Modernizing Road Construction Plans And Documentation
Modernizing RoadConstruction Plans andDocumentationYelda Turkan, Principal InvestigatorConstruction Management and Technology ProgramInstitute for TransportationIowa State UniversitySeptember 2016Research ProjectFinal Report 2016-29
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Technical Report Documentation Page1. Report No.2.3. Recipients Accession No.MN/RC 2016-294. Title and Subtitle5. Report DateModernizing Road Construction Plans and DocumentationSeptember 20166.7. Author(s)8. Performing Organization Report No.Yelda Turkan and Jennifer S. Shane10. Project/Task/Work Unit No.9. Performing Organization Name and AddressConstruction Management and Technology ProgramInstitute for TransportationIowa State University2711 S. Loop Drive, Suite 4700Ames, Iowa 50011-866411. Contract (C) or Grant (G) No.(C) 99004 (wo) 1112. Sponsoring Organization Name and Address13. Type of Report and Period CoveredLocal Road Research BoardMinnesota Department of TransportationResearch Services & Library395 John Ireland Boulevard, MS 330St. Paul, Minnesota 55155-1899Final Report14. Sponsoring Agency Code15. Supplementary 1629.pdf16. Abstract (Limit: 250 words)This project captured best practices for producing and delivering road construction plans and documentationfrom several Minnesota cities and counties, industry, and several other state departments of transportation(DOTs). The findings will assist Minnesota city and county engineers in getting a better understanding ofhow and which types of plans, models, and other bid documents are used and delivered electronically in theconstruction industry, and how best practices can be employed in Minnesota cities and counties.The project included an extensive literature review, phone interviews with experts, and a brainstormingsession with super-users. The brainstorming session was held to help assess the recommendations reachedthrough the study and determine how electronic plans, models, and other bid documents are viewed by theimplementers in Minnesota cities and counties.Based on the results of this work, guidance was developed for the implementation of 3D modeling andelectronic document management (EDM) systems for the MnDOT Local Road Research Board (LRRB).17. Document Analysis/Descriptors18. Availability Statementmathematical models, data management, documents, bids,road constructionNo restrictions. Document available from:National Technical Information Services,Alexandria, Virginia 2231219. Security Class (this report)20. Security Class (this page)21. No. of PagesUnclassifiedUnclassified6122. Price
Modernizing Road ConstructionPlans and DocumentationFinal ReportPrepared by:Yelda TurkanJennifer S. ShaneConstruction Management and Technology ProgramInstitute for TransportationIowa State UniversitySeptember 2016Published by:Minnesota Department of TransportationResearch Services & Library395 John Ireland Boulevard, MS 330St. Paul, Minnesota 55155-1899This report represents the results of research conducted by the authors and does not necessarily represent the viewsor policies of the Minnesota Department of Transportation or Iowa State University. This report does not contain astandard or specified technique.The authors and the Minnesota Department of Transportation and Iowa State University do not endorse products ormanufacturers. Any trade or manufacturers’ names that may appear herein do so solely because they are consideredessential to this report.
AcknowledgmentsThe authors want to thank the Minnesota Department of Transportation and the Minnesota LocalRoad Research Board for funding this work. They would also like to thank the technical advisorypanel (TAP) members and the brainstorming session super-users for their participation,contributions, and insights. Finally, the authors want to thank the National Cooperative HighwayResearch Program (NCHRP) Domestic Scan 13-02, Advances in Civil Integrated Management(CIM), team members for their work that also resulted in contributions to this project.
Table of ContentsCHAPTER 1: INTRODUCTION.11.1 Background and Problem Statement .11.2 Research Methodology and Organization of this Report .4CHAPTER 2: TASK 1 - BEST PRACTICES WITHIN MINNESOTA CITIES ANDCOUNTIES.62.1 3D Modeling Practices .62.2 Bidding Documents and Digital Signatures .72.3 Document Management and Data Storage .82.4 Summary of Interview Results.8CHAPTER 3: TASK 2 - BEST PRACTICES IN EUROPEAN COUNTRIES .103.1 Visualization .103.2 Simulation from the Models .103.3 Lessons Learned/Keys for Successful Implementation .11CHAPTER 4: TASK 3 - BEST PRACTICES IN OTHER AGENCIES AND ININDUSTRY.124.1 Surveying .124.2 3D Modeling .124.3 Automatic Machine Guidance .144.4 Electronic Document Management Systems .144.5 Electronic Signatures .154.6 Data Storage and Management .15CHAPTER 5: TASK 4 - BRAINSTORMING SESSION WITH SUPER-USERS .165.1 SWOT Analysis .165.2 Barriers and Challenges to Digital Project Delivery.215.3 Key Findings .22CHAPTER 6: TASK 5 - GUIDELINES .236.1 Key Findings .236.2 Fundamental Concepts .236.3 Recommended Procedures for Successful Implementation .23CHAPTER 7: CONCLUSIONS .30CHAPTER 8: LIMITATIONS AND FUTURE WORK .31REFERENCES .32APPENDIX A. INTERVIEW QUESTIONNAIREAPPENDIX B. SUPER-USERS’ BRAINSTORMING SESSION PRESENTATIONAPPENDIX C. SUPER-USERS’ BRAINSTORMING SESSION MINUTES
List of FiguresFigure 1. Facility lifecycle with data pool .1Figure 2. CIM practices and tools .3Figure 3. 3D modeling implementation flow.26Figure 4. EDM system implementation flow.29List of TablesTable 1. 3D modeling SWOT analysis summary .17Table 2. EDM system SWOT analysis summary .20Table 3. Platform differences .27
Executive SummaryThe purpose of this project was to investigate what contractors are looking for in project biddocuments and to understand what information they actually need in these documents. Plans andspecifications have a variety of information, and constructability is hard to understand becausethe current process is lagging behind available technology. Three-dimensional (3D) visualizationcan be difficult with the current two-dimensional (2D) standard submittals.Today, 3D modeling is being implemented by leading contractor companies, as well as somedepartments of transportation (DOTs), including MnDOT. However, these models are notprovided in an electronic format as part of the bid documents. Instead, hundreds of pages ofplans, models, and other documents are provided as hard copy.This project captured best practices for producing and delivering road construction plans anddocumentation from several Minnesota cities and counties, from industry, and from several otherstate DOTs. The findings will assist Minnesota city and county engineers in getting a betterunderstanding of how and which types of plans, models, and other bid documents are used anddelivered electronically in the construction industry, and how best practices can be employed inMinnesota cities and counties.The project included an extensive literature review, phone interviews with experts, and abrainstorming session with super-users. The brainstorming session was held to help assess therecommendations reached through the study and determine how electronic plans, models, andother bid documents are viewed by the implementers in Minnesota cities and counties.Based on the results of this work, guidance was developed for the implementation of 3Dmodeling and electronic document management (EDM) systems for the Local Road ResearchBoard (LRRB).Potential benefits of this research are reduced design staff time and costs, reduced design reviewtime, and fewer requests for information and field corrections, as well as less paper used andreduced office supply costs. A better understanding of electronic bid submittals and electronicproject delivery can help to improve entire work process flows, from planning to design andconstruction, while setting new requirements and standards for construction plans anddocumentation. Users of this guidance are Minnesota city and county employees who areinvolved in design, contracts, and construction.
CHAPTER 1: INTRODUCTION1.1 Background and Problem StatementThe decision-making process for transportation projects is challenging given the manystakeholders involved with varying perspectives and constraints. Decisions are made throughoutthe entire lifecycle of a transportation facility, from planning, design, procurement, construction,and as-built assets to operation and maintenance, and continuing on to the planning of the nextfacility lifecycle (see Figure 1).PlanningOperation &MaintenanceConceptualDesignData ementAdapted from NCHRP Project 20-68A, Domestic Scan 13-02 Team ReportFigure 1. Facility lifecycle with data poolTo ensure objectivity and transparency, decision processes are preferably data driven.Unfortunately, the data, information, and knowledge needed to make the decisions are oftenscattered, residing in a variety of formats, including hard copy, electronic files for businessapplications on various personal computers, and in mainframe databases that have seriousinteroperability challenges.1
Development of a system of practices and tools to enable efficient exchange of project data in anelectronic format is desirable. This system/process should provide the following: A common data, information, and knowledge pool (Figure 1)Standard processes for transforming data into information and further transforminginformation into knowledgeElectronic data transfer protocolsLong term data storage and accessibilitySuch a system is defined as civil integrated management (CIM). The core of this system isgeotagged asset data including three-dimensional (3D) engineered models, which are compatiblewith LiDAR, automated machine guidance (AMG) and others (see Figure 2).2
Geospatial DataCollaborationGIS, DAR, RTK GPSIntelligent compaction,thermal imagingElectronic DocumentManagementInformation Modeling3/4/5/xD modeling, clashcoordination, AMGEDM systems, ingAsset ManagementSurvey, design,construction datatransfer for asset O&MDB, CMGCUtilitiesLegal Issues3D mapping and datastorage/RFID subsurfacemarkingLiability of survey,design, and as-built data3/4/5/xD dimensional, AMG automated machine guidance, CMGC construction manager/general contractor, DB design-build, EDM electronicdocument management, GIS geographic information system, RFID radio-frequency identification, O&M operation and maintenanceAdapted from NCHRP Project 20-68A, Domestic Scan 13-02 Team ReportFigure 2. CIM practices and tools3
The departure from traditional document-based project delivery and management to a systembased on electronic models necessitates redefined workflow processes, raises digital data storageand data interoperability issues, and also awakens legal issues such as the ownership of digitaldata and models.Current construction plans and documents do not reflect the needs of today. It is very importantto understand what contractors are looking for in project bid documents and to understand whatinformation they actually need. Plans and specifications have a variety of information, andconstructability is difficult to understand because the current process is lagging behind availabletechnology.3D visualization can be difficult with the current two-dimensional (2D) standard submittals. 3Dmodeling is being implemented by leading contractor companies, as well as some departments oftransportation (DOTs), including MnDOT. However, these models are not provided in anelectronic format as part of the bid documents. Instead, hundreds of pages of plans, models, andother documents are provided as hard copy.1.2 Research Methodology and Organization of this ReportThe purpose of this work was to assist Minnesota city and county engineers in getting a betterunderstanding of how and which types of plans, models, and other bid documents are used anddelivered electronically in the construction industry, and how best practices can be employed bytheir cities and counties. This project involved identifying and documenting best practices inproducing and delivering road construction plans and documentation in several Minnesota citiesand counties and in industry, as well as in several other DOTs.This report summarizes the findings of the project. The project was comprised of seven tasks,where the last two tasks were compilation and finalization of this report. The first three tasksinvolved an extensive literature review and phone interviews with experts to identify anddocument best practices for road construction plans and documentation. Task 4 involvedorganizing a super-users’ brainstorming session to understand contractor and consultant needsfor road construction plans and documents.The primary goal of the first three tasks was to identify what contractors are looking for inproject bid documents and to understand what information they actually need in them, whilecapturing best practices for road construction plans and documentation from several Minnesotacities and counties and from industry, as well as several other DOTs. The goal for this work wasto increase efficiency by identifying the information in plans that is not useful to contractors forpossible elimination from the plans.This also involved looking at digital practices as more and more contractors are taking advantageof advanced technologies and tools such as 3D modeling, LiDAR, AMG, and others in theirpractices. Aligning with the scope of this project, the Federal Highway Administration (FHWA)has initiatives that aim to guide and encourage state DOTs to use these new technologies.4
As part of the FHWA Every Day Counts (EDC)-2 Innovations initiative, 3D engineered modelsfor construction were identified as one of the technologies that should be adopted by state DOTsin the near future. The CIM concept is defined as a comprehensive management system whereaccurate data are collected, organized, managed, and used throughout the transportation assetlifecycle (NCHRP Domestic Scan 13-02 team n.d.).The National Cooperative Highway Research Program (NCHRP) funded two projects toinvestigate the CIM concept: a national domestic scan project that was completed in early 2015and another research project that is in progress. The principal investigator (PI) on this MnDOTproject was heavily involved with the NCHRP CIM domestic scan project, and she visitedseveral state DOTs as well as their contractors and consultants (with the research team) to learnabout their practices as they relate to the CIM concept. The practices involve using emergingtechnologies and tools in an efficient manner to improve current practices.5
CHAPTER 2: TASK 1 - BEST PRACTICES WITHIN MINNESOTACITIES AND COUNTIESThe objective of the first task was to establish the current practices of modernized plans withinMinnesota, including municipality and county agencies. As part of this task, the research teaminterviewed engineers from Hennepin and Chisago counties, the City of Rochester, MnDOT, andSRF Consulting Group, Inc.The researchers asked the questions in Appendix A to help understand the level of adoption ofseveral emerging technologies by Minnesota cities and counties, as well as by MnDOT. Thefollowing summarizes the findings and best practices from these interviews.2.1 3D Modeling PracticesHennepin County has been using MicroStation and InRoads software for highway and roadprojects for more than 10 years. However, they do not use any 3D bridge design software. Forsome of their complex bridge projects, consultant engineers model reinforcing steel barplacement in 3D. They do not have any in-house written guidelines on how to use this software;they use software manuals provided by vendors. Most written guidelines are only for the use ofdifferent versions of MicroStation, and these guidelines are followed by each design squad. Theagency usually keeps the MicroStation most-up-to-date version.Chisago County has been using GEOPAK and MicroStation since 2013. County employees getsoftware training from vendors. MnDOT also has training programs for some software (e.g.,MicroStation training). The triangulated irregular network (TIN) files are created usingMicroStation, and, for some of the projects (three projects so far), they share TIN surface modelswith the contractors. On those projects, contractors use the TIN models on their globalpositioning system- (GPS)-equipped machines for staking. Compared to traditional surveying, itwas more efficient to use a combination of digital TIN models and GPS-equipped machines for
The project included an extensive literature review, phone interviews with experts, and a brainstorming session with super -users. The brainstorming session was held to help assess the recommendations reached through the study and determine how electronic plans, models, and other bid documents are viewed by the
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