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

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1 S u m m a r y State departments of transportation (DOTs) deliver projects in a complex environment that involves the participation of many stakeholders with different objectives. The collection and utilization of digital information for project delivery has increased with advancements in computational capabilities, design technology, and field positioning systems. Civil integrated management (CIM) is a term that encompasses all such tools and practices that facilitate the process of digital project delivery and asset management. CIM, as a life-cycle process, caters to the data requirements of various project stakeholders such as owners, designers, constructors, and operators, among others. The holistic nature of CIM’s objectives has attributed to its popularity over recent years, capturing the attention of both practitioners and researchers alike. The level of analysis required for successful implementation of the numerous CIM technologies warrants focused and coherent implementation efforts. Over the past several years, agencies have devised guide- lines using one or more of the CIM technologies to support project delivery. Recently, a grow- ing need emerged to assess the current state of practice of CIM in its entirety and document the systemic implementation efforts along with resulting benefits and challenges experienced by various agencies and other relevant stakeholders. The NCHRP Project 10-96 research team developed the CIM Guidebook to address these benefits and challenges. The Guidebook includes five chapters and two appendices. Appendix A includes a catalog of references to other useful resources categorized by specific CIM practices. Appendix B contains the Execu- tive Briefing for the Guidebook in PowerPoint format. This appendix is not published herein, but a link to the Executive Briefing is available on the NCHRP Project 10-96 web page at www. trb.org. While this Guidebook is a stand-alone document, its companion, NCHRP Report 831: Civil Integrated Management (CIM) for Departments of Transportation, Volume 2: Research Report, details the survey and case study data supporting the findings and case study analyses underlying the research findings. Drawn from a comprehensive survey of agencies and selected case studies of CIM projects, Chapter 2 briefly explains the key constituents of CIM, which include both CIM tools and functions. CIM tools include various technologies while CIM functions comprise the tasks that the tools impact. Chapter 3 illustrates the role of CIM technologies in contributing to the transition to digital project workflow. Chapter 4 presents a three-stage hierarchical framework for agencies to evaluate and implement CIM. The three stages include planning from current capabilities, assessment of future capabilities, and implementation considerations. Figure S.1 presents the basic relationship between the three stages of the implementation framework. 1. In the first stage, agencies evaluate the functional needs of their divisions (such as Design, Construction, and Maintenance). They can use the maturity model presented in Section 3.2 to facilitate the evaluation process. The model provides a basic framework and guidelines for all CIM-related divisions at an agency. The agencies can also further develop detailed Civil Integrated Management (CIM) for Departments of Transportation Volume 1: Guidebook

2 Civil Integrated management (CIm) for Departments of Transportation guidelines from this model suited to their needs. After evaluating their functional needs, the agencies should consider developing a formal CIM Implementation Plan (CIP), a strategic document that integrates the divisional needs and the business constraints. The (mini- mum) contents of a CIP include vision, mission statements for CIM, and target short- and long-term goals for CIM implementation. This CIP should act as an information resource from which the agencies hash out future requirements. 2. Building on the CIP, the second stage involves identification of investment needs and anticipated benefits from the proposed implementation. Major costs for CIM implemen- tation include technology-related investments such as hardware, software, and training costs. Resources also include investments for creating and adopting standards, meeting staffing needs, and dealing with temporary workflow disruptions. The benefits are two-fold and include (1) direct benefits, such as performance improvements from the CIM func- tions that are transformed by one or more of the CIM tools and (2) indirect benefits, such as communication and collaboration among stakeholders and others. The benefit-cost analysis may highlight more than one CIM tool. The agencies can prioritize investments in tools that have greater potential for implementation across the agency. Table S.1 sum- marizes the methodologies and insightful results that agencies (DOTs) obtained by con- ducting benefit-cost studies for some of the prominent CIM tools. At the end of this stage, the agencies should have the following documents to support implementation: standards and specifications, general information requirements, training manuals, and benefit-cost analysis results. 3. Finally, the third stage consists of implementation considerations that agencies can examine when implementing finalized tools. These considerations represent the research team’s assessment based on the literature review, surveys, and case studies conducted in this research project. The third stage addresses Project Delivery Strategies, Standards and Specifications, Training and Cultural Shift, Governance and Policy Issues, and Information Management. Chapter 4 also provides illustration and case examples to demonstrate the utility of the frame- work for agencies. A situation where a hypothetical agency is utilizing the proposed framework for CIM implementation connects all the illustration examples. The case examples are actual snippets of observations from literature, surveys, or case studies that support and validate the framework presented here. There is scant data on the benefits and costs of CIM implementa- tion, but Chapter 4 details a series of case studies where agencies have made these estimates. Finally, Chapter 5 includes implementation resources that contain key points from the case studies, literature review, and the other tasks of this research effort, while Appendix A presents a catalog of CIM resources. Assessment •Assessment of current functional capabilities (maturity model) Investment analysis •Evaluation of investment needs and identification of benefits (benefit-cost analysis) Implementation considerations •Recommendations and lessons learned to manage contractual, governance and other organizational issues Figure S.1. CIM implementation framework.

Civil Integrated management (CIm) for Departments of Transportation Volume 1: Guidebook 3 Agency Focal point for analysis Brief description MDOT e-document management systems (ProjectWise) MDOT performed agency-wide implementation of electronic document management systems and digital signatures. Reported monetary benefits through paper-less work process and efficiency improvements (approx. $185,000 savings in Latson road project ($32m)) (See: http://construction.transportation.org/Documents/Meetings/e- Construction-Farr-CT.pdf) WisDOT 3D design (Clash detection) (Parve 2012) WisDOT used 3-D models for clash detection processes on its SE Freeways Mitchell and Zoo Interchange projects. Reported considerable reduction in RFIs, change orders, and design issues (7% RFI reduction in $298 million Mitchell Interchange project ) (See: http://www.efl.fhwa.dot.gov/files/technology/3d- modeling/thursday_meeting/lance-parve.pdf) Caltrans and WSDOT Mobile LiDAR (Yen et al. 2014) Caltrans and WSDOT examined different strategies of deploying mobile LiDAR for agencies’ asset and inventory management programs. Purchasing and operating surveying grade mobile LiDAR emerged as least cost option ($6.1 million dollars less for 6 years life cycle) (See: http://ascelibrary.org/doi/abs/10.1061/(ASCE)IS.1943- 555X.0000192) TxDOT 3D design and ProjectWise (TxDOT 2014) TxDOT conducted a preliminary NPV analysis for agency-wide implementation of 3D design on its projects and ProjectWise to support the 3D workflow. Reported positive return on investments (NPV estimated to be $70-95 million dollars over 5 years.) (See: http://ftp.dot.state.tx.us/pub/txdot/commission/2014/0918/3a- presentation.pdf) ODOT Information Technology Benefit-Cost Evaluation Report (Hagar 2011) ODOT evaluated the benefits and costs of nine IT systems that included GIS infrastructure, environmental analysis tools, electronic document management systems, engineering tools, and work zone analysis tools, among others. Reported time savings (converted to labor-costs through hours saved), workflow and efficiency improvements in information management (B/C ratio estimated to be 2.1) (See: http://www.oregon.gov/odot/hwy/otia/docs/otiaiii_informationtechnology benefitcostevaluation_report.pdf) Table S.1. Summary of benefit-cost studies for CIM tools.