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53 A P P E N D I X B Aggregated Survey Results Q1 - Does your agency use a documented procedure for developing as-built plans? # Answer % Count 1 Yes 69.05% 29 2 No 23.81% 10 3 Unsure 7.14% 3 Total 100% 42 Q3 - Does your agency use a documented procedure for approving as-built plans? # Answer % Count 1 Yes 38.10% 16 2 No 54.76% 23 3 Unsure 7.14% 3 Total 100% 42 Q5 - Does your agency use a documented procedure for storing as-built plans? # Answer % Count 1 Yes 75.00% 30 2 No 25.00% 10 3 Unsure 0.00% 0 Total 100% 40 Q7 - Does your agency have a documented definition of as-built plans? # Answer % Count 1 Yes 50.00% 20 2 No 37.50% 15 3 Unsure 12.50% 5 Total 100% 40
54 Development and Use of As-Built Plans by State Departments of Transportation Q9 - Which entity is responsible for developing your agency's as-built plans? (Please check all that apply) # Answer % Count 1 Construction 85.71% 36 2 Design 16.67% 7 3 Contractor 38.10% 16 4 Design Consultant 21.43% 9 5 Other 9.52% 4 Total 42 Q9_5_TEXT - Other Other - Text Bridge Program The Erosion Control Group Contractor only applies to DesignâBuild Regarding question 10, the contractor is involved with as-built plans in design build and public private partnership but no construction manager/general contractor Construction Engineering & Inspection Resident Engineer Q10 - Does the entity responsible for as-built development vary according to delivery method (e.g. DesignâBidâBuild, DesignâBuild, Construction Management/General Contractor, Public-Private Partnership)? # Answer % Count 1 Yes, entities vary 55.26% 21 2 No, same entity for all delivery methods 44.74% 17 Total 100% 38
Aggregated Survey Results 55 Q11 - What information is recorded on your agency's as-built plans? (Please check all that apply) # Answer % Count 1 All changes made during construction 73.81% 31 2 Changes in horizontal and vertical alignment 54.76% 23 3 Grade revisions 50.00% 21 4 Corrections and adjustments to stationing 52.38% 22 5 Changes to typical sections 50.00% 21 6 Utility locations, depths, elevations, offsets, and clearances 33.33% 14 7 Changes to right-of-way lines, distances, and markers 40.48% 17 8 Changes to drainage structures such as length, flow line elevation, station or offset dimensions, sizes, thicknesses, and types of inlets and manholes 61.90% 26 9 Location and elevation of monuments, benchmarks, freeway fences, and gates 38.10% 16 10 Locations and dimensions of all structures 52.38% 22 11 Foundation elevations and subsurface structural details 54.76% 23 12 Other 7.14% 3 Total 42 Q11_12_TEXT - Other Other - Text All corrections, repairs, revisions and additional details necessary to depict the work as it was constructed. Anything that could have an effect on future project development activities Electrical pull boxes and other electrical items, minimum vertical clearance, pavement lanes, sidewalk, islands, median openings, utility crossings, irrigation crossings
56 Development and Use of As-Built Plans by State Departments of Transportation Q12 - What methods or procedures does your agency use to capture and document as-built information? (Please check all that apply) # Answer % Count 1 Hand written notes 85.71% 36 2 Electronic notes 76.19% 32 3 Photographs 33.33% 14 4 Google Earth 9.52% 4 5 LiDAR 9.52% 4 6 Ground Penetrating Radar 7.14% 3 7 Drones 2.38% 1 8 3-D Models 7.14% 3 9 Other 7.14% 3 Total 42 Q12_9_TEXT - Other Other - Text Transitioning from paper As-Built plans to electronic As-Built plans. CAD files, Survey data files Contractor survey records LiDAR and GPR are available but not used for as-built plans as a rule. Q13 - What platforms (technologies) does your agency use to establish as-built plans? (Please check all that apply) # Answer % Count 1 Microfilm/fiche 11.90% 5 2 Paper mark ups 66.67% 28 3 Mylar sheets 9.52% 4 4 Adobe 42.86% 18 5 Bluebeam 40.48% 17 6 AutoCAD 9.52% 4 7 MicroStation 38.10% 16 8 3-D Modeling 7.14% 3 9 Other 4.76% 2 Total 42
Aggregated Survey Results 57 Q13_9_TEXT - Other Other - Text Paper As-Built plans are stored via microfiche and electronic As-Built plans are stored in OnBase (Hyland Software, Inc.) We currently allow paper markups of as-built plans, but we are in the process of updating as-built documentation procedures to electronic documentation only. This will be done by using Adobe. Primarily Spicer Imagination software (through Citrix) but also utilize a few available Bluebeam licenses Q14 - In reference to percent of project completion, when does your agency begin to develop as-built plans? # Answer % Count 1 Beginning of project 58.97% 23 2 25% project completion 0.00% 0 3 50% project completion 2.56% 1 4 75% project completion 5.13% 2 5 After project is complete 30.77% 12 6 Varies by Project 2.56% 1 Total 100% 39 Q15 - Does your agency assign quality and/or accuracy levels to as-built plans to inform users of the degree to which the information was recorded? # Answer % Count 1 Yes 5.26% 2 2 No 84.21% 32 3 Unsure 10.53% 4 Total 100% 38 Q17 - Do you have any comments you want to provide about your agency's as-built approval process? # Answer % Count 1 Yes 36.84% 14 2 No 63.16% 24 Total 100% 38
58 Development and Use of As-Built Plans by State Departments of Transportation Q17_1_TEXT - Yes Yes - Text We have a process, but it doesn't work very well and is often an issue at project closeout. In general, accuracy is not good. Delaware is starting to experiment with Bluebeam and may be using it for as-builts in the future. THE NDDOT as-built process was recently amended to be electronic. We also developed a web based access system that pulls as-built plans from official storage location for easy retrieval. Previously all as- built plans were handwritten paper copies that were not stored in one central location. Our as-built process is continually being updated as projects are developed and information is requested from our customers. One of the important developments in our agency's process has been an as-built web page that has all of the information (in one location) pertaining to the development and retrieval procedures of as-built. This allows for more consistent submittals. We are currently updating our as-built plan process. The manual that has been attached in this survey will be changing to reflect the revisions to our process. As-built process is documented in Michigan Road Design Manual section 14.73. Completed as-built plans are signed and sealed by the Resident Construction Engineer/ Project Engineer. We are standardizing the procedure for the Design/Build projects. Process is antiquated, and project personnel, whether ALDOT or consultant, have quit doing. We are looking at pilot projects using software such as PlanGrid and Procore, to help us update our procedures and be able to capture this data on inspectors' iPads as it happens. Then, utilize that data for asset management by Maintenance. The As-Builts are done by our Construction personnel, but then are checked by our Engineering Audit personnel during the audit process. Our agency doesn't approve as-builts. The Region Records Coordinator makes sure the PDF opens properly and correct labels appear on the title sheet before uploading to electronic storage. The approval process is included in the record plans procedure documents uploaded earlier. Looking to move forward with ProjectWise to store documents in the future. Q18 - Where does your agency store approved as-built plans? (Please check all that apply) # Answer % Count 1 Central Office as hard copy prints 21.43% 9 2 District Offices as hard copy prints 35.71% 15 3 Central Office as electronic files 38.10% 16 4 District Offices as electronic files 21.43% 9 5 Electronic Document Management System 54.76% 23 6 Project Archives 11.90% 5 7 Other 0.00% 0 Total 42
Aggregated Survey Results 59 Q19 - If your agency stores as-built plans electronically, please list the system (e.g. ProjectWise, FileNet, Computer Hard Drive, etc.) used by your agency. If your agency stores as-built plans electronically, please list the system (e.g. ProjectWise, FileNet, Computer Hard Drive, etc.) used by your agency. Microsoft Access OnBase (Hyland Software, Inc.) Internal network drives; ProjectWise ProjectWise Falcon Document Management System Electronic Content Management System ProjectWise Filenet ProjectWise and computer hard drive. Made public on Cabinetâs website Web cloud location and local servers. ProjectWise Filenet EDMS ME-Plans ProjectWise Computer Hard Drive and unsure of System(s) used. Falcon-Plan Library ProjectWise In-house developed system known as ERMS (Electronic Records Management System) ProjectWise ProjectWise ProjectWise Falcon/DMS software from tsaADVET, Inc. Computer Network Drive As-built Access Database and As-builts Records Management System (ARMS) are used to make as-builts available in Department of Transportation Viewer (DOTView) and Highway Structures Information System (HSI). Bentley ProjectWise InterPlot Server Digital Print Room (DPR) Electronic Document Management System SharePoint project sites
60 Development and Use of As-Built Plans by State Departments of Transportation Q20 - Are your agency's as-built plans updated to reflect changes made to facilities after construction completion? # Answer % Count 1 Yes 10.53% 4 2 No 76.32% 29 3 Unsure 13.16% 5 Total 100% 38 Q21 - Who has access to your agency's as-built plans? (Please check all that apply) # Answer % Count 1 Certain departments within your agency 13.16% 5 2 Anyone within your agency 86.84% 33 3 Other State Transportation Agencies 18.42% 7 4 Federal agencies (e.g. Federal Highway Administration) 34.21% 13 5 General Public 23.68% 9 Total 38 Q22 - For what project types is your agency using approved as-built plans? (Please check all that apply) # Answer % Count 1 Highway Maintenance 57.89% 22 2 Highway Design 84.21% 32 3 Bridge Maintenance 60.53% 23 4 Bridge Design 81.58% 31 5 Other 7.89% 3 Total 38 Q22_5_TEXT - Other Other - Text Litigation Our agency doesn't approve as-built plans, but we do use as-built information for future maintenance and design projects, verifying information and supplementing with additional survey as necessary.
Aggregated Survey Results 61 Q23 - What information is your agency using from approved as-built plans? (Please check all that apply) # Answer % Count 1 Pile Tip Elevations 63.16% 24 2 Beam Set Information 36.84% 14 3 X Dimensions 36.84% 14 4 Culvert Fill Heights 55.26% 21 5 Foundation Layouts 60.53% 23 6 Actual Courses Placed 44.74% 17 7 Typical Sections 73.68% 28 8 Pile Length 57.89% 22 9 ADA Ramps Information 44.74% 17 10 Intersection Grades 57.89% 22 11 Maintenance History 26.32% 10 12 Right-of-Way Plans 44.74% 17 13 Pictures and/or LiDAR Scans 21.05% 8 14 Alignments 73.68% 28 15 Footing Information 68.42% 26 16 Other 10.53% 4 17 Stationing Information 71.05% 27 18 Bearing Details 52.63% 20 19 Rock Cut Slopes 39.47% 15 20 Cut and Fill Slopes 55.26% 21 21 Subsurface Utility Information 52.63% 20 22 Depths and clearances 60.53% 23 23 Subgrade Details 60.53% 23 Total 38 Q23_16_TEXT - Other Other - Text Unsure Location/Elevation modifications; Addition of minor items (sign, inlet box, cross drain pipe, etc.) All relevant data Varies project to project
62 Development and Use of As-Built Plans by State Departments of Transportation Q24 - Does your agency plan to develop or refine as-built procedures in the near future? # Answer % Count 1 Yes 47.37% 18 2 No 18.42% 7 3 Unsure 34.21% 13 Total 100% 38 Q25 - Which aspect of the as-built process does your agency plan to develop or refine (Please check all that apply)? # Answer % Count 1 Entity developing as-built plans 22.22% 4 2 Information being included on as-built plans 61.11% 11 3 Method used to capture as-built information 94.44% 17 4 Platform used to establish as-built plans 55.56% 10 5 When as-built plans are developed 27.78% 4 6 Approval process for as-built plans 50.00% 8 7 Storage location of completed as-built plans 55.56% 9 8 Naming convention of stored as-built plans 33.33% 5 9 Uses of as-built plans 33.33% 5 10 Other 16.67% 2 Total 18 Q25_10_TEXT - Other Other - Text 3-D Model Requirements Reviewing potential implementation of Bluebeam, and additional electronic documentation capabilities (coordinates, photos, etc.)
Aggregated Survey Results 63 Q26 - Which of the following do you view as necessary improvements to your current as-built procedures? (Please check all that apply) # Answer % Count 1 Improved accuracy of as-builts 56.76% 21 2 Improved usability of as-builts 70.27% 26 3 Updated procedures to reflect newly available technology 67.57% 25 4 Adaptability to multiple delivery methods 18.92% 7 5 Increased feedback/communication between agency divisions 48.65% 18 6 Better linkage to asset management 67.57% 25 7 Other 10.81% 4 Total 37 Q26_7_TEXT - Other Other - Text Ability to be viewed by general public Capture asset data We are researching the possibility of going plan less with the use of 3-D Models. This will impact all aspects including how we handle as-builts. Q27 - What key challenges is your agency facing in making improvements to as-built procedures? (Please check all that apply) # Answer % Count 1 IT Issues 32.26% 10 2 Lack of technical staffing 51.61% 16 3 Lack of management support 6.45% 2 4 Uncertainty on where to begin 25.81% 8 5 Lack of available technology 32.26% 10 6 Other 25.81% 8 Total 31
64 Development and Use of As-Built Plans by State Departments of Transportation Q27_6_TEXT - Other Other - Text Deciding which technology to use and where to store to maximize awareness of existing as-builts Unsure Training staff how and when to record as-builts Culture. Paper vs. electronic Records retention policies Old process has yet to become an issue. Impetus to change isn't there. Resource issues Time Training of the personnel developing the as-built plans Q28 - Is there any information you would like to add about as-builts? # Answer % Count 1 Yes 13.16% 5 2 No 86.84% 33 Total 100% 38 Q28_1_TEXT - Yes Yes - Text The attachment added for question #5 is incorrect but could not be removed from the response. Our current processes and procedures are loosely defined. There are many areas where improvements could be implemented. The rollout of the web-based system received high remarks. As existing as-built paper plans are created into electronic and placed into document management system storage location the remarks will be even greater. Link to Iowa DOT Construction Manual Chapter 2.72 guidance for as-built plans: https://iowadot.gov/erl/current/CM/content/CM%202.70.htm Our current procedures are sound. Our future improvements include the development of as-builts using 3- D/AMG technology. Our procedures are very informal. Most districts have a set of marked-up construction plans notated major changes. No formal process requires this, but usually a practice conducted by the individual districts. Q29 - This synthesis will include five case examples to document different as-built practices being used. Would your agency be interested in participating in a case example? # Answer % Count 1 Yes 21.62% 8 2 No 78.38% 29 Total 100% 37