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

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24 C H A P T E R 4 The assessment of the CIM maturity levels lays the foundation for understanding an agency’s current state of CIM practice and making investment and implementation decisions. Building from the maturity model, this chapter proposes a hierarchical framework to represent these issues in a systematic manner and guides the agencies in developing their own operational-level implementation plans. Figure 4.1 presents the graphical depiction of the implementation frame- work. It is a three-stage process cycle involving planning from current capabilities, identifying investment requirements, and considering major implementation lessons. The first stage involves gauging the divisions’ current maturity levels (reflective of the func- tional needs) and preparing an implementation plan balancing the functional needs and business requirements. The second stage involves evaluating the agency’s future capabilities by examining the invest- ment needs based on the implementation plan and determining the benefits that arise through process improvements from the corresponding CIM functions. The next stage provides a synthesis of implementation considerations for CIM that can act as ingredients for success. Agencies can consider incorporating them in the implementation decisions. Recommendations from subject matter experts and lessons learned from the current research effort are the main sources for this compilation. The last requirement in the process cycle is documenting the lessons learned based on the actual implementation efforts and devising appropriate strategies to disseminate it to concerned stake- holders throughout the agency. This is vital to ensure that the feedback is completed and decision- makers of the future have adequate information to guide the implementation efforts at the agency. 4.1 Planning from Current Capabilities—Stage I The first stage in the process cycle consists of translating the functional needs arising out of the maturity model into a pragmatic agency CIP. In this process, the first step involves analysis and determination of functional needs from maturity levels across all divisions. The second step involves integrating these needs into an organizational planning document that takes into account the agency’s business constraints and other requirements. Section 4.1 explains the two steps in detail. 4.1.1 Action Steps for Functional Needs In general, the CIM maturity model can reasonably capture the level of CIM usage across the divisions. However, it cannot cover all agency-specific business or workflow constraints. Thus, the Implementation Framework for CIM

Implementation Framework for CIM 25 research team suggests that the agency articulate its constraints for the identified maturity improve- ments across divisions. Then, it can finalize the appropriate action steps taking into consideration both the technical requirements (from the maturity model) and the business considerations for CIM. A few instances of organizational constraints and plausible solutions are described below. The constraints can be either resolvable or challenging. If the constraints turn out to be resolvable, an agency can determine the appropriate corrective measures. Otherwise, sustained efforts will be necessary to strengthen its CIM foundation and to obtain its objectives for higher maturity. Consider a situation where an agency may be at the Advanced level in terms of using integrated surveying methods and model-based design. However, it may not have used the deliverables effectively to leverage CIM potential during construction operations and other downstream activities. This scenario can arise as a result of legitimate constraints in the Construction Divi- sion that are challenging to deal with (lack of technical expertise, skilled and trained labor short- age, financial issues, or restrictions on contracting abilities). These issues are largely beyond the scope of technical implementation. In this case, the agency can try outsourcing, innovative financing, training and motivation sessions, reallocation of skilled resources, and negotiation with appropriate stakeholders to upgrade information systems to support deliverables for con- struction. The other reason can be that the Construction Division has the potential to embrace new CIM functions but has not yet upgraded because of several resolvable issues (such as lack of consensus among decision-makers, lack of awareness, and trust deficit with new technologies). Besides the constraints, the current CIM maturity also plays an important role in determining the action steps. Divisions with low CIM maturity can identify easy targets to help them with ini- tial breakthroughs; also, there have to be sustained efforts to innovate and solve the constraints. Divisions with high CIM maturity (Intermediate or Advanced) can continuously keep assessing and updating processes for potential efficiency improvements. They can also consider cross- allocating resources to other areas requiring improvement. Illustration Example 2 provides the steps involved in the analysis process and a determination of the action steps for the divisions at an agency. 4.1.2 CIM Implementation Plan While maturity models indicate the areas needing technical improvements, an agency can integrate its business needs and develop a formal CIP. In other words, an agency’s selection Organizational needs Implementation decisions Figure 4.1. Process cycle for CIM implementation.

26 Civil Integrated Management (CIM) for Departments of Transportation process for CIM implementation should balance both its technical ambitions and its pragmatic business requirements. An efficient way to meet this objective is to develop a CIP to centralize considerations. The principal elements of a CIP include the following: • Vision and mission statements for CIM • CIM functions to be promoted at the agency’s divisions (based on action steps) • Short-term and long-term mission requirements for promotion (investment/funding requirements) • Critical organizational workflows being impacted or having impacts • Allocation of lead responsibilities, resources, and ways for executive management buy-in • Definition and measurement strategies for performance objectives • Strategies for involving all stakeholders (contractors, vendors, and utility companies) • Tracking and reporting requirements Illustration Example 2: Action Steps for Construction Division at the Agency “A” (Continued from Illustration Example 1). Once the Task Committee receives the Panel’s observations, it deems it necessary to forward the Panel’s suggestions to the concerned divisions’ heads and request their comments on potential implementation steps at their respective divisions to enhance their CIM maturity. The Construction Division Head receives the report and asks an experienced col- league (investigator) at the agency to conduct an assessment study and apprise him/her of the options. On noticing the Initial maturity level of the Construction Division’s CIM capabilities, the investigator first evaluates the functional needs and comes to the following conclusions: • Absence of rovers and RTN stations for rapid QA/QC checks on most of their projects. • Absence of specifications for widespread adoption of AMG. • Agency has little experience in implementing IC technologies for soils and asphalt. Second, the investigator determines the business factors and other issues limit- ing the division’s capabilities. The investigator finds budget deficits and staff availability constraints to be the major factors involved. Because these issues are very challenging to deal with and take time to resolve, the investigator comes up with the following “action steps” and recommends them to the Division Head: • Ensure deliverables for AMG are available from the Design Division; if not, contact the Design Division to learn what is needed. • Conduct pilot projects for AMG (finished surface) and IC technologies; ensure skilled laborers’ availability for them (cross-allocate from other districts or county, if possible). • Collaborate with sophisticated contractors to provide rovers on-site; try conducting training sessions for available staff. • Negotiate contract and training deals with vendor companies, beginning with small-scale implementation of hardware and software tools.

Implementation Framework for CIM 27 It is important to prepare, organize, and continually track an agency’s progress with respect to its baseline CIP. The aforementioned list may not include the entire set of requirements but will help determine the important elements. The CIP shall also encapsulate any other organizational processes regarding CIM that the agency deems necessary. Although no agency has produced a comprehensive document, using the approach suggested here, Case Examples 1 and 2 can serve as references for agencies to develop a CIP. The primary difference is that, in these references, the requirements of divisions have been identified using past experiences, lessons learned, and taking stock of current practices (unlike a formal maturity- model-based assessment). These case examples integrate the functional needs, business require- ments, and organizational vision. Case Example 1: WisDOT’s 3D Technologies Implementation Plan. This plan is an example of planning at an organizational level for CIM. It contains the following main ingredients of an effective planning initiative: • Vision statement: “Adoption of three-dimensional (3D) methods and seam- less data flows throughout initial survey, design, contracting, construction, as-built survey, and other applications included within the infrastructure lifecycle.” • Eight statewide initiatives that relate directly to the CIM technology-based methods. Each of the eight initiatives is further elaborated with associated background information, current and future issues, and short-term (1–2 years) and long-term (2–5 years) goals to address the ascertained issues. • Identification of other stakeholders who have shown the intent to participate. • Strategic management plans that identify the agency representatives who will lead the effort(s) and manage and update the planning documents. Source: Vonderohe (2013). Case Example 2: ODOT’s Engineering Automation Plan. This plan includes a long-term 25-year plan that identifies major technological adoptions planned at the agency and connectivity of these objectives as a sys- tem. It also serves as a baseline for other short-term documents that could be developed. It considers lessons learned and designates specific functional roles and responsibilities and stakeholder partnerships required for successful implementation. Another significant feature of this document is its strong case for utilizing digi- tal data for project delivery. It provides a conceptual framework for managing infrastructure life-cycle data from a digital archive of the agency. It also identifies and defines the role of the key technologies and process paradigms that will help achieve this transition. Source: Singh (2008); ODOT (2014).

28 Civil Integrated Management (CIM) for Departments of Transportation 4.2 Assessment of Future Capabilities—Stage II The CIP identifies the functions and consequently the tools that an agency can implement at its divisions. It also provides the basic information on the resource requirements and the personnel responsible for executing these tasks. The agencies can now perform detailed analysis of investments and benefits, focusing on the identified implementation tasks. These analyses provide the necessary information for practitioners to make implementation deci- sions. This section describes this benefit-cost analysis process in detail. 4.2.1 Identification of Investments Agencies beginning to deploy a new technology often do a pilot project and then make a deci- sion on agency-wide adoption. This is because investments at a project level can be acceptable to an agency trying out new CIM tools. An agency can adapt to the disruptions in workflows for the specific project/processes and document lessons learned and best practices to disseminate them to other stakeholders for their consideration. Engaging senior management and procuring fund- ing for such projects can be challenging; however, the investment will be worthwhile considering the potential work process improvements and the ability to support critical decisions based on this pilot experiment. CIM tools constitute most of the monetary investments and this section provides guidelines to assist this process. The process of quantifying investments can be challenging for an agency-wide CIM imple- mentation, because CIM consists of an assortment of tools. Agencies need to understand these challenges—described below—when reaching out to obtain reliable and accurate cost data. • The investment details for specific CIM tools can vary depending on in-house technical exper- tise, the contract between vendor organizations and DOTs (duration, type of ownership, and type of subscription, among others), and an agency’s financial capabilities. • The agencies can find it challenging to quantify some of the external factors (such as contrac- tual and legal issues) for benefit-cost analysis. For example, there are no definitive findings on how to incorporate the impact of project delivery methods (design-build vs. design-bid-build) while quantifying the benefits over investments. Similarly, federal or state regulations or time- tested contract clauses can impose restrictions on some project delivery processes. They are subjective issues that evolve over time based on consensus and are outside the realms of the research scope; incorporating them in a benefit-cost analysis can produce unrealistic results and inferences. However, agencies have to factor them in while making decisions. Section 4.3 describes these issues. • The prices for CIM tools can keep changing due to efficiency improvements in existing tools and market adoption of new tools. Some of these estimates can be vendor specific. Looking beyond these challenges, there is also a need to identify general categories of invest- ments that can assist decision-makers and senior executives at DOTs in evaluating investments on CIM tools. This section explains the costs from an agency perspective and does not focus on implementation challenges related to specific projects. This objective also aligns with the overall scope of this Guidebook, which aims at agency-level implementation. Typically, agencies have to deal with initial costs for deployment of CIM tools and annual costs for maintenance and upgradation. Although the monetary costs are primarily associated with CIM tools, the agencies should give priority to identifying the requirements of specific CIM functions identified in the CIP while making investment decisions. Thereafter, they have to determine the relevant CIM tools. The following points summarize various steps involved in determining major investments:

Implementation Framework for CIM 29 1. Identify the functional areas of potential improvements from CIP, select the appropriate CIM tools, and check for the data requirements to implement these tools. 2. Determine the training needed for staff to use the new technology. 3. Determine the labor allocation requirements for managing the implementation process. 4. For the functional areas, create standards and specifications to reflect new workflow. 5. Factor in workflow disruptions and non-CIM factors to ascertain the final investment needs. 4.2.1.1 Technology-Related Investments CIM requires investment in information technology hardware and software. The hardware requirements are common and are generally applicable to most CIM functions. These can include high-performance computers and mobile digital devices (such as laptops, smartphones, and tablets, among others). Software applications required to perform the necessary functions in the office and in the field represent another important investment. These can include database management systems, surveying and design software, and mobile applications for smartphones and tablets. Furthermore, there can be additional costs for specialized equipment, depending on performance specifications, for surveying and construction activities. Table 4.1 enumerates the main software and equipment requirements for most CIM functions. The most efficient strategy to obtain accurate price estimates on these tools will be to check with the peer agencies and organizations that are leading the initiatives in the implementation efforts. The DOTs can also contact vendors to negotiate prices, suitable procurement, and sub- scription schemes. 4.2.1.2 Training Investments Training for CIM falls primarily into two categories: (1) technology-related training pro- grams and (2) process-related training programs. Technology-related training investments are relatively straightforward to identify. These involve training the agency staff in the pertinent functional areas to deal with the data, hardware, software, and deliverables for the new CIM tool. The duration will be definitive, but can range from one-time events to months of instruc- tion. Examples include workshops, vendor-training programs at agencies, and in-house train- ing resources (tutorials, videos, and hands-on training, among others). The training programs should also consider the possibilities of changing the roles of the existing labor disciplines while implementing CIM. For example, implementation of GPS-based automated inspection technol- ogy (such as rovers) can necessitate training field staff and surveyors as quality control special- ists. Similarly, design engineers producing digital deliverables should be trained to integrate the modeling needs of the construction contractors in the field. These needs typically include addi- tional information or increased granularity of the models for field control. Examples include densification of DTMs, adding 3D breaklines, and generating machine-readable files for AMG. Process-related training programs are necessary to incentivize and enable the cultural shift required to deal with new systems at the organization. The characteristics of the programs under this category can be unique to each organization. Qualitative knowledge about the workforce availability, expertise, and readiness to take up new tasks can be a good indicator. The training can be formal or informal. Examples of training in this category include motivational workshops, information sessions, and partnering sessions among stakeholders. 4.2.1.3 Labor Investments Labor investments involve expenditures incurred when adding new resources (for using the new software and maintaining database systems). Generally, the agencies train the existing workforce to use the new tools. There are also situations where additional labor resources are required to

30 Civil Integrated Management (CIM) for Departments of Transportation Software Software platforms (GIS and Excel spreadsheets, among others) to load information. RTN (C7) Software Software to work on field computers and connectivity to internet. Equipment Installation of CORS hardware (concrete pillars, antenna masts, cabinets, cabling and power supply). Equipping surveying/construction machinery with GPS receiver, field computer, communication device with CORS network; GPS pole and brackets. IMS (C8) Equipment Specialized tools to support IC function. Onboard computer reporting system, accelerometers, GPS-based mapping, temperature sensors, and optional feedback control. Drones/UAVs (C9) Software Software tools to control flights, process flight log and image information, and generate 3D point clouds and quality reports. Equipment Survey-grade drones, GPS receivers. CIM Tools Category Investment Specifications Modeling Technologies 2D digital design (A1) Software Generally, none; additional investment can be put toward producing digital deliverables (for integrating geospatial information). nD modeling tools (A2) Software Discipline-specific needs for digital design (structures, utilities, roadway, drainage, and others) in 3D. Procuring software tools that enable geospatial integration of design can be an added advantage. Traffic simulation tools (A3) Software Tools that enable microsimulation and macroscopic capabilities to perform traffic analysis at required granularity. Data Management Technologies Information management systems (B1 and B2) Software Information management systems (documents, CAD files, databases, models, geospatial data). Efforts to integrate agency’s Enterprise Resource Planning system with project information systems. GIS (B3) Software GIS-enabled software platforms to serve across all CIM functions. Capabilities of such applications include performing spatial querying and analyses, integrating geospatial data, and providing geo-referenced base maps for several other functions. Digital signatures (B4) Software Digital identification (encryption technology) from Certified Authorities for the agency personnel requiring them. Investments for ensuring compatibility with information management systems in place. Surveying Technologies Airborne, mobile, and terrestrial LiDAR (C1) Software Software platforms to process, analyze, visualize, and use the resulting point clouds and the imagery. Innovative applications to extract 3D models. Equipment Laser scanner (total station)—terrestrial LiDAR. Sensors (need-based), GPS equipment (supporting data), inertial measurement units, external wheel encoders, data loggers (mobile and airborne). Aerial Imagery (C2) Software Software platforms that support viewing and processing high- resolution images for visualization and estimation of quantities (photogrammetry). GPS (C3) Equipment GPS tool for installation on a variety of equipment as required for surveying, design, construction automation, and as-built verification using rovers. Augmentation with total stations to improve vertical accuracy. Robotic Total Stations (RTS) (C4) Equipment Total station equipment and associated software platform (if any). GPR (C5) Software Software tools to process the collected data (radargram) and extract the utility information, construct 3D images, and integrate them with other design entities. Equipment GPR equipment (optional integration with GPS and electromagnetic induction technology to improve efficiency). RFID (C6) Equipment RFID markers, with tags and readers, preloaded with necessary geospatial and project-based information. Table 4.1. Technology-related investment specifications.

Implementation Framework for CIM 31 meet the increased/modified demand because of the new technology. For example, literature suggests that when beginning to use 3D digital design, there is an increase in costs for modeling and a decrease in productivity that results from learning new technologies and processes. Agen- cies should consider this increase in expenditures when determining labor investments. They should also factor in opportunities to reallocate resources that result from efficiency improve- ments from a particular CIM function. For example, they can reinvest labor savings from stake- less grading with AMG and RTN surveying (see Case Example 5, for expected labor savings from RTN/CORS investments). 4.2.1.4 Standards and Specifications Standards and specifications are inherent requirements to ensure widespread adoption of any CIM tools at an agency level. Developing standards involves participation from multiple stakeholders including agencies, contractors, subject matter experts, governmental authorities, and third parties (such as research institutions). To attain a higher level of CIM maturity, agen- cies should invest in creating standards for data exchange and deliverable formats. They can primarily invest in CIM functions that have influences over multiple project areas. Visualization contributes to many phases: surveying, design, construction planning, and actual construction. Agencies can consider developing standards for digital design because it can transform down- stream construction methods. Additionally, the agencies have to examine possibilities of cross-functional impacts. Deploy- ment of new tools may also require changes in specifications of other connected functions in project delivery. 4.2.1.5 Workflow Disruptions Workflow disruptions can be the most challenging investment to monetize in practice. They can be related to a particular CIM function or be cross-functional. It is known that technology adoption can disrupt established workflows and temporarily neg- atively influence productivity. CIM adoptions can expect challenges. A leading cause of delays is the learning curve associated with adopting new technologies. Costs can be difficult to model directly in such cases, but modeling disruptions to productivity using learning curves can reveal the likely impacts. Agencies can quantify the time it would take to regain the old productivity and associated outputs with the new CIM tool. This portion represents the additional costs due to workflow disruption (for an example, see Case Example 9). The cross-functional considerations are more complex to identify, yet they have implications as well. Adoption of a new CIM tool by a particular functional area can cause ramifications in other related functions for project delivery. For example, investments in 3D modeling tools for the design function can trigger further investments in the surveying function to meet the data requirements of the former. 4.2.2 Identification of Benefits Agencies can identify benefits by tracking improvements realized through CIM functions. Functions are the basic building blocks for effective project processes. Costs are generally asso- ciated with specific technologies, but these technologies only produce benefits if they have a positive influence on functions. Thus, agencies looking to adopt specific technologies must do a careful mapping of affected functions and associated benefits and, of course, implementation challenges. Figure 4.2 provides a mapping between CIM Functions and supporting CIM Tools. It can shows agencies the functional areas affected by technologies.

32 Civil Integrated Management (CIM) for Departments of Transportation Quantifying system-wide benefits of CIM is a challenging task. The benefits can be direct— translatable to performance improvements that the agencies can measure by any of the com- monly accepted metrics for cost, schedule, quality, safety, and productivity, among others. Alternatively, they can be indirect—qualitative process improvements that lead to program effectiveness in the short or long term. Examples can include enhanced communication pro- cesses and improved data management processes, among others. 4.2.2.1 Direct Benefits Direct benefits include actual monetary savings or perceived values in time reduction, safety, and quality improvements. They can be easy to identify but difficult to quantify at times. The best way to understand direct benefits is to compare a baseline situation with an existing func- tion and a modified situation with the corresponding CIM function in place. The perceived benefits can be approximated in terms of the differences between the two situations. Table 4.2 lists the most significant benefits for each of the CIM functions. 4.2.2.2 Indirect Benefits Not all of the benefits from CIM are easily perceived or quantified. There are some instances where there can be improvements in the overall efficiency of the agency’s business practices in the future. Some of these situations are described further. The benefits obtained from implementing CIM on a few projects may create new business opportunities. It may also increase the resource availability (budget, skilled laborers, etc.), which the agency could then use on other projects in its program. Investments in information manage- ment systems can produce life-cycle benefits despite potential higher investment costs. Because CIM improves data management processes across the asset life cycle, the benefits may be indi- rect and may not be apparent for any particular CIM function. The benefits of CIM may also extend beyond project delivery; it can improve the overall program delivery through increased coordination and trust among various stakeholders, given the transparency and predictability of the information involved. Researchers have conducted benefit-cost assessments for individual CIM functions. Case Examples 3 through 6 summarize the objectives, methodologies, and conclusions of these studies. Figure 4.2. CIM functions.

Implementation Framework for CIM 33 CIM Functions Benefits Surveying Activities Site mapping Data quality improvements due to availability of comprehensive, accurate, reliable 3D information, geospatial integration Potential time and productivity savings due to rapid data collection Safety improvements due to reduction in risk of injuries to labor (GIS) Direct cost reduction and translatable cost savings from all of the above Utility mapping Time and cost savings due to improved certainty in locating utilities Improvement in data quality because of accurate position information ROW map development, environmental processes Cost and time savings for supporting complex decisions in project planning and development Improved data quality through spatial integration and opportunities for agency-wide benefits Inventory mapping Availability of good quality information for asset management Time and cost savings from supporting data collection for new projects Design Activities Digital design Improvement in quality of design efforts and design deliverables (3D information) Time or quality improvements for Public Information (visualization) Cost savings if deliverables are also provided digitally (Example: reduction in number of cross section sheets for plan sets for roadways) Design coordination and asset data integration Time or cost savings for design reviews and constructability studies Time savings for O&M personnel and asset owners due to improved accessibility to quality data Enhanced quality of the processes (Focus is now on analyzing the information rather than understanding it.) Time or cost savings due to potential reduction of RFIs, construction change orders (CCOs) during construction (processing time) Utility conflict analysis Time or cost savings for averting schedule delays and cost overruns by resolving conflicts Time or cost savings due to potential reduction of RFIs, CCOs during construction (processing time) Availability of good quality data for utility database for the agency Construction Activities Automated Machine Guidance (AMG) Time or cost savings from reduced construction costs, schedules, and fuel spent in the machines Increased quality of work and safety of construction on-site Intelligent Compaction (IC) Time and cost savings from optimized labor deployment during construction Improved pavement quality and cost savings across the life cycle Remote equipment monitoring Time or cost savings through remote monitoring and control of equipment on-site (equipment telematics) Improved productivity of machines, cost savings in fuel spent Project Management Activities 4D scheduling Time savings during project execution by resolving temporal conflicts between construction trades, performing construction sequencing Improving quality of visualization and communication process by simulating construction processes virtually 5D estimating Improving quality of visualization by adding cash flow to it (suitable for the initial stage of the project) Support for monitoring progress and payment to contractors (earthwork and quantity calculations) Visualization Support for ROW acquisition planning Time or cost savings for approvals, stakeholders’ communication, and overall project management Materials management Time or cost savings in tracking and sharing material information in real time and managing material and associated equipment on-site Time or cost savings from minimizing trucking operations and operator charges (continued on next page) Table 4.2. Benefits of CIM functions.

34 Civil Integrated Management (CIM) for Departments of Transportation Case Example 3: WisDOT’s Return on Investment (ROI) Analysis for CIM with 3D Design and Clash Detection (South East Freeways program). The major costs for CIM are related to procuring and operationalizing 3D design software for roadways, sanitary storm analysis, and structures such as bridges. Pur- chasing such software means an expenditure of $200,000 to $250,000 per year, in 2015 dollars. The design cost for models is about 10% of the total design cost (i.e., 1% of the total project costs). On a typical $2 billion project, this cost amounts to $2 million. Additional costs would involve training and initial disruption in the workflows (apart from hardware and office space). All these costs are made up for by reductions in contract change orders and a subsequent increase in capital expen- ditures. ROI is evaluated against potential construction change orders (CCOs). A $1-billion project may have 8 to 10% expenditures on CCOs ($100 million). The agency estimated that a considerable portion of this expenditure could have been reduced through 3D model and clash detection. CCOs are broken down by discipline—structures, earthworks, drainage, utilities—and conflict occurrences are identified against which ROIs are evaluated. The changes that can be controlled or addressed with CIM include design issues, clash resolution incentives, and RFIs (plan omissions, conflicts), adding up to $9 million. Therefore, the agency’s software investment for CIM can be justified. Moreover, CIM investment also has the poten- tial to reduce future overall program costs. However, it should be noted that 3D models would not solve all the uncertain issues in the field (e.g., unforeseen site/soil conditions). The ROI analysis should incorporate only the types of issues that can be solved by using CIM technologies. The quantifiable benefit of CIM is higher for roadway and drainage disciplines than for that of the commonly reported earthwork application (AMG). In an FHWA Tech brief (FHWA-HIF-13-050), the WisDOT described the benefits gained by using 3D modeling on the Zoo Interchange Project, located on the west side of Milwaukee. The DOT estimated the percent cost reduction that could have been experienced if 3D modeling had been used on the Mitchell Interchange Project, which cost $256 million, and was similar in scope to that of the Zoo Interchange. WisDOT estimated that 3D modeling could have saved the agency approximately $9.5 million (or 3.7% of the project’s cost) on the Mitchell Interchange if 3D modeling had been used during the project’s planning phase, with greatest estimated savings to have potentially occurred in aspects related to structures, drainage, and utilities. Source: This data is based on a WisDOT case study (Mitchell Interchange and Zoo Interchange projects under SE Freeways program) and the related FHWA Tech brief. CIM Functions Benefits Construction quality control Time savings due to rapid data collection Quality improvements in progress monitoring and estimation of quantities due to rapid, accurate data collection using rovers, drones (UAVs) Traffic management planning Availability of good quality data for performing various analyses and creating traffic control plans Improved quality of information used for visualization Table 4.2. (Continued).

Implementation Framework for CIM 35 Case Example 4: ODOT’s IT Benefit-Cost Evaluation Report. ODOT evaluated the benefits and costs of nine IT systems put in place by the agency and the Oregon Bridge Delivery Partners (OBDP) in support of Oregon Transporta- tion Investment Act III State Bridge Program. The systems include GIS infrastruc- ture, environmental analysis tools, electronic document management systems (EDMS), engineering tools, and work zone analysis tools, among others. The initial investments included the costs for hardware, software, software licenses, and internal development by ODOT and OBDP staff. The annual O&M costs com- prise expenditures on software license subscriptions, staff time, data storage, and backup. The direct benefits were time savings that translated into equivalent sav- ings in labor costs for OBDP and ODOT staff; indirect benefits included workflow and efficiency improvements in management. The nine IT tools had a combined benefit-cost ratio of 2.1. A cash flow analysis was carried out, taking into consideration economic factors such as discount rate. The benefit-cost ratio was then calculated by taking the ratio of present values of bene- fits and costs. Risk and uncertainty were also incorporated in the evaluation process using the Pallisade @Risk Simulation tool in MS Excel. “The $7.3 million of benefits are compared to investment costs of $3.5 million for a B/C ratio of 2.1. The overall net present value (NPV) is estimated at $3.8 million and the internal rate of return, 23%.” Source: Hagar (2011). Case Example 5: Benefit-Cost Analysis for GPS/CORS Networks—MassDOT. MassDOT conducted benefit-cost analysis for constructing and operating a net- work of CORS. Following are the two main cost categories considered: • Network construction and operation costs ($300,000) that included the physical infrastructure (concrete pillars, antenna masts, cabinets, cabling, and power supply) • Operation costs ($560,000 for a 6-year lease) that included contractor use of the GPS and CORS facility (surveying/construction machinery with GPS receiver, field computer, communication device with CORS network; GPS pole and brackets) Direct savings came from reduction in labor (surveying crew) and equipment nec- essary to establish the geodetic control (which normally requires four staff mem- bers and four receivers) and surveying (that normally requires two staff members and two receivers). Using CORS, the overall process required one GPS user and one receiver. The study also identified other potential users of the facility such as town and county governments. Source: MassDOT (2013).

36 Civil Integrated Management (CIM) for Departments of Transportation 4.2.3 Synthesizing Results—Prioritizing Decisions on Investments The last step in a ROI analysis for CIM is to combine all the information and to arrive at a strategy for prioritizing the investment decisions for CIM functions. Intuitively, an agency can benefit from CIM implementation if it considers investments sequentially across an asset’s life cycle. Availability of quality surveying information (and deliverables) is necessary to enable a model-based design process for all project elements. The quality of the model-based design directly affects the ability to use the data for downstream construction activities such as AMG. After construction, the quality of as-built information available post-construction affects the digital archival and asset management capabilities. Thus, an agency beginning to implement CIM for all functions can benefit more if it begins to invest in surveying that helps build the Case Example 6: Benefit-Cost Analysis of Mobile LiDAR—Caltrans and WSDOT. Digital point cloud information can be used for numerous tasks in mapping, asset, and inventory management. Caltrans and WSDOT have performed a benefit-cost analysis that examined different strategies of deploying a mobile LiDAR for rapid data collection. Three principal application areas were examined in this study for data collec- tion and costs. It included Roadway Feature Inventory Program (RFIP), bridge clearance measurements, and American Disability Act (ADA) feature inventory. Other application groups were not considered due to non-availability of program expenditure data from DOTs. The cost categories for these three areas included equipment, personnel, vehicle, and data collection and processing. Annual oper- ation and maintenance costs for equipment and software also were considered. The tangible benefits from the technology were larger direct cost and productiv- ity savings over current data collection methods, reduction in personnel cost, and fewer emissions because of the reduced size of the fleet. The intangible benefits included enhanced safety conditions, higher accuracy data, and availability of geospatial point cloud information for use by other DOT processes. The operational strategies considered for deployment include mode of owner- ship (contract, rent and operate, purchase and operate) and accuracy (survey or mapping grade). The benefits and costs were calculated for all three identified program areas and for all three operational strategies. The labor requirements were also listed. Cost savings were observed in all three applications at both DOTs for the period of analysis—6-year life cycle (or three data collection cycles). The researchers found that purchasing and operating a survey-grade mobile LiDAR “produced the highest saving of $6.1 million” despite its higher initial costs. Moreover, data collection and processing costs can be higher at first cycle and then lower in sub- sequent cycles. Another interesting finding is that the intangible benefits can be as equally significant as the quantifiable savings, or even more so. NCHRP Report 748 has also provided guidelines on procurement considerations and implementation plans. Source: Yen et al. (2014) and Williams et al. (2013).

Implementation Framework for CIM 37 data capabilities, followed by design investments, and then construction. Besides these general guidelines, an agency can consider the following key points for prioritizing CIM investments: Agency Utilization Rate. This is a relative measure of the probability that the agency will use the new capabilities of the functions on a typical project. Given two probable CIM functions, the agencies can invest in the one that it can use more often. Moreover, the agencies can also give preference to the functions that have applications across multiple phases, because this strategy can increase the utility. Relative Impact. This is a relative measure of the actual/perceived ROIs of specific CIM functions (inferences from benefit-cost analysis). When deciding to invest, it would be ideal for an agency to pick up the functional capabilities that provide greater efficiency improvements. After ascertaining these two indicators for all the considered CIM functions, the agency can use the Investment Prioritization Matrix (IPM) shown in Table 4.3 to select the most favorable investments. Quadrant 1 can provide the agencies the list of CIM functions that it can consider primarily for investments. Subsequently, functions in Quadrant 2 can get greater priority over Quadrant 3. The objective of this Guidebook is improving agency-level implementation and the relative impact can become greater if the agencies consider using these functions on many projects. Finally, Quadrant 4 provides the functions that agencies should not consider investing in now, given analysis results. This matrix provides the foundational framework that agencies can use to develop specific guidelines. There are professional vendor applications to assist in preparing a more sophisticated decision framework. Agencies can also deploy mathematical tools to conduct detailed studies (such as the Multiple Criteria Decision Making methods, among others). After prioritizing the investment needs, the agencies can then prepare detailed resources for aiding implementation efforts. With availability of data from benefit-cost analysis and the objectives from CIP, the scope of implementation can now become more refined and specific for particular CIM functions. This will lead the way to preparing several guidelines for all considered CIM functions detailing how the agencies can promote them, collectively referred Prioritization of Investment Decisions Relative Impact (Benefit-Cost) Low High Agency Utilization Rate Low Do not consider investing in the functions falling under this category given the current analysis results. Consider doing pilot projects to understand the best practices of the functions under this category. Determine the conditions that will promote agency-wide acceptance. High Consider these CIM functions as secondary investments. Simultaneously, explore all the opportunities to improve benefits-costs ratio. This is the most favorable investment region. Consider investing in all the CIM functions in this category. Note: The numbers in circles represent quadrant numbers. 4 2 1 3 Table 4.3. Investment Prioritization Matrix (IPM).

38 Civil Integrated Management (CIM) for Departments of Transportation to as “CIM Function Implementation Documents.” This collection of documents includes the following: • General information requirements for the CIM function • Specifications, standards, and guidelines for the CIM technologies and their associated deliv- erables on projects • Workforce training programs and resource manuals • Project-specific performance measures for CIM (This may include documentation of antici- pated benefits and costs along with necessary measurement metrics. These benefits and costs may have qualitative as well as quantitative components.) Practical cases where a connection existed between a strategic level CIP and the focused CIM Function Implementation Documents are limited. While this workflow seems familiar, agencies have not directly followed this approach for CIM implementation. Thus, this step is demonstrated further using Illustration Example 3. 4.3 Implementation Considerations—Stage III Integration of CIM into work processes is not only about planning and analyzing ROI but also about proactively accounting for other implementation factors. The decision-makers cannot view all the issues related to project delivery from the point of view of performance and effectiveness improvements. Some implementation issues play an integral part when deploy- ing CIM at the agency level. This section describes all such considerations with case examples given wherever applicable. Issues are thematically arranged into five different categories: proj- ect delivery strategies; standards and specifications; training and cultural shift; governance and policy; and information management. It takes time, sustained efforts, and coordination among all stakeholders to bring about changes among all these categories. Illustration Example 3: AMG Implementation in Construction Division for Finished Surface (Continued from Illustration Example 2). The Construction Division Head receives the action steps for improving CIM capabilities in the division. Noting that recommendations would require further understanding and information in terms of benefits and costs requirements and specific planning documents, the Division Head appoints a Group to further develop the recommendations and gather all the necessary information for implementation efforts. The Group conducts its research using the IPM and determines the CIM functions to be considered. From the list of recommendations, AMG for finished surface is selected as the most favorable task (per the IPM matrix of Table 4.3, this belongs to Quadrant 1). The Group then prepares the necessary supporting documents required for implementing AMG for finished surface construction. The following documents are submitted to the Construction Division Head for final decisions. Document 1: Preparation of agency specifications for finished surface Document 2: Workforce training programs and training resources Document 3: ROI analysis and performance objectives for AMG considering all the constraints

Implementation Framework for CIM 39 This synthesis is neither an exhaustive compilation nor a substitute for any specific guidance that an agency has in this area. Rather, it can serve as a checklist of key issues that an agency can consider. 4.3.1 Project Delivery Strategies 1. Alternative contracting methods are an inherent constituent of CIM. The relationship between alternative contracting methods (such as D-B) and CIM practices is complex to understand. There is evidence to show that alternative contracting methods foster a collab- orative environment among the major stakeholders and allow contractors to innovate with specific means and methods for construction. However, the essential benefits of CIM tools can apply to any project delivery method because CIM functions, as a system, cater to the entire life cycle of a facility, including the long-spanning O&M and asset management func- tions. Legally, some of the agencies cannot execute projects through alternative methods. These agencies have to find strategies to use traditional D-B-B, yet promote collaborative processes (see Case Example 7). 2. Another important issue to consider is the amount of design done in-house versus consult- ing on an agency’s typical project. For example, an agency that performs most of the work through outsourcing has to be more collaborative in implementing CIM initiatives for 3D design than the agency that does most of its work in-house. In addition, the amount of subcontracting done by the consultants themselves can also be an important factor that affects the acceptance of CIM at the agency level. 3. The agencies can also encourage the use of Alternative Technical Concepts (ATCs) to promote innovative CIM applications on projects, especially when stakeholders are using CIM func- tions for the first time. The use of ATCs has been common among many DOTs, with most of them harnessing considerable benefits in the form of improved efficiencies in construction means and methodologies, reduction of risks, and savings in project cost and time. While ATCs have so far been used to enhance base design requirements or to accelerate the construc- tion processes to alleviate the project impact on travelers and neighborhoods, few instances exist in practice where ATCs have been used for CIM tools or functions. Nonetheless, agen- cies embracing new CIM practices (e.g., 3D design for structures) can try utilizing ATCs to leverage the expertise of contractors to come up with cost-effective, innovative solutions. By doing so, they can not only improve the chances of successfully piloting new technologies but also learn the best strategies and practices of using them in the future. 4. The agencies can also consider using work packaging techniques and practices for schedul- ing, monitoring, and controlling engineering and construction work processes. Work packaging techniques refer to detailed field planning for construction as well as planning and scheduling design and procurement activities to support the planned construction sequence. Effective work packaging is typically accomplished during project planning to setup the appropriate control structures and project execution plan. Effective implementation of work packaging techniques on capital projects has demonstrated significant improvements in cost, schedul- ing, safety, and quality (Construction Industry Institute IR 272 [2013]; Construction Indus- try Institute IR 319 [2015]). Work packaging refers to process improvements independent of technology. However, for large projects, work package processes are supported by 3D modeling and related database technologies. Work packaging is an example of synergistic development of new processes supported by technologies and is illustrative of the type of applications and improvements supported by CIM technologies. 5. The agencies can consider pre-qualification for contractors and other suppliers of CIM capa- bilities. This approach can be an efficient strategy to control the stakeholders in the supply chain. They can ensure that the prime contractors are capable of supporting the needs of subcontractors who may not be CIM-ready.

40 Civil Integrated Management (CIM) for Departments of Transportation 6. Providing 3D (roadway surface) models to the contractors pre-bid can increase chances for contractor innovation and help reduce construction costs (FHWA 2013). Agencies can also consider providing digital information of their state highway system (such as point clouds). WSDOT, ODOT, Caltrans, and TxDOT have invested in collecting this information. Recently, some agencies have also been deploying drones for this task. 7. Technologies and functions change over time because of advancements and efficiency improvements in CIM tools. It is important for an organization to keep abreast of these changes. Furthermore, different contractors follow different means and methods to accom- plish the same task. Thus, agencies can consider using performance-based specifications that use the same quality of data for digital delivery but do not explicitly specify which method to follow—over method-based specifications. For example, an agency specifying use of digital information for construction automation can include clauses regarding quality of as-builts Case Example 7: WisDOT Case Study—Hybrid Design-Bid-Build Approach for Project Delivery. This approach is a part of the agency’s innovative construction initiatives and has been tested on its SE Freeway projects. During the “design” stage, the owner and designers/consultants are the major collaborators. It is ensured that the 3D specifications are incorporated in the contract. The designer uses the owner’s IT infrastructure (software, workstation, and plotting) to perform its work. Even if the designer’s organization has a “building” division, it is legally/contractually prohibited from sharing the design data to prevent an unfair competitive advan- tage. Construction expertise is obtained from a “lessons learned” construction manual and from the involvement of in-house construction staff throughout the design and bidding processes. Thus, this approach facilitates a data-sharing and collaborative environment. The winning bidder (the general contractor) collabo- rates with the agency’s construction staff and uses its infrastructure (along with its field/office tablet PCs). In the “construction” phase, the contractors are leading the efforts and are adopting a Bring Your Own Device (BYOD) approach (for smartphones, tablets, and other major equipment). The only expectation is that agencies share their data on cloud-based tools to facilitate easy data accessibility and control. The challenge is on the “design” side, where getting all the disciplines to follow the data-centric CIM approach is difficult. DOTs with funding restrictions can look toward utilizing cloud tools for data sharing and collaboration. However, future efforts should move toward a col- laborative data-centric design that involves owners and designers working on a central IT infrastructure so that the maximum benefits can be attained. Cloud- based tools facilitate sharing of updated information, real-time, among all stake- holders. Collaborative IT systems have the potential (designers, consultants, and agency staff among others) to leverage the capabilities of the integrated tools and processes that allow stakeholders to work in a unified platform (as done by WisDOT in this case study). Although these practices require higher initial invest- ments, there are considerable short-term and long-term performance benefits that can be derived from efficient information management.

Implementation Framework for CIM 41 and associated deliverables; it can leave it up to the contractor to determine which CIM tools or functions to adopt. Another example can be engaging a consultant to collect point cloud data on the highway system. DOTs can specify the boundary, accuracy, and the density of the collected data; they can leave the choice of technologies to use up to the consultant (such as Mobile LiDAR, UAVs, digital photography, laser scanner). 4.3.2 Standards and Specifications 1. Specifications in contracts can play an important role in transforming objectives into action- able requirements. The agencies can incorporate all the consultant requirements through general contract conditions (such as 3D modeling, LiDAR data collection, and project visu- alization) and provide the construction requirements through specifications for contractors (such as AMG specifications, compaction quality, and QC specifications). 2. Requesting as-built information from contracts is important in order to build up an effec- tive data archive for asset management (especially for proposed utilities). Agencies can also engage separate professional services to oversee this task. 3. Design forms the central component of CIM implementation in project delivery. The agencies can consider standardizing workflows of design for all the disciplines and their deliverables. Agencies and consultants can create software templates to be used by design personnel. The agencies can develop and adopt Electronic Engineered Data (EED) specifications supporting 3D design on projects. In general, they should cover details for existing ground, proposed ground, master design files for proposed structures, and coordinate geometry files (align- ments, datum/control points). 4. The agencies can generate their plan sets automatically from 3D (surface) models and include additional details on them. They should compare 3D models and 2D plan sets for QA/QC, in addition to updating the models. 5. Another primary issue to consider is priorities of data formats. Most agencies use 2D plan sets as the governing contract documents. Some agencies have carried out pilot projects wherein they used specifications that gave 3D surface models priority over 2D plans. How- ever, widespread implementation of this practice will require extensive collaboration of all the design disciplines (roadways, bridges, utilities, ITS, lighting, signs, etc.) to perform their designs and detailing works in 3D. In addition, legal guidelines have to evolve for this step to become reality. 6. Although agencies provide electronic data in both native and converted file formats for AMG, the models are usually “supplemental” or provided for “information only.” The risk, accu- racy, and liability issues arising from using them for downstream construction applications are transferred to the contractor. The agencies can consider developing better risk-sharing mechanisms or contract clauses to encourage widespread applications. 7. Establishing the level of detail (LOD) requirements for the elements in the 3D model (such as structural, traffic, surface, etc.) is critical for successful CIM integration. LOD specifications can help project teams clearly articulate and communicate the elements to be included in the CIM deliverables, as well as assist in communicating the design intent among the project team to ensure all members know the CIM requirements. Incorporating detailed specifications on LOD into contracts can also help standardize the modeling and reporting practices among all the stakeholders on projects. Many public organizations have incorporated contract specifi- cations for LOD and have developed their own customized ways to monitor and report LOD during project development (USACE 2014; BIMForum 2014). Transportation agencies can consider developing similar guidelines to ensure clarity and consistency of the information exchange between all the project stakeholders to avoid any potential conflicts. Case Example 8 highlights a situation where a DOT has prepared a strategy to document and report LOD of its highway projects.

42 Civil Integrated Management (CIM) for Departments of Transportation 4.3.3 Training and Cultural Shift 1. People and processes are as equally important for CIM adoption as technology-based prod- ucts. Workforce training programs for CIM are significant and should take the form of a continuous process, especially for design and construction areas. While construction training can equip the field staff with necessary expertise and infrastructure to handle CIM opera- tions (e.g., GPS, rovers for QA/QC, and as-builts), design training can train the disciplines on handling the 3D surveying data and performing collaborative 3D design. Considerable effort would be required for the design-related training. Approaches such as “Bring Your Own Device (BYOD)” (as implemented by NYSDOT through its 625 specs for Contract Control Plans and endorsed by the FHWA) can facilitate rapid adaptation to CIM on the construction side. The inspection staff has the option of using the contractor’s surveying equipment for inspection and QA/QC purposes. 2. The agencies can consider hiring and recruiting processes that screen for CIM-friendly employees from places of employment, such as universities. It can be worthwhile to develop detailed guidelines around this aspect. 3. Agencies can consider training as a process rather than as a one-time event. While informa- tion sessions and one-day workshops can help acquaint personnel with the concepts, con- tinuous training efforts (through vendor participation, manuals, videos, and others) play a major role in the skill development process. Also, consider using just-in-time training, where the timing of the training sessions coincides with implementation efforts. At a minimum, the workforce should get hands-on training while learning new functions. These strategies assure maximum utilization of the resources spent on training. 4. Agencies can consider cross-discipline training to understand the various processes and uses of digital information. Cross-allocation of resources across divisions can become necessary while implementing CIM. 5. It is important to recognize the transition period for all parties to get up to speed and effi- ciency while adopting CIM. Perhaps there is a learning curve in all the technology adoption processes. An approach for quantifying the learning curve is presented in Case Example 9. 6. The agencies can use existing DOT-related resources and guidelines to prepare the training materials. All these resources are included in Appendix A of the Guidebook. The agencies can use them as reference materials. Case Example 8: Project Modeling Matrix for 3D Design—WisDOT. Learning from its experiences on the SE Freeway projects, WisDOT used a Project Modeling Matrix to guide the LOD documentation process to record modeling details of various project elements—roadways, surface (existing and proposed), bridges, retaining walls, utilities, piling, embankments, and drainage, among others. Major elements of the matrix include project elements, data format (DGN/XML/CAD), level of accuracy, LOD, and work area responsible for maintain- ing LOD. For all the projects, during the bidding stage, 3D design deliverables are provided. However, the LOD of the provided data varies depending on project character- istics (projects more than $100 million with greater uncertainties/risks will have structures and utilities provided in 3D). Source: Parve (2014).

Implementation Framework for CIM 43 7. They can consider outlining detailed workflow processes for the required CIM functions. Use this workflow to develop training procedures. Agencies must ensure that training is tailored to managers, supervisors, technical staff, and field personnel. They can link the training to manuals and standards, hardware and software, and customer needs. 8. A sustained and committed supply chain participation in training programs can also have scalable impacts on motivating and increasing workforce capabilities. Case Example 10 exam- ines a good training strategy. 9. Agencies need to promote “a culture of innovation” where leadership buy-in and freedom to innovate are important. It requires a paradigm shift in the organization to provide the ability to think digitally to implement digital processes. CIM can be integrative across functions. It is essential to build the culture of information sharing. Case Example 9: An Approach for Quantifying the Learning Curve (Autodesk, Inc.). From an organizational perspective, design productivity initially goes down as users become accustomed to the new system. With time, productivity returns and continues to grow until it saturates at a higher point as the technology takes hold. This process is represented in Figure 4.3. Time Figure 4.3. Design productivity during BIM implementation. (Adapted from Autodesk, Inc., 2007.) A standard formula often used for measuring first year ROI is shown in the fol- lowing equation: 1 12( ) ( )   = − + × − + × × First Year ROI B B E C A B C D Where A is the cost of hardware and software (dollars); B corresponds to the monthly labor cost (dollars); C is the training time (months); D is a measure of pro- ductivity loss during training (percentage), and E corresponds to the productivity gain after training (percentage). This equation uses a few key system variables related to system cost, training, and overall productivity cost savings. In short, the numerator represents the “earnings” realized as a result of implementing informa- tion modeling and the denominator represents the corresponding “cost” incurred. Source: Autodesk, Inc. (2007).

Case Example 10: Integrated Training Approach—Crossrail Case Study. Crossrail (CRL) and Bentley Systems launched a dedicated “Information Academy” to give hands-on training to the CRL supply chain on contemporary technology and software and to identify, formalize, and share best practices. With full cooperation in all aspects of setting up and organizing the Academy, CRL contributes empirical information through project expertise and Bentley coordinates the physical learn- ing environment. Building information modeling (BIM) training in CRL takes place at three differ- ent levels: (a) on the owner side for the supply chain, (b) on the contractor side for their own staff, and (c) with external institutions for the current and future workforce. Through the BIM Academy, CRL has developed a curriculum particular to CRL, which includes four major training modules: (1) CRL Vision and Strategy, (2) Document Control and Information Management, (3) Management and Control of Design Information, and (4) Asset Information Provision. These sessions are for general contractors or the subcontracting community. BIM managers, however, are considered BIM “super-users” and thus they receive sessions that are more specialized. In sum, the Academy explains CRL standards, and teaches the necessary skills to achieve them. While contractors acknowledge the value provided by the Academy, they consider training at the in-house level is also fundamental. Their common approach is to appoint one person from each project team as the “BIM Champion.” BIM manag- ers then train the BIM Champions. The latter are then responsible for passing the knowledge and skills on to the rest of their team. BIM Champions are also asked to use their experience to provide suggestions on how to maximize the use of BIM, and to report the challenges they encounter. The combined result of CRL’s and each contractor’s training program results in a waterfall model for knowledge and skill transfer similar to that depicted in Figure 4.4, where training is passed from CRL to the contractor and its specific teams, and then again back to CRL. Figure 4.4. Waterfall model for BIM training in CRL. The last pillar of BIM training in CRL is collaboration between CRL and higher education institutions. While this strategy has not been fully exploited in CRL, it is becoming one of the major focus points in future projects such as High Speed Two (HS2) Ltd. CRL is also envisioning training document controllers to automate workflows in its EDMS. In CRL, only 18% of the information is stored in the ECMS (3D CAD data), as opposed to 75% that resides in the EDMS (non-graphical data and documentation). Thus, they believe training the controllers for automating the workflow process in EDMS can save time and money. Currently, there are some process- and skill- oriented challenges that need to be overcome to enable this profitable feature.

Implementation Framework for CIM 45 4.3.4 Governance and Policy Issues 1. With the advent of CIM in project delivery, a common misconception can arise regarding the risk of errors. It has to be understood that the digital or electronic mode of executing projects can provide several benefits and efficiency improvements. However, the risk and liability of errors involved in the processes do not necessarily shift with digital data. Policywise, agen- cies should give due importance to technical specifications, disclaimer and liability clauses, and risk-sharing mechanisms for digital data, among others. They have to consider adding language in contracts to resolve such issues. 2. Lack of clarity and consensus on the legal clauses (statutory laws and agency rules) for the use of digital signatures and digital deliverables is another critical policy issue. Some specific issues under this category include the following: – Legislation governing these activities (e.g., states’ engineering practice acts) preceded development of model-based drawings and specifications for projects and lack effective provisions addressing such documents. For example, while there are clear guidelines for signing and sealing documents related to plans, specifications, drawings, and reviews, many states have not treated models as a “signable” piece of information or as a formal contract element. While it might take time to change this situation, the agencies can con- sider contacting states (such as Kentucky) that have conducted pilot projects with models as contract documents. – Existing guidelines for encryption tools to protect signatures vary considerably from one state to the other—with some states not mentioning the necessary security measures and others providing detailed guidelines for their use. For example, State A allows its engineers to electronically copy the original hard copy of their work (seal, signature, and date) in lieu of electronic signature, while in State B, this procedure for generating electronic signatures is prohibited. In addition, State B has laid down detailed guidelines regarding the nature of encryption for securing the signatures. – Lastly, the agencies have to develop specific guidelines for using digital signatures for vari- ous CIM functions that currently do not have them. For example, consider using CIM for design coordination and clash detection. There are liability issues that agencies have to consider when combining information models from disparate sources to perform this task. The entire model cannot be treated and signed as one engineering work product because the modeler (say Design-Builder) may not have the expertise to validate very fine details of some specialty trades. In such cases, the agencies have to devise suitable rules for sharing/transferring the risks, and explicitly outline responsibilities should discrepancies arise. With the possibilities of embedding digital signatures on models becoming more conceivable, there have to be guidelines for the responsible personnel about signing and maintaining the data. 3. Governance and policy issues take time, resources, and commitment from various stakeholders to be resolved. Thus, the agencies can try adopting managerial strategies that build a coopera- tive and trustful environment when established guidelines do not yet exist. Partnering can be an important strategy to engage stakeholders especially when agencies are considering new pro- cesses. At the project level, project team building and information sessions can be conducted to ensure alignment and coordination of team members. Case Example 11 enumerates a checklist of measures that agencies can consider when dealing with legal issues for CIM functions. 4.3.5 Information Management 1. Data is the primary requirement for successful CIM implementation. Most of the advanced CIM functions that are enabled by the relevant CIM tool must be supported by data. Agencies shall consider developing enterprise-level repositories that can meet all the CIM data requirements of

46 Civil Integrated Management (CIM) for Departments of Transportation a facility’s life cycle—from surveying through O&M. Existing asset management databases can be improved to achieve this objective. This process also requires strong management backup and collaboration between all the divisions and IT Support Groups at the agency. This process can be initiated by meeting the individual functional needs and then integrating them across the organization. Case Example 12 explains the pilot effort of an agency collecting data and creating a central repository for utilities. Case Example 13 discusses UPlan, a popular GIS- based information system used for asset management and project development. 2. Ensuring the timely accessibility of the intended version of data to all stakeholders remains an industry-wide challenge. The benefits of CIM can be maximized when this objective is achieved. It would require sustained efforts and coordinated planning and execution from agencies to make this process a reality. 3. Agencies need to develop strategies for archiving digital data (model-based information). Currently, archival processes are limited to document-based electronic data from projects such as plans sets along with the native CAD files (see Case Example 14). Such archiving practices may be insufficient to meet the life-cycle needs at the agency level. With CIM implementation, it is now possible to envision geospatial model-based archives of an agency’s highway systems. CIM tools for rapid data collection (such as mobile LiDAR and UAVs, among others) and processes to update as-built information digitally can make this task possible in the future. 4. The most important issue that an agency has to consider is heterogeneity in the as-built information. Information from construction sites or as-built data collection efforts comes in a variety of formats—2D as-builts, 3D electronic, and 3D point clouds, among others. Agen- cies can consider developing processes to mine this information to meet the needs of asset management and future project development. Case Example 11: A Checklist for Using Digital Intellectual Property on Transportation Projects. • Defining software usage to avoid interoperability issues and information loss • Ascertaining pertinent federal and state agency laws affecting usage of digital intellectual property on projects • Apportioning responsibilities for maintaining and updating models • Specifying ownership and copyright issues of 3D models • Protecting collaborators on models, such as through “read-only” files, access control, and disclaimer clauses • Establishing conflict and dispute resolution mechanisms (e.g., if discrepancies arise between 3D model and plan sets, priority should be given to plan sets) • Utilizing partnering and team building exercises on projects to avoid potential disputes • Defining Public Information and disclosure issues • Devising plans to deal with trade secrecy (e.g., contractor resistance to provid- ing digital data to owner to avoid “loss of future business;” potential liability associated with faulty data) • Understanding digital signatures and their utility on projects • Using strategic decisions by the government and regulatory authorities to accel- erate the implementation of digital technologies. They pave the way for uni- form implementation of technologies across organizations and their projects. Sources: Adapted and extended from NCHRP Legal Research Digest 58 (Thomas 2013) and case studies.

Implementation Framework for CIM 47 5. Consider engaging personnel from O&M for review during detailed design. Some of the data needs for the life cycle from O&M and asset management can be incorporated into the early stages of a project. For example, agencies can consider tagging an asset with an identification number (ID) as they design them. Designers should ensure availability of this information by requesting the ID from asset owner (agency). This ID can then hold references to important document- and data-based information (such as traffic) specific to that particular asset. It also enables the entry of the asset in the TAM database during the design stage. As a result, maintenance personnel can benefit from this pro-active design strategy because they will then have access to the pertinent data as needed. 6. Ensure clarity around handover requirements (in contracts/specifications) and details regarding what information is to be delivered to stakeholders and obtained from them (especially contractors). This is essential for devising strategies for archiving digital data and asset management. When there are both digital- and document-based deliverables, it has to be ensured that they convey similar information, although with varying levels of detail. 7. Reverse engineering the models from document-based data is not always advantageous. Some contractors might use this practice for creating surface models for AMG operations, but it is essential that agencies recognize the related issues. This procedure increases the probability of errors because the original design intent may be lost. It can also create redundancies since the same information is created twice. Thus, agencies can consider taking necessary steps to pre- serve data integrity and provenance, assuring that the data is the same as the design intent in subsequent uses. In this case, the agency can include clauses in contracts explicitly mention- ing the activities of roadway construction that would require model-based AMG operations. They can also examine providing contractual priority to 3D models to streamline the process of using the electronic data directly for AMG. Case Example 12: Pilot Effort for Agency-Wide Utility Data Collection and Management—MUCC GUIDE, MDOT. The overall objective of the Michigan Utility Coordination Committee’s (MUCC) Geospatial Utility Infrastructure Data Exchange (GUIDE) is to improve the spatial quality of the location information of underground utilities by accurate tracking at the time of installation and creating a central repository for storing it. In 2014, the Committee laid out plans to achieve these objectives in seven pilot projects with cooperation from major stakeholders, including all the relevant utility com- panies. It is expected that this effort will form the foundation for improving the predictability and certainty in project management processes. The concept was validated, and lessons learned and best practices were recorded from this pilot initiative. Key issues were identified in the data collection and storage process (such as data format, attribute information, QA/QC review, final revision, and upload to the repository), IT infrastructure (meeting resource requirements for long-term maintenance), training process, and coordination efforts between surveying staff and contractor’s crew. Lack of information to quantify delay in construction specific to utilities was also acknowledged. A cost estimate of preparing and maintaining the GUIDE, as observed from the utility companies participating in the pilot projects, was also recorded. Source: Barden (2014).

48 Civil Integrated Management (CIM) for Departments of Transportation Case Example 13: GIS-Based Asset Information Management Systems—UPlan. UDOT implemented two GIS-based tools that provide a powerful platform for asset management and project development processes—UPlan and UGate. UPlan is a powerful, easy-to-use GIS and cloud-based information tool that sup- ports decision-making processes during the complex planning and project devel- opment tasks through efficient data sharing among diverse state units in a state DOT. It is now promoted as “UPlan Phase II” through the AASHTO Innovation Initiative Program. The portal can provide access to the following information: safety projects and crash analysis tool, UDOT Culverts Map, UDOT Maintenance Station Gallery, UDOT Pavement Management Map, the 2012 AADT map, UDOT Projects Map, UDOT Asset Management Map Gallery, Unified Transportation Plan Map (2011–40), and Access Inventory Map. UGate facilitates access to the data behind the dynamic maps and analytical tools found in UPlan, enabling sharing of the information with businesses, UDOT partners, the public, and other inter- ested stakeholders. It provides information data in KML and other open formats that are compatible with open, public services such as Google Maps. Some of the stated benefits of the system include cost-effective solutions (since the process is cloud-based), better communication with governmental agencies and other stakeholders, elimination of duplicate or redundant data, improved data quality through spatial integration, better access to data for all stakeholders, ease in integration of environmental and economic issues in the planning process, and effective public participation. Although there is no set procedure for esti- mating the ROI for the system, “an extensive independent study estimates that UDOT’s long range planning efforts will result in a net benefit to the state of Utah of $1.8 billion.” Reported benefits also included a savings of $300,000 in FY2012 through improved workflow and data management, savings due to LiDAR-based asset management process ($250,000/year), and an increase in benefits to partners in local government and private sector (around $2 million per year). Source: UDOT (2014) and NASCIO (2013). Case Example 14: Document Management System for As-Builts: PEDDS—FDOT. Professional Electronic Data Delivery System (PEDDS) is a project-centric applica- tion developed by FDOT to archive electronically produced plan sets and other project documents that can be used for construction and storing as-builts. The application stores the agency-wide information on various projects in a database called PEDDS Database (PEDDS DB). It has features for creating, managing, authenticating, and synchronizing several project instances. It can also create and control the accessibility of different signatories who will be utilizing the database through the course of the project. Recent advancements in the PEDDS system can support digital archives using LandXML formats. Source: FDOT (2008).