Civil Integrated Management (CIM) for Departments of Transportation, Volume 1: Guidebook (2016)

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6C H A P T E R 2 CIM, as a system, consists of both foundational processes and emerging practices in the high- way construction sector. As the technology has grown, so has the taxonomy and definitions. This chapter explains CIM’s scope and the associated terms. CIM encompasses several technologies that have the potential to improve the performance and predictability of the related project work processes, including scoping, surveying, design, construction, operation, and maintenance. The primary objective is to enable a transition to dig- ital project delivery to better align it with the modern tools and technologies that have emerged in both the office (planning and design phases) and the field environments (construction and operations and maintenance phases). To understand the benefits of CIM and develop systematic guidelines, it is helpful to classify CIM under two categories: • CIM tools category, which includes the associated technologies and tools • CIM functions category, which contains the functions (work areas) that one or more of the highlighted CIM tools improve or transform As per FHWA, CIM, at its entirety, also encapsulates contractual and legal considerations (FHWA 2012). It is important to consider their significance when incorporating CIM functions on projects. Section 4.3 includes a discussion on these topics. 2.1 CIM Tools CIM tools represent the fundamental, core technologies. They enable the possibilities of find- ing new and improved solutions for performing project delivery functions. Figure 2.1 enumer- ates the list of CIM tools and their codes under three categories (used herein for identification purposes): modeling tools, data management tools, and sensing tools. 2.1.1 Modeling Tools—Category A Modeling tools include the technologies that provide the capabilities to create virtual/ digital representations of project data (Eastman et al. 2011). Figure 2.2 describes the various subcategories. 2.1.2 Data Management Tools—Category B Data management tools are collaborative (software) platforms to manage the information generated from various stakeholders throughout the project life cycle. Moreover, they are also essential for the process of implementing 3D design tools and supporting the model-based deliv- erables. Figure 2.3 briefly explains the subcategories under data management tools. Overview of CIM Tools and Functions

Overview of CIM Tools and Functions 7 Figure 2.1. Pictorial representation of CIM tools. 2D Digital Design Tools (A1) Tools that agencies use for design data exchange and organization (Pardue 2008). Some examples include plans, specifications, and 2D CAD files. 3D, 4D, 5D and nD Modeling Tools (A2) Tools that facilitate creation of 3D models for design and visualization of various design elements. Quite often, schedule (4D) and cost (5D) information are integrated. These tools provide a clear picture of the design with a 3D visualization to resolve conflicts among design entities and construction activities, and can be geo-referenced to improve quality of the information (FHWA 2013). Traffic Modeling and Simulation Tools (A3) Traffic models are used to conduct studies and determine impact on traffic conditions through simulations at the microscopic (roadway) to macroscopic (city or state network) levels (Warne 2011). These tools are used to calculate various metrics (such as delays for the users of the road under construction). In combination with design visualization, they enhance the Public Information process (Wei and Jarboe 2010). Figure 2.2. Modeling tools—Category A.

8 Civil Integrated Management (CIM) for Departments of Transportation 2.1.3 Sensing Tools—Category C This category consists of advanced surveying tools that improve performance of many aspects, such as coverage, speed, cost, and data accuracy in comparison to traditional surveying methods (Singh 2008). Figure 2.4 describes the subcategories of surveying tools. 2.2 CIM Functions Technology implementation positively affects a project’s performance through transforming the functions in the pertinent project work areas (Kang, O’Brien, and Mulva 2013; O’Connor and Yang 2004). Figure 2.5 identifies the CIM functions and clusters them under project activi- ties. In this figure, project activities do not correspond to project phases but rather the CIM Project Information Management Systems (B1) Refers to the information management tools and exchange framework put in place for effective collection, storage, organization, and utilization of information required for an agency to execute its projects successfully. Includes document management systems—typically a class of information management systems; they use electronic applications to manage and distribute information according to established policies and procedures at agencies (Spy Pond Partners, LLC 2015; Cambridge Systematics 2013; Codling 2015; Ziering et al. 2007). Asset Information Management Systems (B2) Includes tools and standards that integrate the engineering and construction data for the needs of operations and maintenance (O&M) and asset management (Gordon et al. 2011). Supports the information requirements for maintenance (such as inventory management, the streamlining of the archival process and updating the asset information, and integration with GIS to support various operational requirements) and also assists in new project development (Teizer et al. 2005). Geographical Information Systems (GIS) (B3) Associates databases with geospatial positioning information (coordinate systems) for organizing, managing, and analyzing data. Offers benefits during planning and programming stages of a project (such as environmental studies, geospatial tracking of project limits), surveying, and highway (spatial visualization and analysis of design data) and asset management (inventory and asset improvements). Digital Signatures (B4) Refers to the class of electronic signatures embedded in electronic documents that are secured and authenticated using encryption/decryption technology. Eliminates need to print, sign, and scan documents and allows for continuous flow of digital documents and data. Mobile Digital Devices (B5) Includes handheld electronic devices, such as tablets or smartphones, that have the ability to access and manage documents, databases, videos, and 3D models. Helps quickly gain access to the latest design or construction information and eliminates the need to carry the standards and plan sets required for inspection of projects. Figure 2.3. Data management tools—Category B.

Overview of CIM Tools and Functions 9 Airborne, Mobile, and Terrestrial LiDAR (C1) LiDAR is a technology that illuminates the target with a laser and performs distance calculations by evaluating the time taken for the light to be reflected. It is used for scanning and measurement in three different configurations— airborne, mobile, and terrestrial—and produces images and point clouds for design, quantity estimates, and 3D models. Image data can be combined with GPS data to record its location (Ellsworth 2012). Terrestrial LiDAR—nonmoving systems mounted on tripods used for mapping, reverse engineering, structural analysis and testing, and performing as-built surveys of facilities. Agile, cost-effective, and highly accurate (of the order of 0.02 ft or lower). Can be used cost-effectively for developing a 3D point cloud of a bridge structure. Mobile LiDAR—equipment mounted on a moving ground vehicle and used for transportation and civil infrastructure (Hannon 2007). Provides a good tradeoff between speed, coverage, and accuracy (surveying grade LiDAR can have an accuracy of order of 0.03 ft). Used for rapid data collection to obtain point clouds of highway systems. Airborne LiDAR—equipment mounted on a fixed-wing aircraft or on a rotary- wing helicopter and used in areas such as transportation planning, coastal mapping, and green field studies. Although it is least accurate, its coverage is the highest. Aerial Imagery (satellites) (C2) Overlaps two grayscale photos taken from an aircraft to provide 3D information of the terrain; used for mapping, cadastral work, and design and computation of terrain data through photogrammetry (Mayer 1999). Is used for visualizing current or future topography; complements LiDAR and acts as a control measure for the latter (Olsen 2013). Global Positioning System (GPS) (C3) Includes navigation system that provides 3D spatial coordinate data all over the globe. Uses for highways range from mapping and surveying (using GPS rovers) to AMG (operations that generally require lesser vertical accuracy such as scrapers, dozers, excavators) (Hannon 2007). Robotic Total Stations (RTS) (C4) Is an efficient variant of Total Stations that facilitates remotely controlling the surveying equipment from the intended observation point (accuracy of 0.02 ft. or lesser). Eliminates the need for an operator at the instrument, provides greater vertical accuracy for surveying, and contributes to the positioning and QA/QC checks for AMG (Stringless concrete paving, asphalt paving, among others). Ground Penetrating Radar (GPR) (C5) Is technology used to create subsurface mapping; radio waves produce radargrams that are then processed to extract details in the substratum. Is used for locating underground utilities, groundwater, tunnels, and other objects without the use of heavy machinery to execute an excavation (Fekete et al. 2010). Radio Frequency Identification (RFID) (C6) Uses tags or chips that, via radio waves, are able to send or receive information to a reader that can be either mobile or stationary. Is used to manage tracking of materials and fleets, identification of equipment, among other uses (Jeong et al. 2003). Figure 2.4. Sensing tools category—Category C. (continued on next page)

10 Civil Integrated Management (CIM) for Departments of Transportation Figure 2.5. CIM functions (mapped to their corresponding CIM tools). Real Time Network (RTN) (C7) Consists of continually operating reference stations (CORS) that cater to the real-time positioning requirements of various operations (surveying, engineering, and GIS mapping). Is used for machine control during construction and post-construction quality control (QC) checks. Integrated Measurement Systems (IMS) (C8) Is a feedback control system used to track hot and cold mixed asphalt, using precise sensors and GPS; used for intelligent compaction (IC) (FHWA 2013). Drones/Unmanned Aerial Vehicles (UAVs) (C9) Consists of small remotely controlled aircraft that collect geo-referenced aerial images with high geographical precision (accuracy: 0.1 ft and lower) and image resolution. Possess great potential to achieve practical accuracy required for cadastral, engineering and topographic surveys. Reduces time spent on surveying and keeps staff off field, which reduces risk of accidents in remote/extreme locations. Figure 2.4. (Continued). functions are grouped based on the task they perform. It also depicts the functions mapped to the relevant CIM tools (see Section 2.1 for CIM tool identification codes and descriptions). Each of the mapped CIM tools can transform or improve the processes associated with a function in a certain way. This section defines the functions of these four categories: Surveying, Design, Construc- tion, and Project Management. It also provides an overview of how the mapped CIM tools can improve these functions.

Overview of CIM Tools and Functions 11 Site Mapping Enables rapid data collection through advanced surveying tools such as LiDAR (C1), and aerial imagery (C2) to produce high-resolution images and accurate and dense point cloud data of the site. GPS (C3), RTS (C4), and RTN (C7) can also be used to enhance quality of measurements while surveying specific areas of interest in the site. Useful for keeping a site map that resembles the current work site and facilitates the creation of as-built maps after the work is done. Utility Mapping Consists of utilizing tools such as RFID (C6), GPR (C5), and GPS (C3) to locate and store utilities data in 3D for existing and new highway projects. at appropriate quality levels (Jeong et al. 2003). Helps solve utility conflicts during the pre-construction stage and avert schedule delays and also contributes to creation of agency-wide geospatial repository (Barden 2014). ROW Map Development Helps access data more easily than obsolete manually stored physical files and allows different users to access the information easily. Uses GIS (B3) and asset information systems (B2) to digitally record and manage files and plans. Environmental Process Uses GIS (B3) to expedite the impact assessment process and enhance the quality and credibility of the data and the results. Provides spatial context to the results, including risk factors and easy identification of environmental issues in or around the construction site. Inventory Mapping Uses tools such as GIS (B3), GPS (C3), and LiDAR (C1) to create digital record of existing assets’ locations and helps track their historical maintenance data. Ranges from CAD (A1) to GIS tools (B3) and is used to extract affected project work areas, which are then used to extract the underlying road network features. Figure 2.6. Surveying activities category. 2.2.1 Surveying Surveying activities refer to the cluster of CIM functions that primarily relate to data collec- tion and measurement tasks for project development and asset management purposes (Fig- ure 2.6) (O’Brien et al. 2012; Oldenburg 2011). 2.2.2 Design The design activities include all CIM-related functions that perform design or design-related tasks in the project delivery process (Figure 2.7). 2.2.3 Construction This activity cluster consists of all CIM functions that directly relate to construction of the facility (or field activities) (Figure 2.8).

12 Civil Integrated Management (CIM) for Departments of Transportation 2.2.4 Project Management This category encapsulates other critical CIM functions that assist in successfully monitor- ing and controlling project performance (such as costs, schedule, and quality among others) throughout surveying, design, and construction phases (Figure 2.9). The list of CIM tools and functions presented consists of the major known elements per the literature and current state of practice. Future research efforts warrant inclusion of more tools and functions for this chapter. Thus, the agencies can consider updating this compilation to keep pace with advancements in digital practices. Chapter 3 describes the impact of CIM on project delivery based on a workflow model. Digital Design Creates 3D engineering models (A1, A2) of existing and proposed surface and pavement layers to support machine-enabled construction activities. Produces information-rich 3D models for structures, drainage, utilities, among other design entities to support numerous project management applications (clash detection, constructability reviews). Enables collaborative design and modeling for hydraulics, safety assessment, and code (or standards) compliance assessment. Design Coordination and Asset Data Integration Represents the broader task of coordinating design reviews among several disciplines assisted by nD modeling (A2) and appropriate information management tools (such as web-based collaboration, video-conferencing). Provides early identification of design and constructability issues, O&M and asset inventory needs (CAD to TAM tools help asset identification and attribution entry early during design phase by integrating with the proper TAM feature database). Utility Conflict Analysis Uses 2D (A1) and nD models (A2), and clash detection software to detect conflicts among the different utilities and between utilities and project elements (such as drill shafts, embankments, and drainage). Helps reduce Requests for Information (RFI) and time wasted solving utility conflicts and avoids unexpected changes. Figure 2.7. Design activities category. Figure 2.8. Construction activities category. Automated Machine Guidance (AMG) Uses DTMs (A2) and GPS (C3) to automate construction operations in the field (dirtwork, excavation, and grading among others). Uses Robotic Total Stations (C4) and other suitable methods to increase vertical accuracy required for stake-less paving operations (e.g., asphalt paving, concrete slipform paving). Increases productivity and safety on-site and helps in QA/QC checks post- construction (FHWA 2013). Intelligent Compaction (IC) Uses GPS (C3) and IMS (C8) to ensure efficient compaction of soils and pavements. Reduces time and money spent in the compaction operation and improves the quality of the pavement for its service life (The TransTec Group 2014). Remote Equipment Monitoring Helps track fleet location and mechanical status using GPS (C3) and RTN (C7), reduces idle time and improves utilization rate (also called equipment telematics). Optimizes fleets, reduces fuel consumption rates, decreases labor hours, and improves utilization rate of the equipment.

Overview of CIM Tools and Functions 13 4D Scheduling Uses nD modeling (A2) tools to support scheduling tasks (model-based scheduling where schedule activities are linked to model elements). Assists in constructability analysis for complicated construction (such as bridges, interchanges) and identifying temporal conflicts in staged construction (Liapi 2003). 5D Estimating Includes the cost data to the 4D scheduling (A2). Assists owners in bid price estimation (QTO) to develop and maintain model- based pre-construction and cost estimation packages. Helps developers visualize and validate quantities and manage and track expenses of a project at any given time (FHWA 2013). Visualization Enhances the physical, geospatial, and/or functional details of the design model using tools such as GIS (B3) and nD modeling (A2). Can be integrated with interactive traffic microsimulation models (A3) to produce real-time traffic data. Is commonly used for communication among project team members and executives, and for Public Information purposes. Traffic Management Planning Uses nD modeling tools (A2) and traffic simulation tools (A3) to aid preparation of control plans (lane closures, detours, and temporary construction among others). Is used to analyze the construction staging requirements (when mobility and safety of roadway conditions were to be affected by the construction process). Construction Quality Control Uses the combination of mobile digital devices (B5), GPS rovers (C3), RTS (C4), RTN (C7) and IMS (C8) to perform QA/QC checks for pavement construction, asset inspection for TAM, and facilitate the communication between job sites and offices. Uses digital signatures (B4) for performing reviews and approvals. Can also use drones (C9) for rapid data collection and inspection. Overall, facilitates the making of as-built 3D models, reduces required workforce, and reduces surveying costs and effort. Materials Management Helps track location of materials using either RFID (C6) or GPS (C3) technologies or a combination of both. Can use drones/UAVs (C9) to estimate quantities of materials used (such as earthwork and construction materials). Contracts Includes information management systems (B1) that integrate documents and model-based data (A2, A3) to help the agency in contract administration and management (e.g., bid letting, RFIs, shop drawing reviews and approvals, submittals and correspondence). Figure 2.9. Project management category.