ISO/IEC 33020:2019 §5.2.1, quoted in the standard’s own words:
“Process capability is defined on a six-point ordinal scale that enables capability to be assessed from the bottom of the scale, Incomplete, through to the top end of the scale, Innovating. The scale represents increasing capability of the implemented process, from failing to achieve the process purpose through to continually improving and able to respond to organizational change.”
Level 0 Incomplete · 1 Performed · 2 Managed · 3 Established · 4 Predictable · 5 Innovating (§5.2.2–§5.2.7). Levels 4 and 5 are defined by quantitative management and by innovation drawn from analysed data, which is why every item’s top two options are a measurement option followed by one where the measurement changes something.
A3 data portability, C1 tool concentration, C3 adoption barriers and C4 switching cost name no instrument. Their labels in the assessment are concept pairs, not citations, and this page states plainly that they rest on the instrument’s own design rationale.
They are measurable rather than citable, which is a different problem from being unsupported: the way to settle them is to conduct the measurement, not to keep searching for a secondary source. They stand or fall on the pilot study, not on the literature. Any description of this instrument as “anchored” should state the sixteen–four split rather than round it up.
Read from the publishers’ official preview documents. Clause numbers and quoted wording below are taken from those texts.
What each supports, and how far its text was read
| Standard | What it supports here | Tier |
|---|---|---|
| ISO 19650-1:2018Concepts and principles | Definitions of BIM (3.3.14), CDE (3.3.15), federation (3.3.11), information container (3.3.12), OIR/AIR/PIR/EIR (3.3.3–3.3.6), AIM (3.3.9), capability (3.3.18) and capacity (3.3.19)Full Clause 3 read | T1 |
| ISO 19650-2:2018Delivery phase of the assets | Where EIR are established (5.2.1, 5.4.3), the project’s information standard (5.1.4), information delivery planning (5.4.4, 5.4.5), capability and capacity assessment (5.3.3, 5.3.4), archiving at close-out (5.8.1)Cover matter through the opening of Clause 3, including the full table of contents. Clause titles quotable; clause bodies not read | T1 |
| ISO 19650-3:2020Operational phase of the assets | Scope as the operational phase (Clause 1), asset information requirements (5.1.4), the AIM established, aggregated and maintained (5.1.11, 5.8.1, 5.8.2)Read to the same extent as Part 2 | T1 |
| ISO 12006-2:2015Framework for classification | That it is a framework for developing classification systems and not a system itself (Clause 1); the recommended classification tables (Clause 5) | T1 |
| ISO/IEC 33020:2019Process measurement framework | The six-point capability scale (§5.2.1) and the names of levels 0–5 (§5.2.2–§5.2.7)Full §5.2 read, including process attributes | T1 |
| ISO 16739-1:2024Industry Foundation Classes | IFC as the open international standard for BIM data. Current edition; supersedes the 2018 edition and corresponds to IFC 4.3.2.0Catalogue record only — no clause wording is quoted from it anywhere in this toolkit | T2 |
ISO 19650-1:2018, 3.3.14 — “use of a shared digital representation of a built asset to facilitate design, construction and operation processes to form a reliable basis for decisions.” The standard attributes this to ISO 29481-1:2016, 3.2, modified: the word “object” was replaced with “asset”. Cite 19650-1 as the operative source and mention 29481-1 where the lineage is material.
ISO 19650-1 separates them by what each relates to: EIR (3.3.6) — “information requirements in relation to an appointment”; AIR (3.3.4) — “in relation to the operation of an asset”; PIR (3.3.5) — “in relation to the delivery of an asset”. An early draft of the toolkit’s glossary merged EIR and AIR into one entry. The plain-language gloss remains for the practitioner; the distinction is carried in the footnote.
Its own Scope states that it “does not provide a complete operational classification system, nor does it provide the content of the tables”. Uniclass, OmniClass and MasterFormat are separately published systems built to that framework and appear nowhere in the text read. Any wording implying that ISO 12006-2 is the classification system is incorrect — including an earlier version of this toolkit’s own D1 anchor. See correction C-4.
The instruments behind claims that BIM is required. Tiers are mixed and are given per row. Where a primary text was obtained it is cited directly; where it was not, the row says so.
Jurisdiction · instrument · scope · force
| Jurisdiction | Instrument and what it requires | Force | Tier |
|---|---|---|---|
| UAE — Dubai | Dubai Municipality Circular 9-1-1 (23 Aug 2021) [15]. Sets two scopes in force together: architectural and mechanical work on buildings over 20 floors, facilities over 200,000 sq ft, specialist facilities such as hospitals and universities, all government projects, and projects submitted by a foreign office subsidiary; and structural work on buildings over 40 floors and facilities over 300,000 sq ft | MandatoryDubai only | T1 |
| UAE — Dubai | Dubai Municipality Circular 9-1-2 (13 Oct 2023) [16]. Architectural and structural designs must be submitted in what the circular itself calls Open BIM form, to the Dubai BIM Standard, with new building permit applications, as a first phase from 1 January 2024: over 20 floors architectural or 40 floors structural; over 20,000 m² architectural or 30,000 m² structural; hospitals, universities and the like; government projects other than utility services. Submission runs in parallel with existing drawings and does not replace them | MandatoryDubai only | T1 |
| UAE — Dubai | Dubai Municipality Circular 196 (2013) and Circular 207 (2015) [6]. The founding circulars, named as predecessors by 9-1-1 and 9-1-2. buildingSMART records the initial position as “a soft mandate without standards” that established the requirement for BIM during design and construction of all significant projects in the city | Superseded in effect | T3 |
| Singapore | BCA BIM e-submission, now CORENET X [8][12]. Mandatory for projects with GFA over 5,000 m² since 2015. Coordinated models are submitted in IFC-SG, an extension built on the IFC4 Reference View, and regulatory agencies issue approvals on the submitted IFC model. Enabled by the Building and Related Works (Miscellaneous Amendments), passed July 2023 | MandatoryRegulatory submission | T1 |
| Malaysia | Treasury Circular PK 1.15, Ministry of Finance [5]. BIM for Government development projects of RM 10 million and above, from 1 July 2025 | MandatoryPublic sector only | T3 |
| United Kingdom | Government Construction Strategy [7]. Collaborative 3D BIM Level 2 on centrally-funded public projects from April 2016 | MandatoryCentrally-funded public projects | T3 |
| European Union | Directive 2014/24/EU, Article 22(4) [9]. Member States “may require the use of specific electronic tools, such as of building information electronic modelling tools or similar” | PermissiveNot a mandate | T3 |
BIM is mandatory in Dubai only, under Dubai Municipality circulars. There is no federal UAE BIM mandate, and the other emirates have not mandated BIM, although major projects have adopted it voluntarily. Any statement that “the UAE mandates BIM” is inaccurate; the accurate form names Dubai Municipality.
Article 22(4) is routinely miscited as an EU-wide BIM mandate. It is not one. It authorises member states to require BIM electronic tools, and where they do, contracting authorities “shall offer alternative means of access until such time as those tools become generally available.”
Global openBIM Mandates, 2025 Edition [12] carries chapters on Australasia, China, the Czech Republic, Denmark, Dubai, Japan, Poland, Singapore, Spain, Spain (Catalunya), the USA and South Korea. It has no chapter on Malaysia, the United Kingdom or the European Union, so those three rows remain on their per-jurisdiction secondary accounts. This is recorded because an earlier version of this register expected that one document would re-cite the whole table.
The register above records what this project cites. This section records what it contributes: measurements made by the authors on named models, using stated instruments, drawn from no external source. These are the entries for which this project is itself the citable authority.
Instrument named · date given · sample size stated · limit of generalisation explicit
| ID | Finding | Measurement |
|---|---|---|
| F1 | An IFC export can terminate silently and report success | Export stopped at element #3,956; 3,955 elements delivered, roughly 94% of the model absent; no error raised, and the file opens and renders |
| F2 | Storage in an extracted model is dominated by geometry, not by the semantic data that makes it useful | Hospital building, 63,917 elements, about 263 MB: 239.1 MB geometry (91%) against 23.7 MB (9%) for all semantics, transforms and indexes. Relationship data is about 0.2% of the fileSQLite dbstat on the extraction, 2026 |
| F3 | Coverage and validity are independent axes of model quality | Hospital building, 63,917 elements: 7.11% carry a classification code; of the codes present, zero are invalidRe-extraction and direct count, 31 July 2026 |
| F4 | Entity density predicts whether a delivered file can be opened by other tools | Under 50 entities per element opens broadly; 50–200 large but workable; over 200 and many tools cannot open it |
| F5 | Jurisdiction rule coverage is partial, and is reported as partial | 30 UBBL rules implemented against a stated target of 200+ across six jurisdictions |
| F6 | The industry benchmark is empty, and no figure is substituted for it | 0 assessments submittedLive count |
The same model scores 100% on validity and 7.11% on coverage. A single-word verdict — “pass”, “green”, “conformant” — is therefore not merely coarse but arbitrary: it depends entirely on which of two independent axes the verdict happens to measure, and a tool reporting only validity would certify a model that is almost entirely unclassified.
This is why the toolkit reports coverage and well-formedness separately and never issues a single headline score. That design rule follows from a measurement, not from a preference. Where a reader wishes to cite this project as an authority, this is the finding to cite.
F1–F4 are measurements of individual named models, n = 1 in each case. They demonstrate that a condition occurs and is detectable. They establish no frequency, prevalence or industry rate, and must never be quoted as industry statistics.
A separate and stronger claim the instrument makes by construction: identical responses, core version and locale pack produce an identical score, because scoring is a deterministic function rather than a model output. This is what makes test–retest reliability claimable, and it is checkable by any third party from published versions.
Recorded so that they are visible rather than forgotten. Each is either softened in the published copy or awaiting verification, and none may be given a footnote until it moves out of this section.
What is asserted · where · what would resolve it
| Claim | Where | What would resolve it |
|---|---|---|
| “A small number of vendors own practical BIM today” | Background | A market-share source. Industry market reports are typically paywalled; if none is citable, the claim is softened. A free, checkable proxy is a count from the buildingSMART certification register |
| “Warranty disclaimers are near-universal in software licensing, proprietary licences included” | Background, Assessment | Best evidenced by sampling the end-user licence agreements of the most-used BIM authoring tools and counting, with the clause quoted for each. Public documents; a defensible primary finding in a day’s work |
| “Professional indemnity insures the professional, not the tool” | Background, Assessment | A professional-body or insurer statement, or narrowing the claim to what the cited disclaimers themselves say |
| “A building outlives the software that modelled it by decades” | Background, D4 | The concept anchors to ISO 19650-3 on the operational phase. The “by decades” quantum is rhetorical and is presented as such, not as a finding |
| CIDB BIM Guidelines, LOD 500, PeDATA and SKATA as mandate requirements | Background | A primary CIDB or JKR document. These appear only in secondary commentary and derive from guidance separate from PK 1.15 — see correction C-1 |
| Four criteria rest on design rationale: A3, C1, C3, C4 | Assessment | These are measurable rather than citable. The pilot study validates them, not the literature. See section 02 |
This register is only worth publishing if it is allowed to overturn the toolkit’s own copy. Four live claims were found to be wrong during compilation and were corrected in the published pages.
Was published as BIM being mandatory for Malaysian projects of RM 10 million and above, “public and private”, with LOD 500, PeDATA and SKATA handover requirements attached.
Finding. PK 1.15 is a Treasury circular issued by the Ministry of Finance. Its scope is Government development projects of RM 10 million and above. A Treasury circular governs government procurement and cannot bind private-sector projects; private adoption is encouraged, not mandated. The “public and private” framing traces to vendor marketing material, not to the circular. The LOD 500, PeDATA and SKATA requirements derive from separate CIDB guidance, and attaching them to the mandate conflated two instruments.
Finding. Directive 2014/24/EU Article 22(4) is permissive, not mandatory. The page now states that the directive allows member states to require BIM tools for public works but does not itself require them.
Was published as the position under Circulars 196 (2013) and 207 (2015), sourced to a law-firm guide, with 207 described as having “widened” 196.
Finding. The primary texts were obtained from Dubai Municipality’s own document server, and two separate defects appeared. First, two circulars had been missed: 9-1-1 (2021) restates the standing position and 9-1-2 (2023) adds a mandatory Open BIM model submission with new building permit applications from 1 January 2024. Second, the two threshold figures are not two eras: 9-1-1 sets them out as two work-scopes in force together — over 20 floors and 200,000 sq ft for architectural and mechanical work, over 40 floors and 300,000 sq ft for structural work. Reading 207 as having widened 196’s figures collapses a scope distinction into a chronology.
The central assertion — mandatory in Dubai only, no federal UAE mandate — was correct and is unchanged. A secondary account can be simultaneously accurate about the instrument it describes and years out of date about the jurisdiction.
Found by the verification pass in section 02. All four are of one kind: the anchor named a real standard but described it in words the standard does not use, or attached content to it that belongs elsewhere. None was a fabricated source; each was an imprecise attribution, and imprecision in a citation is what the tier system exists to expose.
| Item | Was | Now | Why |
|---|---|---|---|
| B1 | information management competence | capability and capacity | “Competence” is not a defined term of ISO 19650-1. Its terms are capability (3.3.18) and capacity (3.3.19), and Clause 8 is Delivery team capability and capacity |
| B2 | Information Manager function | information management functions | The standard defines a function, not a role. Clause 7 is Project and asset information management functions; ISO 19650-2 5.1.1 appoints individuals to undertake it. “Information Manager” is a job title from earlier national practice |
| D1 | Uniclass / OmniClass / MasterFormat | framework for classification | ISO 12006-2’s Scope states it does not provide a complete operational classification system. The three named systems are separate publications and appear nowhere in the text read |
| D2 | EIR / AIR | project information requirements | AIR is not in ISO 19650-2. Part 2 covers the delivery phase; AIR is defined in Part 1 (3.3.4) as relating to the operation of an asset and established in Part 3 (5.1.4) |
The change was to four label strings. No question wording, no response option and no score was touched.
Stated as a set, in one place, because a reader should not have to assemble them from seven pages. Each is detailed in the section named against it.
Standards are given in the issuing body’s own citation form. Each entry states how it was verified and on what date.
This page forms part of the toolkit release and is not separately citable. Cite the toolkit:
Yusof, M.F.B. (2026). OpenBIM Readiness Assessment Toolkit for Digital Infrastructure Management (Version 0.1) [Research instrument].
No DOI has been minted. A Digital Object Identifier will be assigned at the first version-frozen release, and this section will be updated to carry it. Until then, cite the version number and the access date. Any DOI attributed to this work before that release is not one the authors issued.
To cite a specific claim, cite the underlying source above directly rather than citing this toolkit as the authority for it. The toolkit is the authority for its own instrument design — the criteria, the scoring function, the claim and evidence delta method — and not for the content of ISO standards or national regulations, which should always be cited to the issuing body.
Funding, competing interests, data availability, ethics, use of generative AI and licence are declared at the Disclaimer Notice and are not duplicated here. A reader-facing account of where this instrument sits among existing BIM maturity tools is at How this differs from other assessments.
Author of record and corresponding author: Mohd Faizal Bin Yusof.
Queries about a figure, a source, or a request for the underlying data: yfaizal@gmail.com
Ethics committee approval for the participant-facing study: not required. The researcher has determined that this study does not require formal ethics committee review.