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susPlans to MeetCurrent Kentucky Transportation Cabinet NeedsBridgeLoad RatingKTC-19-16/SPR06-423-1FReport Number: Ghttps://doi.org/10.13023/ktc.rr.2019.16DOI: https://doi.org/10.13023/ktc.rr.2019.10

Kentucky Transportation CenterCollege of Engineering, University of Kentucky, Lexington, Kentuckyin cooperation withKentucky Transportation CabinetCommonwealth of KentuckyTheaa policypolicyofprovidingequalThe KentuckyKentucky TransportationTransportation CenterCenter isis committedcommitted toto apolicy ofof providingproviding ment,promotion,payment,training,opportunities forfor allall personspersons inin recruitment,recruitment, appointment,appointment, promotion,promotion, payment,payment, ndeducationpracticeswithoutregardforeconomic,orand otherother employmentemployment andand educationeducation practicespractices withoutwithout regardregard forfor economiceconomic oror nthebasisofrace,color,ethnicorigin,nationalstatus andand willwill notnot discriminatediscriminate onon thethe basisbasis ofof race,race, color,color, ethnicethnic origin,origin, nationalnational UniversityCollege ofof Engineering,Engineering, ton,Kentuckyin entuckyTransportationCabinetKentucky CommonwealthofKentuckyCommonwealth ofof KentuckyKentuckyCommonwealth 2018Universityof Kentucky,KentuckyTransportationCenter 20182018Universityof Kentucky,Kentucky,KentuckyTransportationCenter n may no tbe used, reproduced, or republished without KTC’s written consent.Information maymay notnot bebe used,used, reproduced,reproduced, oror republishedrepublished withoutwithout KTC’sKTC’s writtenwritten ionCenter Universityof KentuckyKentuckyTransportationCenterUniversityof KentuckyKentuckyKentuckyTransportationCenter Universityof176 Raymond Building Lexington, KY 40506 859.257.6898 www.ktc.uky.edu176 RaymondRaymond BuildingBuilding LexingtonLexington KYKY 4050640506 859.257.6898859.257.6898 www.ktc.uky.eduwww.ktc.uky.edu176KentuckyKentucky

Research ReportKTC-19-10/SPR18-555-1FRedefining Construction As-Built Plans to Meet Current Kentucky TransportationCabinet NeedsVictoria LasleyGraduate Research AssistantSteve Waddle, MSCE, P.E.Research EngineerTim Taylor, P.E., Ph.D.Research ProfessorAndRoy Sturgill, P.E., Ph.D.Research EngineerKentucky Transportation CenterCollege of EngineeringUniversity of KentuckyLexington, KentuckyIn Cooperation WithKentucky Transportation CabinetCommonwealth of KentuckyThe contents of this report reflect the views of the authors, who are responsible for the facts and accuracy ofthe data presented herein. The contents do not necessarily reflect the official views or policies of theUniversity of Kentucky, the Kentucky Transportation Center, the Kentucky Transportation Cabinet, theUnited States Department of Transportation, or the Federal Highway Administration. This report does notconstitute a standard, specification, or regulation. The inclusion of manufacturer names or trade names is foridentification purposes and should not be considered an endorsement.June 2019

1. Report No.2. Government Accession No.KTC-19-10/SPR18-555-1F4. Title and SubtitleRedefining Construction As-Built Plans to Meet Current KentuckyTransportation Cabinet Needs3. Recipient’s Catalog No7. Author(s):Victoria Lasley, Steve Waddle, Tim Taylor, Roy Sturgill8. Performing Organization Report No.KTC-19-10/SPR18-555-1F9. Performing Organization Name and AddressKentucky Transportation CenterCollege of EngineeringUniversity of KentuckyLexington, KY 40506-028110. Work Unit No. (TRAIS)12. Sponsoring Agency Name and AddressKentucky Transportation CabinetState Office BuildingFrankfort, KY 4062213. Type of Report and Period Covered5. Report DateJune 20196. Performing Organization Code11. Contract or Grant No.SPR 18-55514. Sponsoring Agency Code15. Supplementary NotesPrepared in cooperation with the Kentucky Transportation Cabinet16. AbstractAs-built plans have traditionally been used by construction industry practitioners to record changes made duringconstruction. As-builts provide valuable information for new design projects as well as rehabilitation and remediationprojects. The completeness and accuracy of these plans are essential for transportation industries and their success.While the importance of as-builts is widely recognized, preparing them can be difficult and time-consuming; manyentities — especially public agencies — lack the resources necessary to produce accurate and detailed as-builts. Afterinvestigating the current as-built operations of state transportation agencies, Kentucky Transportation Center (KTC)researchers devised recommendations to improve the Kentucky Transportation Cabinet’s (KYTC) as-built process. Todevelop their proposed process, researchers conducted in-depth interviews with as-built end users and developers. Alongwith describing the proposed as-built process, this report outlines a number of suggestions for improving currentpractices. First, it is imperative to preserve all as-builts in a central storage location that can be accessed by allstakeholders. The Cabinet will also benefit from guidance which standardizes the production of as-builtplans/information and specifies what should be included in them. To ensure they are completed on time and accurately,as-built plans should be developed continually throughout the project using simple editing software on iPads. A PDFeditor is ideal for as-built development as most end users prefer as-builts in a PDF format. Finally, to ensure this processis being followed, assigning a liaison to serve as a go-between to coordinate the activities of as-built developers andusers is recommended.17. Key Words18. Distribution Statementas-builts, construction plans, construction management, design-constructionUnlimited with approval of theintegration, project documentationKentucky Transportation Cabinet19. Security Classification (report)Unclassified20. Security Classification (this page)Unclassified21. No. of Pages5519. SecurityClassification(report)

Table of ContentsExecutive Summary .11. Introduction and Background .31.1 Project Scope and Objectives . 51.2 Research Methodology . 51.3 Report Structure. 62. Literature Review .72.1 As-Built Practices in State Transportation Agencies . 72.2 As-Built Practices in the Private Industry . 173. Kentucky Transportation Cabinet End User Interviews .203.1 Current Uses . 203.2 As-Built Delivery. 213.3 Perfect World As-Builts . 213.4 Importance of As-Builts . 223.5 As-Built Process Improvement . 234. Kentucky Transportation Cabinet As-Built Developer Interviews .244.1 Current As-Built Development . 244.2 Utilization of As-Built Plans by Project Managers. 244.3 Biggest Obstacles When Developing As-Builts . 244.4 Format and Storage Location of As-Built Plans . 254.5 As-Built Process Improvement . 265. Interim Recommendations .276. Task Force Development and Workshop .286.1 Task Force Workshop . 287. Recommended As-Built Procedures .347.1 Existing As-Built Process. 347.2 Immediate Implementation Opportunities for the As-built Process . 377.3 Future Implementation Opportunities for the As-built Process . 418. Conclusions .458.1 Existing Research and Future Research Needs . 46Appendix A: Links to State Transportation Agencies’ As-Built Procedures .47References .51KTC Research Report Redefining Construction As-Built Plans to Meet KYTC Needs

List of FiguresFigure 1 Entity Responsible for As-Built Development for STAs .14Figure 2 Method Used to Record As-Built Information for STAs .15Figure 3 Format of Stored As-Builts for STAs.16Figure 4 Excerpt from KYTC Records Retention Schedule for the Division of Construction . 36Figure 5 Excerpt from KYTC Records Retention Schedule for the District Offices . 36Figure 6 Excerpt from KYTC Records Retention Schedule for the Division of Highway Design.36Figure 7 Proposed Process for Development of As-Built Construction Information . 38List of TablesTable 1 State Transportation Agencies' As-Built Practices .8Table 2 Contractor Created As-Builts .14Table 3 Summary of End User Requested As-Built Information .21Table 4 End User and Developer Workshop Table .29Table 5 As-Built Information Checklist by End User .39Table 6 As-Built Checklist Information by Work Product .41Table 7 As-Built Process and Future Recommendations .44KTC Research Report Redefining Construction As-Built Plans to Meet KYTC Needs

Executive SummaryHaving accurate and complete as-built plans is critical for the Kentucky Transportation Cabinet’s(KYTC) efforts to plan maintenance activities, future improvements, and design new projects.As-builts provide a wealth of information on transportation infrastructure and nearby facilities.(e.g., utilities located above- and belowground). Unfortunately, the emphasis on producingtimely and accurate as-built plans has waned over the years. This has resulted in the Cabinetbeing reliant on outdated and ineffective practices for developing, maintaining, and storing asbuilts. Approaches used to prepare as-built plans vary among Section Offices and are oftenhaphazard and inconsistent. The current process for developing as-builts is also very timeconsuming, and Section Offices lack the resources necessary to complete these tasks.With KYTC engineers and technicians having access to many technologies (e.g., GPS, Lidar) notavailable when the current as-built process was established, it is now possible to easily developinformative, highly accurate, and consistently formatted as-builts. To develop recommendationsfor improving KYTC’s as-built process, researchers at the Kentucky Transportation Center(KTC) reviewed and then synthesized practices used at other state transportation agencies forpreparing as-built plans. Researchers also spoke with as-built developers and end users withinthe Cabinet to better understand the current as-built process and identify what those agencystakeholders believe are the most important steps that can be taken to improve the situation.Based on stakeholder input, researchers developed recommendations for a revised as-builtprocess that were then presented at a workshop bringing together end users and developers withdiverse subject-matter expertise. Leveraging feedback from this workshop, researchers finalizedthe proposed as-built process, which is summarized in the figure and table contained on the nexttwo pages of this summary. The goal of the new as-built process is to bring about much-neededchanges and to achieve standardization in how as-builts are developed throughout the Cabinet.Once formalized, KYTC will need to explore training options to facilitate implementation.KTC Research Report Redefining Construction As-Built Plans to Meet KYTC Needs1

KTC Research Report Redefining Construction As-Built Plans to Meet KYTC Needs2

StepResponsible Party1District PD&P2Section ector/SectionEngineer7Section Engineer/DistrictPD&PCurrent ResponsibilitiesProject Assigned to Section Engineer'sOfficeProject assigned to Lead InspectorAs-built plans are checked forcompletion copied with a District setstored in perpetuity with the originalssubmitted to CO Division ofConstruction.CO Division ofConstructionFuture ImprovementsN/AN/AWithin the planset produce a summaryProject Work Types summarizedsheet (or note for proposal-only) listingaccorind to "pay book." Automated from"Work Items Requiring As-BuiltSiteManagerInformation"Upgrade to SiteManager highlight PayDetermine As-Built informationItems linked to needed As-builtrequired based on summary of workInformation. Pay estimate warning totypesthe SE when running an estimate toensure information is collected.Refer to As-Built information matrix forinformation needed, level of detail, and Refined through use and evaluationformatRecord As-Built information is recordedRecord As-Built Information is collectedwithin a planset during the project andas specific work types are completed;in closing out the project. As-built plansnot at conclusion of the project.are submitted to the DO.As-built plans received are scanned andsaved in Project Wise as PDF orelectronically submitted as DGNs. Asbuilt plans are sent to CO Division ofHighway Design.As-built plans are coverted to PDFs,logged into the electronic archived plans9CO Division of HighwayGIS application, microfilmed and sent to(present)Designthe State Archives for permanentretention.8(present)Action ItemsProposed ResponsibiltiesProject Assigned to Section Engineer'sOfficeProject assigned to Lead InspectorUse of technology aligned to As-builtInformation required.There is substantial confusion regardingthe details for checking, scanning,Recorded As-Built Information isstorage, and records retention for asforwarded to the proper contacts or builts. Currently, the "keeper" of the asuploaded to the appropriate location in builts is the Division of Highway Design.ProjectWise. CO is notified of thereThese processes should be refined andstorage in ProjectWise.clearly defined for clarity.Recommendations are provided withinthis report.As-built plans checked for access inRevisions are needed to the RecordsProject Wise as PDF or electronically asRetention Schedule policy. The processDGNs. Division of Highway Design isto store and archive as-built inforationnotified of their storage in ProjectWise.should be streamlined and standardizedto facilitate an understandind of theAs-built plans are coverted to PDFs andinformation desired and an appropriatelogged into the electronic archived plansstorage location for ease of futureGIS application. (Requires a revision toaccess.the Records Retention Schedule policy)CO Point of Contact (TBD,8Recommended: Division(future)of Maintenance)N/AN/ACO Point of Contact (TBD,9Recommended: Division(future)of Maintenance)N/AN/AKTC Research Report Redefining Construction As-Built Plans to Meet KYTC NeedsAs-Built Information verified to be inProjectWise and uploaded the electronicarchived plans GIS application. This isfor permanent retention within bothsystems.As-Built Information is updated as workis performed. Maintenance, Widening,Rehabilitation, etc. (Requires carefulcommunication & coordination withDistricts and Divisions)3

1. Introduction and BackgroundThe United States is facing an infrastructure crisis due to the deterioration and failure ofits existing transportation infrastructure. The 2017 American Society of Civil Engineers (ASCE)Report Card gave America's overall infrastructure a score of a D , with road and bridgesreceiving grades of D and C , respectively (American Society of Civil Engineers 2017). Asengineers begin to rebuild existing infrastructure, as-built plans can provide important insightsinto the configuration of infrastructure systems.Historically, as-built plans have been used in the construction industry to capture andrecord construction changes and additions not represented in the original plan drawings. Whilethe Federal Highway Administration (FHWA) and ASCE have no published definition of asbuilt plans, the Kentucky Transportation Cabinet (KYTC) defines as-builts as "the final plansreflecting all changes to the original plans" (Commonwealth of Kentucky Transportation Cabinet2012). The accuracy and completeness of these plans are essential for the operations,maintenance, repairs, and rehabilitation of transportation infrastructure. As-builts also provide abaseline for new design projects by furnishing information on the physical infrastructure andother facilities such as underground and overhead utilities. While the importance of as-built plansis widely recognized, current as practices for developing as-builts are outdated and inefficient.According to a Virtual Design and Construction Engineer and Affiliate Member of ASCE,"Significant losses have been noted because of the difficulty in obtaining information aboutexisting assets, such that over US 5.4 billion is wasted per year on operations and maintenanceengineers verifying the accuracy of existing information and transferring information related toexisting U.S. capital facilities" (Randall 2011).Over the last decade, the construction and transportation industries have adoptedadvanced data collection methods using technologies such as Lidar, 3D information modeling,and ground penetration radar (GPR). These technologies have changed the format, accuracy, andlevel of detail required for transportation projects, enabling designers to include more accurateinformation in construction plans. However, the integration of these technologies into thedevelopment of as-builts has not been as quick and coordinated, making some informationincluded in traditional as-builts inferior to the information collected with greater accuracy duringdesign stages. While electronic and 3D technologies are becoming the norm for engineeringpractitioners, some entities still choose to draw as-built information by hand onto originalconstruction plans.At KYTC, the Section Engineer's Office is responsible for preparing as-built plans. Thisprocess is initiated after project completion. According to the 2009 edition of the KYTCConstruction Guidance Manual, as-built plans are sent to the Division of Highway DesignMicrofilm section (which no longer exists) for review and are then transferred to the Departmentof Library and Archives for microfilming and permanent storage. Original as-built hard copyplans are then stored pursuant to their record and retention schedule (Commonwealth ofKentucky Transportation Cabinet 2009). While this process is clearly defined in the ConstructionGuidance Manual, the emphasis on preparing accurate as-built plans on time has graduallywaned, and the process has evolved beyond what is stipulated in procedure and guidance.Available time, current resources, and new technologies have made the completion of as-builtschallenging and different from how they were assembled in past decades. The current as-builtprocess is time consuming, and section engineers lack the resources required to create accurateand complete as-builts in a reasonable amount of time. Also, new technology has changed theKTC Research Report Redefining Construction As-Built Plans to Meet KYTC Needs4

format, accuracy, and level of detail considered for as-builts. As such, KYTC’s current practicesfor developing as-builts need to be revised to ensure they are developed on time and provide theinformation needed by the KYTC end-users of as-built information.A Kentucky Transportation Center (KTC) research team was assembled to address threetasks related to as-built plan development at the Cabinet. First, our team was to synthesizecurrent practices at KYTC. To produce this synthesis, we conducted structured interviews withas-built end users and as-built developers. Structured interviews with as-built end users focusedon what information they require of as-built plans, their preferred format for as-builts, and whereas-builts should be stored. A structured interview with as-built developers focused on the currentprocesses section engineers use to develop as-builts and obstacles they encounter while preparingthese documents. Next, we examined practices at other state transportation agencies (STAs).Finally, we prepared recommendations to inform future procedures and practices related to asbuilt plans and information at KYTC.This report examines current as-built practices at STAs and the private industry through aliterature review and an in-depth study of KYTC. This document contributes to the existing bodyof knowledge by 1) studying current practices for developing as-built plans in the transportationindustry, 2) identifying information as-built end users need to effectively manage roadtransportation networks, and 3) discussing the methods as-built developers can use to gather suchinformation. Combining the information gathered on current practices and requested information,the report advances suggestions on data capture methods to procure such information whileattempting to understand and maximize the resources available to as-built developers.1.1 Project Scope and ObjectivesThe project scope was limited to an analysis of information gathered from published literatureand structured interviews, with a focus on the needs and improvement of the as-built informationcollection and storage process at KYTC. The report: Synthesizes current practices at the Cabinet for preparing, distributing, and storing as-builtplans;Summarizes the efforts and requirements of other STAs, to articulate an industry standard forhow as-built plans are currently developed and used;Develop recommendations for developing and distributing as-built information at KYTC inthe future; andBased on collaborations with Project Development and Project Delivery subject-matterexperts, presents a design a process for collecting, developing, and distributing the newlydefined as-built information.The report highlights current practice so that efforts can be made to fill research gaps andestablish a path to improvement. Some issues facing as-built development at KYTC include: ITchallenges, a lack of technical staff, a lack of management support, uncertainty on where tobegin, and insufficient technological resources.1.2 Research MethodologyPrimary data came from structured interviews with as-built developers and end-users at KYTC.During interviews, researchers asked respondents about as-built development, preservation, andusage for various delivery methods. The literature review focused on as-built development,KTC Research Report Redefining Construction As-Built Plans to Meet KYTC Needs5

preservation, and use. Findings from the literature review informed the development of interviewquestions. Much of this review concentrates on publicly available manuals and guidance thatoutline as-built practices at STAs. But it also includes a review of as-built practices usedthroughout private industry. Following completion of the literature review and interviews,researchers organized a collaborative workshop with developers and end user subject matterexperts to review and revise recommendations the team had devised.1.3 Report StructureChapter 2 summarizes the literature review. Information presented in the literature review camefrom an examination of approaches and practices related to as-builts used adopted by STAs andprivate industry stakeholders. Chapter 3 discusses our interviews with KYTC as-built end users,while Chapter 4 turns our discussions with KYTC as-built developers. We developed interimrecommendations based on analysis of these interviews; they are presented in Chapter 5. Theinterim recommendations were presented, discussed, and revised with an as-built task force. Theformation of the task force and its participation in shaping the ultimate conclusions of thisproject are discussed in Chapter 6. Chapter 7 presents recommended as-built procedures,enhancements, and potential policy actions for KYTC to consider. These items are classified intotwo categories: short- and long-term strategies. Chapter 8 highlights conclusions from theresearch effort and suggests future research topics. The remainder of the report (appendices)contain supplemental documentation supporting the methodology and research findings.KTC Research Report Redefining Construction As-Built Plans to Meet KYTC Needs6

2. Literature ReviewThe literature review focuses on methods used by STAs and other engineering and constructionfirms to conduct as-built operations. Focal points of the review include: entities responsible foras-built development, methods used to capture and record as-built information, platforms used toestablish as-built plans, information recorded on as-built plans, accuracy and usefulness of asbuilt plans, format and location of as-built plans storage, and the use of as-built plans followingapproval.2.1 As-Built Practices in State Transportation AgenciesWe reviewed the current practices all 50 STAs to create a snapshot of how agencies deal with asbuilts. Forty-two STAs document as-built related practices and requirements in manuals orspecifications. This synthesis contains information on as-builts from 17 STA specifications, 28construction manuals, 7 design manuals, and 8 other manuals and guides found on agencywebsites. The data summarized below are based on publicly available guidance. In some cases,current agency practices may differ from what has been captured here. Table 2.1 summarizesdocumented as-built practices for each STA. Appendix A links to the publicly available STAmaterials we relied on in assembling this synthesis.KTC Research Report Redefining Construction As-Built Plans to Meet KYTC Needs7

Table 1 State Transportation Agencies' As-Built PracticesSTA EntityAs-Built DevelopmentFormat of StoredResponsible forProcessAs-BuiltsAs-BuiltDevelopmentAK Project Engineer1 Updated by hand and either Hard copy printscopied to mylar or used toredraft original drawingsAZConstructionThree methods: (1) updated PDFAdministratorby hand and scanned toand As-BuiltPDF, (2) updatedDesigner2electronically, or (3)updated by hand andtranscribed electronicallyusing Microstation orAdobeCA ResidentFull size drawings updated TIFF file andEngineer and the by hand or by a field CAD microfilmDistrict Designsystem then transferred toUnit or aoriginal CAD files byconsultant2Design Unit or consultant.1C

176 Raymond Building Lexington KY 40506 859.257.6898 www.ktc.uky.edu KENTUCKY Kentucky Kentucky Transportation Center College of Engineering, University of Kentucky Lexington, Kentucky in cooperation with Kentucky Transportation Cabinet Commonwealth of Kentucky The Kentucky Transportation Center is committed to a policy of providing .Author: Victoria Lasley, Steven Waddle, Tim Taylor, Roy E. Sturgill

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