Uses of Mobile Information Technology Devices in the Field for Design, Construction, and Asset Management (2016)

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

CONTENTS 1 SUMMARY 5 CHAPTER ONE INTRODUCTION Background, 5 Literature Reviewed and Study Significance, 6 Synthesis Objective, 6 Key Definitions, 7 Study Approach, 7 Survey Demographics, 8 10 CHAPTER TWO MOBILE INFORMATION TECHNOLOGY DEVICES AND APPLICATIONS Selection and Types of Mobile Devices, 10 Device Availability and Use, 11 Application Design and Development, 11 Types and Uses Among Divisions, 12 14 CHAPTER THREE AGENCY POLICIES FOR MOBILE INFORMATION TECHNOLOGY USE Mobile Information Technology Device Implementation and Perceptions, 14 Deployment and Training Strategies, 14 16 CHAPTER FOUR PERFORMANCE EVALUATION AND OPTIMIZATION Perceptions and Evaluation of Performance, 16 Future of Mobile Information Technology , 16 18 CHAPTER FIVE MOBILE INFORMATION TECHNOLOGY USE CASE STUDIES Introduction, 18 Overview, 18 Details, 18 26 CHAPTER SIX MOBILE INFORMATION TECHNOLOGY USE IN DESIGN, CONSTRUCTION, AND ASSET MANAGEMENT Introduction, 26 Barriers and Opportunities, 26 29 CHAPTER SEVEN CONCLUSIONS Introduction, 29 Conclusions, 29 Advancing Technologies and Future Research, 30 32 REFERENCES 33 APPENDIX A SURVEY QUESTIONNAIRE 42 APPENDIX B SURVEY RESULTS 62 APPENDIX C IT SURVEY RESULTS 82 APPENDIX D END USER SURVEY RESULTS 101 APPENDIX E CASE STUDY QUESTIONS

Note: Many of the photographs, figures, and tables in this report have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.

SUMMARY USE OF MOBILE INFORMATION TECHNOLOGY DEVICES IN THE FIELD FOR DESIGN, CONSTRUCTION, AND ASSET MANAGEMENT In this study, a survey synthesizes the state-of-the-practice and state-of-the-art applications of state transportation agencies (STAs) related to their use of mobile information technology (IT) devices in the field for the areas of design, construction, and asset management. Mobile IT devices are defined as laptop computers, mini-laptop computers, handheld multifunctional data collectors, tablets, and smartphones. They play a critical role in the e-construction, civil integrated management (CIM), and Every Day Counts (EDC) initiatives to bring the transpor- tation industry into more digital platforms. Surveys were conducted to gather information from select end users and IT professionals at STAs. One hundred survey responses were received from various STA divisions in 42 states. The respondent mix can be seen in Figure 1. IT 57% Design 13% Other 11% Construction 11% Maintenance 8% What division do you work for within your agency? FIGURE 1 Summary of respondent mix within agencies. The responses were used to classify the STAs in terms of their level of technology adop- tion. The majority of STAs that responded use mobile IT devices; however, most believe they are low-level adopters (Figures 2 and 3). STAs of varying levels were identified for a more thorough evaluation, and follow-up case studies were conducted to enrich the survey responses and gather details regarding mobile IT use. Yes 84% No 13% Unsure 3% Does your agency use mobile IT devices in the eld for design, construction, and asset management? FIGURE 2 Summary of agency mobile IT use in the field.

2 High-level implementer 10% Medium- level implementer 38% Low-level implementer 52% To what degree has your agency adopted/implemented mobile IT? FIGURE 3 Summary of agency adoption level. The objectives of this synthesis study are to identify— • Processes for identifying, selecting, and evaluating mobile IT uses • Potential mobile IT field uses in design, construction, and asset management • Procedures for application development, integration, and optimization • Potential benefits of adopting mobile IT in design, construction, and asset management • Challenges and issues associated with mobile IT use in design, construction, and asset management • Strategies for successful implementation of mobile IT use in design, construction, and asset management • Strategies for managing the data collected by mobile IT devices • Advances and emerging technologies to consider for mobile IT use in design, construc- tion, and asset management. The following are highlights of the findings of this synthesis: • Processes for identifying, selecting, and evaluating mobile IT uses – STAs vary in their flexibility to procure mobile IT devices, from an annual purchas- ing contract to being able to open-purchase devices. Agency IT groups vary in their involvement, from being in complete control of the solution procurement to offering various levels of support or even no support at all for the solution. The approach identified as optimal is for the end user to work collaboratively with the IT business unit to select a device and solution that will meet the needs of the end user; adapt it to the security, connectivity, and compatibility of the agency’s systems; and ensure that there is a favorable cost-to-benefit ratio. • Potential mobile IT field uses in design, construction, and asset management – Communication, photo and video capturing, and information referencing all save time by reducing the need for travel. Other basic functions of many of the mobile IT devices are beneficial as well. More details on specific uses are highlighted in chapter five. • Procedures for application development, integration, and optimization – STAs use three basic types of applications: those customized for the agency, whether developed in-house or by a consultant; out-of-the-box solutions in which the agency has adapted its process to the application; and out-of-the-box solutions modified for the agency’s process. The findings of the case studies suggest that the technol- ogy industry has not focused on the transportation industry’s needs in application development. • Potential benefits of adopting mobile IT in design, construction, and asset management – By far the most frequently identified benefit of mobile IT devices was time savings. The use of these devices reduces travel time to access resources, limits construction delays while seeking direction or approval of changes, and (assuming application and device connectivity) enables immediate data entry.

3 – Another identified benefit is the quality of data captured. GPS locations are more accurate than using landmarks or some other means in lieu of surveying, and entering information once instead of transcribing notes maintains information quality. • Challenges and issues associated with mobile IT use in design, construction, and asset management – The most significant reported challenge to mobile IT use was service availability. Each state interviewed commented on areas of low or unavailable cellular cover- age. Some have been able to compensate by using devices or applications that operate when they are disconnected and synchronize with systems once service is restored. – Another challenge has been personnel resistance to using mobile IT devices. Training focused on the devices, their uses, and the associated benefits may help alleviate these issues. – Table 1 lists the greatest challenges from both the IT and end user perspectives. IT professionals are concerned about maintaining and supporting the devices and their applications. Users are more concerned about cost-effectiveness, connectiv- ity, and poor/ineffective applications. TABLE 1 RANKING OF MOBILE IT CHALLENGES Challenges IT Overall Rank End User Overall Rank Connectivity issues (loss of cell signal) 1 2 Device maintenance and user support 2 3 Application maintenance and support 3 6 Cost-effectiveness 4 1 Poor/ineffective applications 5 4 Interoperability issues (software incompatibility) 6 7 Lack of security of collected data 7 14 Poor durability/lack of ruggedness 8 8 Electronic signatures/approval 9 13 Quality of collected data 10 11 End user resistance 11 10 Training requirements 12 9 Battery life 13 12 Deploying devices to employees 14 5 Other 15 15 • Strategies for successful implementation of mobile IT use in design, construction, and asset management – A key strategy for the successful implementation of mobile IT devices in design, construction, or asset management involves close coordination between the end user and the IT provider or solution manager. The case study findings suggest that if these two subject matter experts collaborate, they can create a strong solution that produces tangible benefits and is easy to implement and use. – Trials and follow-up lead to successful implementation. Trials should be care- fully coordinated between IT and end users to identify pitfalls and determine resolutions. Follow-up efforts by IT are necessary after programmatic imple- mentation of a new solution.

4 – Once a solution is determined, training should specifically illustrate the ease of use and the benefits to the end user. The case studies suggest that use of the device must be illustrated in a manner that is understandable and relevant to all technology skill levels. Multiple levels of training may be necessary. • Strategies for managing the data collected by mobile IT devices – The most frequent strategy is to collect and share data with the other stakeholders on a project; however, sometimes the individual collector retains the data. • Advances and emerging technologies to consider for mobile IT use in design, construc- tion, and asset management. As mobile technologies advance, more tools will become available to end users. – The ability to capture and develop 3D models using photogrammetry or mobile light detection and ranging (LiDAR) is becoming more readily available. – Increasing accuracy in GPS functional devices improves location services for sur- veying grade capabilities. – Increasing cellular coverage and network speeds open doors to more applications and faster data sharing. Video conferencing from the field is already possible and could become standard. STAs use mobile IT devices in many ways, including to increase production and to create and access remote information. Mobile IT devices are emerging, improving, and offering a multitude of benefits at a relatively low cost. They have become an integral part of daily life but have yet to be incorporated into full use by transportation agencies. Research could investigate emerging technologies and provide guidance to STAs regarding best practices; uses; and strategies for selection, function, implementation, and integration into the trans- portation industry. Development of a formal methodology to identify the costs and benefits of mobile IT devices could stimulate widespread adoption. This area is dynamic and will continue to change as technologies such as unmanned aerial vehicles (UAVs) and mobile LiDAR advance.

5 not significantly improve project efficiency (6), many STAs that are experiencing staff reductions have compensated by deploying more advanced technologies, especially mobile IT devices, to ensure that the existing service capability will not change. These mobile IT applications can be found through- out the agencies. For example, using mobile IT applications in the con- struction area improves the infrastructure, applications, communications, and processes of the organizations (7). The devices can improve communication on jobsites by enabling people to easily share data and pictures. They can also keep project participants connected in the field and updated with the latest project information and workflow. In some of the case studies, data were updated in accounting systems so that the overall performance of the agency, as well as the progress of each project, could be viewed at any time. Mobile applications can be easily integrated with agency operation systems, such as payroll. Using smartphones, tablets, and other mobile devices, team members can view images and other information onsite and communicate with the office and with participants in other divisions. They can review documents and images, share updates with project team members, and manage tasks and issues related to the project. Mobile IT can also assist with the coordination of multiple projects in an agency. STAs benefit from the use of mobile IT devices and appli- cations such as tablets, software technologies, and applica- tion software, with their powerful functional capabilities and continuous innovations. These devices are providing agen- cies with efficient ways to communicate, obtain feedback, complete inspections, and digitally sign documents. They help the STAs move toward a paperless environment, man- age activities in multiple projects, and access a wide array of data for better decision making. Mobile IT helps convert downtime into productive time and allows individuals to access enterprise data that provide up-to-date information and business insights. Mobile IT can increase opportunities, information sharing, and efficiency on a wide variety of projects and can facilitate cooperation among different divisions in an STA. However, if it is not effectively implemented, its value will not be realized. Application of a new tech- nology requires the transportation agency to examine all CHAPTER ONE INTRODUCTION Mobile information technology (IT) devices offer an avenue for state transportation agencies (STAs) to increase effi- ciency, data richness, and communication. These devices offer a host of benefits over traditional methods of data cap- ture and reporting. Mobile IT devices are an integral part of everyday life, but the transportation industry has only scratched the surface of their potential benefits. This chapter offers an overview of the subject of using mobile IT devices in the field for design, construction, and asset management. Background information is provided, including definitions and terminology applicable to the field. BACKGROUND Increasingly, STAs seek to increase productivity in response to infrastructure demands while simultaneously facing staff- ing concerns. This situation presents some very significant challenges, and technology can help manage these issues. One rapidly advancing area of technology support is mobile IT devices, specifically their field applications. Highway administrators, engineers, designers, technicians, and con- tractors have access to an increasing variety of advanced and powerful data tools (1). These technologies can help STAs increase productivity to maintain or improve their current level of service. Cost savings can be realized by using the devices to share data throughout the agency and among partners. For instance, Michigan DOT estimated annual cost savings of $12 million just from reduced use of paper, postage, envelopes, and storage (2). Transportation projects require that a large amount of data be collected, processed, and shared among various people in different divisions; mobile IT is adept at serving these functions. The complicated nature of transportation projects requires physically dispersed participants—such as contractors, designers, workers, suppliers and customers—to cooperate and communicate for successful project delivery (3). How- ever, as Aziz et al. stated, “Collaboration needs of site-based staff and other mobile workers are not well addressed” (4). In this context, mobile technology could have a significant influence on improving the efficiency of collaborative proj- ect processes. Currently, IT is used to exchange drawings, pictures, schedules, documents, and other workflow-related information (5). Although some researchers have reported that rapid technological improvements in mobile devices did

6 potential costs (e.g., equipment purchase, accessories, training, connectivity, and maintenance) and benefits (1). The introduction of a new technology into any agency also carries a certain amount of risk; thus, it is important to identify potential challenges and obstacles in order to pass through the adoption phase smoothly. In a recent survey of STAs, only 10% had conducted a cost-benefit analysis of their technology use (8). Transportation agencies face certain typical challenges in deploying mobile IT devices and related applications. First, the new devices might not be introduced independently. They might come with corresponding systems, including a variety of mechanical and computer components, that neces- sitate technical expertise and special training to ensure the effective use of the devices. Texas DOT has managed this training through an extensive YouTube page that hosts vid- eos that show employees how to use new technology. Sec- ond, STAs typically benefit from the continuous innovation and updating of IT; however, technologies change fast and agencies must keep pace with upgrades to ensure that they maintain their current level of services. This might mean more investment and involvement. Ensuring the effective use of mobile IT can sometimes be a challenge; for example, unsupervised use of mobile devices at a construction site for data collection and interdivision communication can lead to unintended and unproductive outcomes. Device and data security also could be an issue. And finally, acceptance of and adaptability to new technology often varies among indi- viduals on the basis of age, education, and experience. Agen- cies can face resistance to change or adoption when they try to deploy a new technology (9). Mobile IT is a feasible alternative in communication, reporting, and logistics, but opinions differ regarding its use in practice. Mobile IT applications can fully reflect their value when they are used in daily operations, but they may not offer sufficient strategic solutions for the core business because their capabilities are not fully utilized. Until STAs and their employees are able to exploit a wide range of func- tions and applications, they will not benefit from the poten- tial value of these devices in projects and operations (10). LITERATURE REVIEWED AND STUDY SIGNIFICANCE Several recent studies suggest opportunities and potential applications of mobile IT devices for field use at STAs, and some attempt to summarize the applications under way at various STAs. This section summarizes the most relevant findings and their alignment with this synthesis, especially regarding field use of mobile IT in design, construction, and asset management, along with the practices of technology acquisition, integration with existing systems, and imple- mentation. Table 2 summarizes surveys similar to that con- ducted for this synthesis and reports their key findings. TABLE 2 SUMMARY OF PREVIOUS MOBILE IT SURVEYS Date Study Number of Responses Key Findings April 2011 PennDOT Construc- tion IT Survey (11) 17 • Few states using or considering mobile devices • Those using devices are using personal digital assistants December 2012 AASHTO 2012 Fall IT Survey (12) 27 • Variety of levels of mobile IT adoption and application development • Most respondents rely on commercially available solutions • Most allow personal devices to access agency data November 2013 WisDOT Usage of Mobile IT Devices for State DOT Field Operation Synthesis Report (13) 75 • Most use mobile devices for inspection activities in construction and asset management • Mobile devices are replacing digital cameras and recording devices but not ready to replace laptop computers • Cost, data security, and lack of mobile applications are the biggest deterrents In response to STA studies of the use of mobile IT devices, several national initiatives seek to push the industry forward into a more digital world. The FHWA developed an implemen- tation plan in January 2015 to promote innovation in the trans- portation industry through the third phase of the Every Day Counts initiative (EDC-3) (14). This phase focuses on e-con- struction, which seeks to reduce hard copy documentation in transportation construction projects. Through research and outreach activities, EDC-3 identifies, promotes, and publishes the benefits of e-construction activities (14). The lead states in this effort have undertaken major steps toward a paperless envi- ronment. Many of them claim to be over 90% paperless, using a variety of software, including SiteManager, Citrix, Blue Beam, ESRI, and ProjectWise (15). Mobile IT devices are a critical component of the move toward paperless field practices. It is clear that technology and applications are rapidly advancing, although some barriers are present in national adop- tion. This synthesis documents the move toward standardiza- tion of mobile IT practices for design, construction, and asset management uses. Additionally, the study highlights the most significant barriers to standardized adoption in an effort to push the state of the practice toward the state of the art. SYNTHESIS OBJECTIVE This synthesis study gathered state-of-the-practice infor- mation regarding the current and potential uses of hand-

7 held mobile IT devices by field staff at STAs in the areas of design, construction, and asset management. Collection of field-sourced data can and should be streamlined for ease of use, ease of transfer, ease of organization, and, ulti- mately, ease of analysis. In this project, mobile IT devices are defined as agency-issued laptop computers, mini-lap- top computers, handheld multifunctional data collectors, tablets, and smartphones. Historically (and in many cases currently), field data have been collected as written records and photographs. Although these methods are efficient enough for collection, the transfer and use of the data incur inefficiencies and degradation of data quality, and lack the rich data collection abilities of current technologies. Many STAs have been investing in technology trials to stream- line these procedures, with both successes and failures. The purpose of this synthesis is to summarize current practices, uses, and selection and adoption techniques so that a broader agency forum can benefit from a previously blazed trail. Specifically, the synthesis will collect the fol- lowing information: 1. Current transportation agency uses of mobile IT in the field for design, construction, and asset management 2. Cross-functional (i.e., design, construction, and asset management) use of mobile IT devices 3. Array of devices used and their associated platforms, interfaces, connectivity, compatibility, etc. 4. Array of application types used and their associated protocols, source coding, deployment, and development 5. Sources of applications, development, and optimization 6. Cross-sector use of applications; that is, adapting applications and technologies from other industries 7. STA collaboration on application development or mobile IT use 8. Existing standards or specifications for application development within the transportation sector 9. Adoption and implementation barriers, challenges, and strategies for success 10. Direct efficiencies incurred through mobile IT use 11. Costs and benefits of STA use of mobile IT devices 12. Selection procedures and strategies for STA selection, evaluation, and adoption of mobile IT devices 13. Formal division policies on the use of mobile IT devices for STAs. KEY DEFINITIONS This section defines the terminology used throughout the report. The goal is to explain the scope of the technologies considered as well as the scope of the applications and uses of the devices. These definitions are presented in two cat- egories: those dealing with mobile IT technology and poten- tial use areas within the STA. In this project, mobile IT devices are defined as laptop computers, mini-laptop computers, handheld multifunc- tional data collectors, tablets, and smartphones. These are typically agency-issued devices. Mobile applications are computer programs designed to run on smartphones, tab- lets, laptops, and other mobile devices to accomplish a sub- set of functions or data capture. It is important to understand STA field functions and needs in the areas of design, construction, and asset management. The following list includes a sampling of those functions and needs: • Design – Locating physical and design features during field visits – Referencing 3D models, plans, specifications, and design guidance materials in the field – Photo and video capturing during site visits – Timely communication and decision making. • Construction – Locating physical and design features during con- struction to resolve questions or create as-built plans – Referencing 3D models, plans, specifications, and construction guidance materials in the field – Recording work reports and quantities, identifying change orders and pay items – Conducting inspections, quality assurance, and oversight – Timely communication and decision making. • Asset Management – Locating physical and transportation features dur- ing inventory – Recording condition report data for pavement, sign, or structure inventories – Timely communication and decision making. STUDY APPROACH An extensive literature review provides background mate- rial for the current state of research on mobile IT devices. This process assisted in the development of a survey to cap- ture the state of practice within STAs. A survey was designed under the guidance of the topic panel to gather input from professionals in design, construction, asset management, and information technology. Electronic survey

8 software was provided that enabled widespread dissemination. Once the survey had been created, an e-mail request with a link to the survey was sent to the AASHTO Standing Committee on Finance and Administration Subcommittee on Information Systems. This subcommittee works mainly in the IT area, but the e-mail requested that members forward the survey to oth- ers in the areas of design, construction, and asset management. The majority of respondents were from the IT sectors. This information can be seen in Appendix A. Case studies were also performed to gather additional insights into the survey data. Because mobile IT devices are a relatively new technology for STAs, input was sought from various levels of implementation. Categorizing states into Everett Rogers’ groups from his Diffusion of Innovations book, allowed a holistic view of types of devices and applications, uses, and performance evaluations (16). However, Rogers’ categories were intended for individuals while this survey cat- egorizes STAs, which are institutions. For the purposes of this report, the names of the categories have been modified to better fit the landscape of STAs. These categories and their respective market shares are innovators (2.5%), believers (13.5%), lead- ing majority (34%), following majority (34%), and judicious (16%). People tend to resist change and new technology, so the innovators and leading edge categories include relatively few STAs. Believers consider themselves to be tech-savvy, but they wait until the initial bugs are eliminated. A large segment of the population jumps on board as the leading majority and then the following majority. Finally, the judicious tend to be more calculating and deliberate regarding their technology decisions. See Figure 4 for a graphical depiction of these groups. 2.5% 13.5% 34.0% 34.0% 16.0% 0.0% 5.0% 10.0% 15.0% 20.0% 25.0% 30.0% 35.0% 40.0% Innovators Believers Leading Majority Following Majority Judicious STAs STA Mobile IT Adoption FIGURE 4 Categories of STA technology adoption [adapted from Diffusion of Innovations (16)]. An STA can diversify its efforts while relying on other STAs to take the lead in certain areas. For example, an STA might decide to have a basic program for mobile IT devices while investing significantly in light detection and ranging (LiDAR), automated machine guidance (AMG), or another aspect of technology. Thus, this STA might lag in the use of mobile IT devices but lead in another area. To categorize states into one of the groups, two main survey responses were evaluated. Respondents were asked to list the types of mobile devices used in their agencies and what they were being used for. Numerical values were assigned to devices and uses that could be considered a high- level implementation, a medium-level implementation, and a low-level implementation, as seen in Tables 3 and 4. A score of 3 was given for high-level implementation, 2 for medium- level implementation, and 1 for low-level implementation. The scores are averaged and plotted in Figure 5. TABLE 3 SCORING LEVELS FOR SURVEY RESULTS OF MOBILE IT DEVICES Score Mobile Devices 1 (Low) Laptops, mini-laptops, smartphones 2 (Medium) Tablets, digital cameras 3 (High) Handheld multifunctional data collectors, GPS cameras, RFID readers, and laser rangefinders TABLE 4 SCORING LEVELS FOR SURVEY RESULTS OF MOBILE IT USAGE Score Mobile IT Uses 1 (Low) Access standards and manuals, e-mail, phone calls, text messages, etc. 2 (Medium) View/edit plans, take photos, view 3D models, and record entries 3 (High) Take/view geotag photos and videos, RFID scanning, GPS/GNSS coordinates, GIS viewing, and collecting spatial geometry 0 0.5 1 1.5 2 2.5 3 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 State Average Innovation Score - Contacted - Case study Ju di ci ou s 16 % Fo llo w in g m aj or ity 23 % Le ad in g m aj or ity 26 % Be lie ve rs 26 % In no va to rs 9% St at e A ve ra ge In no va tio n Sc or e State Number FIGURE 5 State average innovation score. Eight states were contacted for assistance in the case studies; six agreed to participate. One state from each of the categories participated. Details of the case studies are out- lined in chapter five. SURVEY DEMOGRAPHICS A nationwide survey was developed to capture critical infor- mation regarding the use of mobile IT in design, construc- tion, and asset management. The survey was sent out to members of the AASHTO Standing Committee on Finance

9 and Administration Subcommittee on Information Systems. Recipients of the survey request were asked to forward the link to professionals in the design, construction, and asset management divisions of their STAs to capture their input. Figure 6 presents a map of the 42 states in which at least one person provided a survey response. - One response - Multiple responses FIGURE 6 Map of states where at least one individual provided a survey response (shaded). A multidivisional approach was taken to understand the gamut of mobile IT use in STAs; professionals in design, construction, IT, and maintenance were solicited for their participation in the survey. Although the majority of respon- dents were in IT, 43% were end users (see Figure 7). Certain questions in the survey allowed respondents to select mul- tiple items; thus, many of the bar charts in this report will aggregate to an amount greater than 100%. IT 57% Design 13% Other 11% Construction 11% Maintenance 8% What division do you work for within your agency? FIGURE 7 Survey respondents by DOT division. The Transportation Research Board; the National Acad- emies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear only because they are con- sidered to be essential to the subject.