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

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14 Chapter 2 gave an overview of the CIM tools and their impact on different functions of the proj- ect delivery process. This chapter describes how these functions interact when transitioning to digi- tal workflow. It also describes a workflow for CIM that encompasses key concepts and components of the major requirements of digital project delivery in the future. Data, rather than documents, will form the central component for projects using CIM (Jahren 2014). 3.1 Transitioning to CIM—Project Work Processes At time of publication, no one project or agency has deployed all available CIM tools; the inclusiveness of the workflow presented here is a result of organizing inferences from multiple data sources, including the literature review, surveys, and case studies. Driven by technological advancements and an increased participation of agencies in the digi- tal delivery of projects, the planning and scoping processes can make use of GIS-based decision- making tools for site evaluation, alternative analyses, environmental assessments, and various other planning applications. The project development process can use most of the digitally signed and archived asset data for surveying and engineering. Advanced surveying methods such as Mobile LiDAR, UAVs, RTN, aerial imagery, digital photography and photogrammetry can augment the data on existing conditions (digital archives) by providing semantically-rich and geospatial digital information—such as point clouds, 3D mesh models, high-resolution images, and digital terrain models (DTMs). Availability of good quality data can enable the paradigm shift where most design disciplines can perform their design digitally (in 3D). The design elements also incorporate the identification attri- bute related to its asset inventory database to create geospatial referencing of the asset throughout the design process. Agencies (and/or design consultants) can enhance the density of critical elements in the model (such as terrain models for surface layers and 3D breaklines), convert this digital design data into machine-readable formats, and hand over the deliverables to the contractor. The 3D models for structural entities can support various project management tasks such as constructability analysis, model-based clash detection, visualization, and public information. In the construction phase, the contractors can use this information for AMG during earth- work operations (such as excavating and grading) and obtaining stakeout location for structural elements. Pavement operations for asphalt and concrete slipform paving generally require aug- mentation of vertical accuracy for machine control, and Robotic Total Stations (RTS) are com- monly used for this purpose. Subsequently, field representatives can perform as-built surveys after construction using GPS-based technology such as rovers. They can also deploy drones for site inspection, progress monitoring, and estimation of quantities. Impact of CIM on Project Delivery C H A P T E R 3

Impact of CIM on Project Delivery 15 Finally, the as-built electronic data can be archived in its native form for O&M and asset management. In this workflow, agencies can continually use electronic document management systems and digital signatures to support fast and effective flow of deliverables across various phases. Agencies can then archive the digital data from as-built surveys and continue updating it until it becomes available for new project development (Singh 2008). Figure 3.1 presents a graphical representation of this workflow, along with corresponding phases and information exchange loop. Theoretically, CIM-based project delivery incorporates the information flow for the entire life cycle of the highway facility. The quality and type of data in the information deliverables play a central role in the transition to digital project delivery and asset management. In other words, the mode of information exchange (data, document, or models) between subsequent phases (and in turn the constituting CIM functions) can be a key indicator of an agency’s business efficiency—and thus, its potential for successful transition to digital project delivery. These modes of information exchange are included in the model at terminal points between phases by clustering and representing them as “DDMI,” an acronym for document-, data-, and model-based information. Document-based information includes specifications, contracts, or plans; data-based information will include databases, Excel spreadsheets, Extensible Markup Language (XML) data, or electronic 2D or 3D CAD files (i.e., native files); and model-based information includes information models. Note that Figure 3.1 does not depict the information exchange between functions in a particular phase, because they can be complex and specific to an agency’s particular business processes. Section 3.1.1 presents an analysis of the digital workflow from the point of view of phases in a facility’s life cycle. Each of the CIM functions used in a particular phase produce a certain trans- formation in the latter, ultimately leading to changes in the information deliverables (quality or type) across the life cycle. Thus, the section also enumerates notable deliverables for each of the phases based on CIM functions and contains examples or references from literature and case studies to demonstrate the impact and utility of a particular CIM function. 3.1.1 Scoping and Surveying Phase CIM for the scoping and surveying phase can enhance the quality of data collection and work- flow process for various functions contributing to project development. As can be deduced from Figure 3.1, the following transitions can occur: • Site mapping processes involve the assimilation of digital data through increased usage of integrated surveying methods (with LiDAR, GPS, aerial imagery, UAVs, and CORS stations). For an example, see the Portland LiDAR consortium for highways (Madin 2015). • Increased utilization of GIS-based tools can influence the ROW map development process. Many agencies now use web- and cloud-based GIS applications for this purpose. For an example, see the UDOT’s UPlan (UDOT 2014). • GIS tools can also contribute to the tasks related to environmental processes and permitting, such as Environmental Impact Assessments. For an example, see the FDOT’s Environment Screening Tool (FDOT 2015). • In the early stages of project development, when detailed design information is scarce, CIM tools also contribute to visualization and communication purposes. Some GIS-enabled soft- ware applications use layers of project entities (such as roads, bridges, and ROW entities) to produce models with reasonable details necessary for early project communication. Agencies’ internal GIS databases and open source data from platforms, such as the United States Geo- logical Survey, can complete the data requirements.

Figure 3.1. CIM workflow model—impact on project delivery.

Impact of CIM on Project Delivery 17 Deliverables and Stakeholders. The various deliverables that emerge from scoping and surveying include interactive site and ROW maps, processed point cloud data of the project ele- ments (such as DTMs of surfaces), animations and renderings of the preliminary model devel- oped using GIS layers, and intelligent reports for environmental processes, among others. The major stakeholders that contribute to utilization of CIM will be agency personnel (e.g., surveyors and GIS analysts), consultants, and engineers for preliminary design. 3.1.2 Preliminary Design Phase CIM functions can have a major impact on project delivery when used in a coordinated manner during the preliminary design phase, as the decisions and practices followed here will affect the entire project delivery process. Thus, agencies should plan CIM functions carefully in this phase. • Availability of high quality surveying information from the preceding phase can now enable the possibilities of digital design (3D mode) using interoperable applications and data exchange framework for various design entities, such as roadways and structures, utilities, surface, and drainage, among others. For an example, see the WisDOT case study (Oldenburg 2011). • CIM-based design can also influence utility mapping. Agencies and consultants use the capabilities of subsurface utility engineering technologies and 3D design applications to model existing and proposed underground utilities in 3D. In the long term, they can also envision creation of central repositories for utilities data and integrate the 3D spatial infor- mation available from project-level implementation. For an example, see the MDOT Guide for utilities mapping (Barden 2014). • CIM functions for environmental process, visualization, and ROW map development can continue throughout this phase. Deliverables and Stakeholders. Information from this phase includes schematic CAD/ DGN/XML design files with models for terrain, utilities, structures, and their supporting docu- ments for detailed design (such as plans, specifications & estimates [PS&E] information and pre- liminary schedules). If agencies use the design-build method, they can share these deliverables with a design-builder during the RFP phase. This stage will see participation from designers of several disciplines (agencies), responsible personnel for contract letting, and design consultants for specialized work, among others. 3.1.3 Detailed Design Phase This phase marks the timeframe when designers from agencies and other firms spend signifi- cant effort on improving and finalizing the project documents (design, estimate, schedule, and specifications, among others). Functions (tasks) utilizing CIM in this phase affect the means and methods of construction activities (such as facilitating AMG through digital design) and improve the predictability in project execution (e.g., by identifying spatial conflicts and con- structability issues virtually and resolving them). Although the project information manage- ment systems play a significant role throughout the project’s life cycle, their robustness and integration capabilities will be critical here, because this phase can generate the greatest amount of information. • Digital design activities continue in this phase with detailed scope and finer level of detail. • Presence of 3D data helps agencies perform design coordination and conflict identification among various design entities. When CIM usage becomes mature (i.e., design data becomes electronic or model-based), agencies can explore automating the review processes for design

18 Civil Integrated Management (CIM) for Departments of Transportation submittals. The designers can also incorporate agencies’ asset data integration needs during design. Utility conflict analysis using model-based data can identify and resolve clashes and reduce change orders that result from design issues. • 3D models also assist in visualization and public information dissemination when they contain appropriate levels of information for the intended audience. Deliverables and Stakeholders. The type of CIM deliverables can be the same as that of schematic design with the addition of design coordination reports, detailing of design entities, final versions of 3D models, and supporting information for contract documents. Designers, consultants, contractors, and external stakeholders (such as utility companies) will participate in this process. 3.1.4 Construction Planning and Procurement Phase Incorporating CIM-based workflows also improves the effectiveness of the construction planning and procurement tasks. CIM functions in this phase improve the predictability and performance of construction activities during the actual construction. • Literature shows several advantages for 4D scheduling. In short, model-based scheduling helps to identify and resolve spatial and temporal conflicts among project elements. It can also facilitate examining and developing schedule alternatives to suit various objectives (such as minimizing construction cost or maximizing vehicular mobility). The availability of 3D models and detailed schedules make this task feasible. Also, with high maturity in model- based delivery, there exist possibilities to create schedules simultaneously with 3D design process. • Presence of model and estimate data also enables 5D estimating processes. Applications include visualizing cash flow, performing quantity take-offs (QTO), and monitoring progress and pay- ments for contractors. For an example, see the NYSDOT case study in Table 5.2. • CIM for traffic management planning involves performing microsimulation to model the traffic behavior with lane closures and detours and predict user delays and congestion effects. Such traffic simulation can also be integrated with design visualization to enhance the quality of the Public Information process (Wei and Jarboe 2010). • CIM for procurement can progressively affect both materials management on-site and track- ing of the supply chain itself. Advancements in material management systems can help perform these activities in an efficient manner. For an example, see the Dallas-Fort Worth Connector project (Anderson 2012). Deliverables and Stakeholders. The deliverables can include 4D/5D models, data and model outputs for traffic simulation, and material management reports. Stakeholders relevant for CIM in this phase include contractors (and subcontractors), suppliers, consultants, and agency personnel responsible for construction planning and traffic control. 3.1.5 Construction Phase Digital project delivery can manifest itself in the construction phase. CIM-based workflow can lead to major changes, including the use of AMG (automation for grading, excavation, and fin- ished surface construction, among others), Intelligent Compaction (IC), and quality control inspections using rovers and mobile digital devices. In addition, CIM functions enhance the connectivity to the site and assist in monitoring and controlling operations. • AMG for construction activities is a major improvement with CIM implementation. Con- tractors can automate activities related to excavation, grading, compaction, and finished

Impact of CIM on Project Delivery 19 surface construction, thereby increasing productivity, and safety on-site. Availability of 3D models and sophisticated machines also automate construction of concrete barriers and retaining walls and generate stakeout points for major bridge elements in the field. For an example, see the ODOT’s “Design to Paver” Workshop (ODOT 2014). • Usage of Intelligent Compaction can improve the control in the compaction operations for soils and asphalts, thereby enhancing the quality of work on-site. • With real-time connectivity to the site, agencies can use remote equipment monitoring to control construction machinery and equipment. They can also use the information gathered from these activities for improving operational efficiency (fleet utilization rate, emissions control, and equipment safety). • With CIM tools, field staff can perform construction quality control checks frequently and accurately using rovers and mobile Transportation Asset Management (TAM) devices. They can also use mobile devices to inspect the structural elements. Deliverables and Stakeholders. The various CIM deliverables from this phase include as-built models, quality control records, and reports concerning equipment usage on-site. The various stakeholders involved will be agency staff and contractors’ field representatives. 3.1.6 Operations and Maintenance Phase CIM-based project delivery also affects the functions of the O&M phase. It is necessary to encapsulate O&M to ensure CIM implementation across the asset life cycle. • Inventory mapping, when performed with CIM tools such as LiDAR, aerial imagery, and GIS, can meet the data needs for asset O&M. Agencies with higher levels of CIM utilization under this category build up and regularly update a digital data archive that can inform decisions about managing existing facilities and developing new projects. • Asset identification needs, considered during planning and integrated during design, improve the objectivity in the decision-making process for asset management. Maintenance personnel can have timely access to the accurate data they require to carry out their tasks. Additionally, asset management connects to broader objectives of facility maintenance that will fall outside the realms of project delivery. Figure 3.1 distinctly identifies information collection and man- agement efforts related to asset management functions. Deliverables and Stakeholders. The various deliverables from this phase can include updates to inventory data and digital data archives, among others. Agency O&M personnel and other con- sultants will be the major participants in this phase. 3.1.7 Information Management Although it is unconventional to perceive information management as a separate category, this area needs special attention because it stays relevant throughout an asset’s life cycle. The management of digital information is a continuous process that has the potential to yield sig- nificant benefits if the information deliverables from respective phases support the objective of utilizing this data continuously. With CIM integration, the functionality of an information management system can have the following major characteristics: • Capabilities to produce and deal with information deliverables in document- and model- based formats • Ability to deal with increased usage of digital signatures by different functional areas for approvals, submittals, and review purposes • Potential to seamlessly integrate geospatial information to enhance the robustness and utility of the asset data throughout its life cycle

20 Civil Integrated Management (CIM) for Departments of Transportation • Adoption of common industry standards across the agency for generating and sharing the information (examples include LandXML, TransXML, IFC classes, and common coordinate systems for surveying and GIS activities, among others) • Information handover at the completion of respective project activities This function deals with managing the deliverables generated across the project life cycle. The stakeholders involved will include personnel from the following: • Information technology group staffers to manage information • Representatives from all other divisions to identify new requirements or convey the needs of upgrades or maintenance • Other vendors or third party groups that handle the upgrades or maintenance 3.2 Maturity Model for CIM In practice, agencies do not use all CIM functions for project delivery. Furthermore, an assess- ment of the status quo reflects different levels of CIM utilization by different divisions within the same agency. Thus, agencies require a framework that can assist in evaluating the current maturity for CIM functions relevant for the divisions. Figure 3.2 presents a three-level matu- rity model based on the capabilities of divisions responsible for project phases from planning to O&M. Information management systems are integral requirements for all the project phases; hence, Figure 3.2 identifies them distinctly. The three levels of maturity in this model are “Initial,” “Intermediate,” and “Advanced.” The maturity levels have their specifications defined based on the survey results (presented in Chapter 5) that included responses concerning all the major divisions of DOTs. • The Initial level corresponds to the maturity where most of the information exchange pro- cesses remain document-centric. The functions building up the phases of a facility incorporate limited CIM-based procedures. Theoretically, any agency just beginning to implement CIM capabilities from scratch can use this level as a reference point for progressive implementation efforts. • The Intermediate maturity level shows significant improvements in CIM integration for func- tions, with the workflows becoming data-centric. An agency in this category has made major strides in CIM adoption for surveying, design, and construction, demonstrating CIM’s potential on one or more of its projects. However, some document-centric processes can hamper further transition, thereby making the life-cycle implementation incomplete. As per the current state of practice, most of the DOTs’ divisional capabilities are at the Initial or Intermediate level. • The Advanced level represents a coherent approach where executing projects through CIM functions becomes the norm. An agency at this maturity level uses model-centric workflow where a few processes can remain data-centric (when model-based workflow is impractical). Importantly this level represents the life-cycle adoption of CIM (including construction and O&M phases). Note that the capabilities of this level are determined by organizing elicitations from survey results and case studies; each of them reported high utilization and performance of CIM functions. Although some DOTs had executed a few projects with CIM tools and functions reflective of Advanced maturity, life-cycle (agency-wide) implementation remains a milestone that they have yet to achieve. Thus, the third level can serve as the target for any agency for at least the forthcoming decade. Agencies can use this concise yet comprehensive tool to analyze the current maturity of CIM across their divisions. The functions described in the project phases in the model include only those relevant for CIM. Furthermore, this guideline cannot directly translate to detailed, opera- tional specifications for an agency; rather, its objective is to serve as a basic framework that any

Impact of CIM on Project Delivery 21 Figure 3.2. CIM capabilities maturity model.

22 Civil Integrated Management (CIM) for Departments of Transportation agency can use for planning and developing its own evaluation tool. Assessment of an agency’s capabilities will require detailed analyses and studies of its current business practices pertain- ing to the CIM functions. In this Guidebook, the maturity model serves as the foundation for determining future implementation efforts. It will be challenging to quantify the efforts required for progressing across levels and hash out the directions specific to any particular agency. However, a totalistic assessment of the maturity levels can delineate some general guidelines for the transition. Moving from the Initial to the Intermediate level requires the following: • Envisioning (specific) strategic vision and mission statement for CIM implementation • Overcoming learning curves for all related CIM functions • A committed leadership for investment and implementation requirements • A participatory approach from all major stakeholders with willingness to overcome individual barriers for achieving project goals Transitioning to the Advanced level necessitates these additional requirements: • Using CIM functions across multiple projects (agency-wide) • Standardization of business workflows (wherever possible) • Sustaining innovative efforts to find solutions to overcome barriers (technical, financial, human, and process-related) • Rapid and effective dissemination of information to all stakeholders (lessons learned, best practices, and updates to standards or specifications) Because this Guidebook focuses on implementation at agencies, the maturity evaluation pro- cess focuses on the divisions (such as surveying and design) and not on a particular project’s phases. For this purpose, an agency can consider identifying its divisions’ characteristics in the con- text of a “typical” project it performs as part of its program. Ascertaining these characteristics can be challenging, because the interpretation of “typical” is subjective. One approach is to synthesize an agency’s available data and identify the characteristics of its own “Xth percentile” project, where Xth percentile represents the range acceptable to all the divisions. It can calculate this value based on consensus of domain experts. This process can involve experienced personnel from agencies and third-party subject matter experts. In the future, agencies can explore and potentially imple- ment mergers of their divisions to adopt an integrated approach for project delivery. The model’s utility remains valid because the project phases (not the nomenclatures of divisions) define the specifications. The evaluation process involves the (changed) divisions responsible for executing the project phases. Illustration Example 1 explains the utilization of the CIM maturity model to assess CIM capa- bilities of an agency’s divisions.

Impact of CIM on Project Delivery 23 Illustration Example 1: Capabilities Assessment Using the CIM Maturity Model. Agency “A” convenes a Task Committee to understand how effective its Divisions are in terms of adopting CIM functions on its projects. The Committee appoints a task leader who will oversee this investigation process, conduct appropriate studies, and submit a detailed report to the Committee. The task leader comes across the CIM maturity model and decides to use it for conducting the analysis. The task leader observes that his/her agency executes projects with a variety of characteristics: roads and bridges, new construction and maintenance, budgets ranging from $5 million to $1 billion. To determine the maturity levels, he/she creates a Panel with experienced personnel from all the Divisions relevant for CIM. After several meetings and analyzing the information available at the divisions, the Panel arrives at the conclusion that it is reasonable to evaluate the Divisions’ maturity for the 90th percentile project that the agency executes. The Panel then uses the CIM maturity model, where the experts rate the capabilities of their respective Divisions into the three prescribed levels. They arrive at results shown in Figure 3.3. Figure 3.3. Graphical representation of the maturity levels of the divisions. Maturity levels of divisions Planning and Surveying Design Procurement Construction Maintenance Information Technology Intermediate Initial Advanced Along with the maturity results, the Panel makes the following observations (as shown in Table 3.1) for each division and submits them to the Task Committee. Division Observations Planning and Surveying Consider widespread adoption of integrated surveying methods, especially mobile LiDAR and drones. Design Consider performing design of structures such as bridges in 3D to a reasonable level of detail. Try integrating models on projects. Procurement Consider advancing materials management capabilities on larger projects. Construction Consider improving quality control checks on projects. Attempt AMG for finished surface construction on a few projects. Maintenance Consider improving capabilities of GIS platforms for operations. Information Technology Collaborate with design, construction, and maintenance to identify their needs for progress—consider upgrading software to handle model data. Table 3.1. Recommendations for divisions at Agency A.