Use of Automated Machine Guidance within the Transportation Industry (2018)

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NCHRP Project 10-77 109 CHAPTER 10: AMG IMPLEMENTATION AND GUIDELINES SPECIFICATIONS As AMG technology evolves, improved implementation guidelines and specifications will be needed for use on state transportation projects. As discussed in previous chapters, there are several interrelated needs for advancing AMG and a wide spectrum of technologies involved with AMG application. The workflow processes can be complex and involve coordination among parties to be most effective. When implemented by transportation authorities, guidelines for the use of AMG technology will likely be incorporated in the following: • Statements and declarations of policy, • Surveying manuals, • Design manuals, • Computer design standards, • Construction manuals (to guide construction management personnel of the contracting authority, such as resident construction engineer staff members), • QA manuals, and • AMG specifications The exact titles and grouping of the above documents will vary from state to state; however, some document is required to perform each function implied by the above documents. Rather than have one document that addresses AMG only, contracting authorities will likely be more effective in implementing desirable changes by revising the above documents to encourage the use of AMG. In this way AMG will be integrated in the authority’s business model rather than tacked on as an optional accessory. The annotated bibliography (Appendix B) includes examples of some of the agency related documents and a few are available on-line via agency websites. In addition to the above documents, it will be necessary to provide guidelines that will assist transportation authorities as they strive to modify their procurement processes to accommodate AMG. When the design-bid-build contracting strategy is used, construction services are usually procured using a public letting where the lowest responsive and responsible bidder is selected. Under such conditions, guidelines need to be developed to facilitate the drafting of AMG specifications. As part of this research effort, a guide specification tool (described later) was developed to assist agencies and researchers. Professional services are procured separately from the construction services when the design-bid- build strategy is used. In federally funded projects, such procurement is governed by the Brooks Act (1972) which requires that selection of professional services is qualifications based. Many states have enacted Mini Brooks Laws; therefore, even though a project may be completely state funded, qualifications based procurement may still be required. Qualifications based procurement is often a multi- step process. First the transportation authority issues a request for proposals and interested firms respond with a summary of their qualifications and a preliminary conceptual description of an intended design or the service to be rendered. The cost is not discussed in these proposals. The transportation authority then ranks the proposals from highest to lowest and commences to negotiate with the highest ranked respondent to develop a detailed scope of services and budget. If these negotiations fail (most likely because the cost might be too high), the transportation authority engages the next most qualified firm in negotiations. Although theoretically this process can be repeated several times until negotiations are successful, in most cases the highest ranked firm is selected. For AMG, design services and possibly surveying services, QA services, construction management services are the likely professional services that are covered by the Brooks Act. Guidelines should be provided to help transportation authorities develop RFPs and negotiate scopes of work. Model RFPs and scopes of work may be desirable. Procurement of professional services will be eased by having the design manuals, surveying manuals, construction manuals, QA manual, CADD standards and

NCHRP Project 10-77 110 construction specifications listed earlier that can be referenced in the RFP and during negotiations. Design-build services are procured in many ways depending upon the governing jurisdiction and circumstances. Often, combinations of the attractiveness of the design approach, qualifications, cost and schedule are used as selection criteria. For example, FAR Par 36.3 (http://www.acquisition.gov /far/html/Subpart%2036_3.html) describes a two phase selection process. In Phase I the agency develops a scope of work for the solicitation and the offers respond with proposals. The proposals are rated regarding technical approach, technical qualifications, and other factor excluding cost. Based on the results of the review, a limited number of competitors are selected to provide more detailed Phase II proposals which include technical and cost proposals that are submitted separately. These proposals are rated according predetermined factors announced in the solicitation and contractor is selected. Guidelines that are helpful for the procurement of professional and construction services will be helpful for procuring design-build services that include AMG. Development of a robust data transfer protocol has been a challenge for AMG practitioners. LandXML schema was developed to enhance interoperability among hardware and software platforms; however, the results of the questionnaire survey of this project shows that it is used less than 10% of time, except for contract document creation. Since there are only two major 3D modeling software developers and three major positioning hardware suppliers, it is possible for each software supplier to develop utilities to export and import from the three major hardware suppliers and vice versa. In addition, another software developer has developed a suite of software that is claimed to be agnostic regarding any of the commonly used hardware and software platforms. This direct interoperability has reduced the need to develop a separate schema to promote interoperability and the results of the survey bears this out. Given this situation, researcher and industry need to continue to develop alternative methods and guidelines for enhancing data transfer. AMG SPECIFICATION ASSESSMENT As part of the research effort, specifications from several transportation authorities were collected. First, documents were requested from contacts at states known to be allowing the use of AMG systems. Then, each of the remaining states’ websites was searched for AMG specification documents. If no documents were found (generally the case), the Specification Engineer was contacted to determine whether that state DOT had to address contractors using AMG systems on projects. In a few instances, state DOTs either had or were drafting a specification, special provision, or waiver letter. All available documents were collected. All 50 states were contacted for example specifications. The specifications collected are provided in Appendix C. For states that did not have specifications, interviews were conducted to understand why and the level of interest in developing specifications. Responses indicated that in general, most states desired AMG specifications, but barriers with training, software tools, design guidelines, and perceived issues with liability via electronic data sharing, problems with electronic data delivery, reference datum issues, and needing to pilot test AMG were barriers identified as reasons for not having a specification. Based on the specifications that were studied (Table 10-1), the specifications were “reverse engineered” to infer the “guidelines” that must have been considered when the specifications were originally drafted. Our assessment indicates the following: • AMG will impact the earthwork, subgrade and base course, and paving sections of typical transportation authority specifications. • QC is often considered as a part of the construction services. • QC is often included as a subsection of a full specification sections, • Separate QC guidelines will likely need to be developed for each major AMG category such as earthwork and pavement. To compare the contents of the specifications, attributes (e.g., Payment) were identified and compared between the specifications. As shown in Table 10-1, many of the specifications contain attributes on topics of contractor responsibility, agency responsibility, and EED among others.

NCHRP Project 10-77 111 Table 10-1. Summary of AMG Specifications and Key Attributes Source Date Type Topic Attributes (see Notes) C R es p A O R es p E E D L ay ou t L ia bi lit y P ay m en t C ha ng es Q A /Q C W or k P la n L ic en si ng G P S R T S G C T ra in in g A s- B ui lt AASHTO 2007 Guidance EED ■ CalTrans Dist. 11 2007 Special Provision* MCG ■ ■ ■ ■ ■ ■ ■ CalTrans 2009 Guidance AMG ■ ■ ■ ■ ■ ■ 2013 Guidance AMG ■ ■ ■ CO DOT 2008 Standard Survey Control ■ ■ ■ ■ ■ ■ ■ ■ ■ DE DOT 2007 Guidance-Design MC ■ ■ 2009 Draft Standard M CG ■ ■ ■ ■ ■ ■ ■ IA DOT 2007 Develop-mental§ MCG ■ ■ ■ ■ ■ ■ ■ ■ ■ 2009 Develop-mental§ MCG ■ ■ ■ ■ ■ ■ ■ 2012 Develop-mental§ PCC Paving 3-D MC ■ ■ ■ ■ ■ ■ ■ IN DOT 2009 Standard Stakeless Excavation ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ MD DOT 2008 Standard MCG ■ ■ ■ ■ ■ ■ ■ ■ MN DOT 2001 Special Provision¥ DTM ■ ■ ■ M DOT 2010 Standard AMG ■ ■ ■ ■ ■ ■ ■ ■ MO DOT 2009 Standard DTM ■ ■ ■ MDT 2004 Liability Waiver Liability Waiver ■ NYS DOT 2005 Standard EED ■ 2006 Standard Survey Control ■ ■ ■

NCHRP Project 10-77 112 Source Date Type Topic Attributes (see Notes) C R es p A O R es p E E D L ay ou t L ia bi lit y P ay m en t C ha ng es Q A /Q C W or k P la n L ic en si ng G P S R T S G C T ra in in g A s- B ui lt NYS DOT 2009 Draft Standard AMG ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ NC DOT 2008 Special Provision (Design- Build) AMG ■ ■ ■ ■ 2009 Standard Survey Operations ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ WA DOT 2008 Special Provision AMG ■ ■ ■ ■ ■ ■ ■ ■ WV DOT 2010 Special Provision DTM ■ ■ ■ ■ WI DOT 2009 Special Provision Subgrade Staking/ AMG ■ ■ ■ ■ ■ ■ 2014 Standard Survey Operations ■ ■ ■ ■ ■ ■ ■ ■ ■ WY DOT 2015 Standard Survey Operations ■ ■ ■ ■ ■ Notes: *Non-Standard; §Developmental Specification; ¥For Planning/Consultants; MCG – Machine Control Grading; EED – Electronic Engineered Data; MC – Machine Control; DTM – Digital Terrain Model; C Resp – Contractor Responsibility; AO Resp – AgencyOwner Responsibility; Layout – Project Layout (Staking); Liability – Liability for Design Clause w/use of EED; Payment – Payment Clause; Changes – Changes Clause for EED; QA/QC – Quality Assurance/Quality Control; Work Plan – Contractor Work Plan Requirement; Licensing – Discusses Professional License Requirements; GPS – Addresses Global Positioning Systems; RTS – Addresses Robotic Total Station; GC Training – Requires GC (i.e., Owner Training); As-Built – Requires As-Built Submittals to Agency. AMG GUIDE SPECIFICATION TOOL A goal of this project was to develop a guide specification tool (Table 10-2) that could be used to aid agencies in the specification review and development process. Described in the following is the process that went into creating the guide specification tool and the instructions for using it. After reviewing all the collected specifications, it was observed that although the layout of each specification was different, related topics were addressed and similar language used. For comparing content between documents, like language was grouped together in a table (not included here). A second table (not included here) listed each specification’s heading outline with summary of key words. After a critical review of the phrase and heading tables, the following six heading were identified to best characterize the specification language from all the specification documents — general, liability, equipment, responsibilities, measurement, and payment. These headings were selected for inclusion in the guide specification tool. The specification development process described in the FHWA Report “Evaluation of Procedures for Quality Assurance Specifications”, (2004) was used to guide the process of compiling the content for each of the key headings. Next a compilation of important key phrases used in the existing AMG specifications was synthesized. A letter and number enumerate each line item. The letter corresponds to the first letter of the

NCHRP Project 10-77 113 section header (e.g. the general section is G.01, G.02, etc.). Responsibilities are subdivided into agency (AR) and contractor (CR). A single idea is represented by each line item. In some cases, the basic idea is viewed differently by states. To not omit certain perspectives, nested statements are used to provide optional content in lieu of the primary content or additional content that can be added to the primary content. Brackets with highlighted text, <<xxx >>, are occasionally used to provide an option word or short phrase rather than repeat variations of the primary phrases. Most of the table’s content has been synthesized for purpose of being used as a guide specification. At this time, a legal staff has not reviewed this content, however, several members of the expert contact group have provided feedback. To use the AMG guide specification tool, it would ideally be reviewed and discussed by agency design and contracting groups and provided to contractors for review and comments. The guide tool is formatted so that it can be printed, marked for items to include, marked to add additional items, and space for adding comments. Table 10-2. AMG Guide Specification Tool Item Section: General (G)  G.01 Roadway construction may be performed utilizing AMG system(s) in accordance with the standard specifications, special provisions, and contract documents.  G.02 AMG is defined as the utilization of positioning technologies such as GPS, robotic total stations, lasers, and sonic systems to automatically guide and adjust construction equipment according to the intended design requirements.  G.03 The contractor may use any type of AMG system(s) that result in compliance with the contract documents and applicable Standard Specifications.  G.04 DTM files will be created with the computer software applications MicroStation (CADD software) and GEOPAK (CE software). The data files will be provided in the native formats.  G.05 Electronic data is provided for the Contractor's convenience, and is not a part of the Contract.  G.06 The plans indicate areas of the project where roadway construction may be accomplished with AMG systems. All other areas shall be constructed with conventional survey and construction techniques unless the contractor chooses to build the required surface model to facilitate AMG grading for those areas at no additional cost to the contracting authority.  G.07 The plans indicate the areas of the project where the contracting authority is providing DTM of the roadway embankment construction.  G.08 GPS is not intended for the use in constructing final surface grades.  G.09 The engineer may require the contractor to revert to conventional subgrade staking methods for all or part of the work at any point during construction if, in the engineer's opinion, the GPS machine guidance is producing unacceptable results.  G.10 The contractor shall convert the electronic data provided by the contracting authority into the format required by their system.  G.11 Areas of the project with no DTM, the contractor may use conventional survey and construction methods unless the contractor chooses to develop the required DTM to facilitate AMG grading for those areas.  Option (none, A, or B) A. The contractor shall submit the DTM for review to the contracting authority prior to commencing grading operations.  B. The contractor shall submit the DTM for approval to the contracting authority prior to commencing grading operations.  G.13 The contracting authority will only provide the data outlined in this contract and no additional electronic data will be provided. 

NCHRP Project 10-77 114 Item Section: General (G)  G.12 Option (A or B) A. The cost to develop a DTM to facilitate the use of AMG grading systems shall be included as a bid item.  B. The cost to develop a DTM to facilitate the use of AMG grading systems shall not be included as a bid item.  G.__ Other:  Comments:  Item Section: Liability (L)  L.01 The contracting authority is responsible for safeguarding equipment provided by the contractor. The contracting authority will bear all cost to replace or repair damaged equipment provided by the contractor.  L.02 To use any furnished DTM data, the contractor shall release contracting authority and its employees from all liability for the accuracy of the data and its conformance to the contract.  L.03 The contracting authority does not guarantee that the electronic data accuracy or completeness, or that the data systems used by contracting authority will be directly compatible with the systems used by the contractor.  L.04 Information shown on the paper plans marked with the seal (official plans as advertised) shall govern.  Option (A or B) A. Information shown on the paper plans marked with the seal (official plans as advertised) shall govern.  B. Information shown on the paper plans shall govern over the provided electronic data.  L.05 The contractor shall assume the risk of error if the information is used for any purpose for which the information is not intended.  L.06 The information provided shall not be considered a representation of actual conditions to be encountered during construction. Furnishing this information does not relieve the contractor from the responsibility of making an investigation of conditions to be encountered including, but not limited to site visits, and basing the bid on information obtained from these investigations, and the professional interpretations and judgments of the contractor.  L.07 The Contractor understands that any manipulation of the electronic data provided by the Contracting Authority shall be taken at their own risk.  L.08 If the contractor chooses to develop their own DTMs, the contractor shall be fully responsible for all cost, liability, accuracy and delays.  L.09 The contracting authority is not responsible for the integrity of the information if it is converted to a different file format or modified in any way by the contractor.  L.10 Any assumptions made about the electronic data are at the contractor's risk.  L.11 The contracting authority is not responsible for any computer virus or damage the electronic data may cause to the computer systems. 

NCHRP Project 10-77 115 Item Section: Liability (L)  L.12 There will be no cost or credit to the state and no contract time extension for implementing the contractor-requested change order.  L.__ Other:  Comments:  Item Section: Equipment (E)  E.01 The contractor may use any type of automated machine control (AMG) systems that achieves compliance with the contract documents and applicable standard specifications.  Option (Y or N) A. The contractor may use any type of approved AMG systems that result in achieving the existing grading requirements.  E.02 All equipment required to accomplish AMG grading shall be provided by the contractor.  E.__ Other:  Comments:  Item Section: Agency Responsibilities (AR)  AR.01 The contracting authority will set the initial horizontal and vertical control network of points for the project as indicated in the contract documents.  AR.02 The contracting authority will provide the project specific control network, project alignment, and coordinate system information to the contractor.  Option (Y or N) Upon request from the contractor, the contracting authority will provide the control network and coordinate system information to the contractor.  AR.03 The contracting authority will provide computer-aided design and drafting files created during the design process to the contractor for review as part of the contract documents.  Option (Y or N) The contracting authority will develop and provide computer-aided design and drafting files created during the design process to the contractor for review as part of the contract documents.  AR.04 The contracting authority will provide  Option A the following electronic files: 1. Formats from Bentley’s MicroStation suite of road design software a. Inroads - Existing and proposed DTM b. MicroStation - Existing and proposed surface elements – triangles 2. ASCII Format - Alignment Data Files 

NCHRP Project 10-77 116 Item Section: Agency Responsibilities (AR)  Option B 1. A DTM of the existing and proposed design surface. 2. ASCII format - Machine Control Surface Model Files. 3. ASCII Format - Alignment Data Files  Option C the following electronic files: 1. CAD Files: a. GEOPAK TIN files representing the design surfaces. b. GEOPAK GPK file containing all horizontal and vertical alignment information. c. GEOPAK documentation file describing all the chains and profiles. d. MicroStation primary design file. e. MicroStation cross section files. f. MicroStation ROW data file. g. MicroStation photogrammetry and text files. 2. Machine Control Surface Model Files: a. ASCII format. b. LandXML format. c. Trimble TerraModel format. Note: TIN files and surface model files of the proposed finish grade include the topsoil placement where required in the plans. 3. Alignment Data Files: a. ASCII format. b. LandXML format. 4. Trimble TerraModel format.  Option D the following electronic files: 1. Project Control - MicroStation DGN file and ASCII file. 2. Existing Topographic Data - MicroStation DGN file(s) 3. Preliminary Surveyed Ground Surface - GeoPak TIN, if available 4. Horizontal and Vertical alignment information - GeoPak GPK file and/or MicroStation DGN file(s) 5. 2D Design line work (edge of pavement, shoulder, etc.) - MicroStation DGN file(s) 6. Cross sections - MicroStation DGN file(s), GeoPak format 7. Superelevation - MicroStation DGN file(s), GeoPak format 8. Form Grades - MicroStation DGN file(s) 9. Design Drainage - MicroStation DGN file(s)  AR.05 The contracting authority shall <<approve / certify>> changes to the DTM used by AMG prior to contractor using it for grading operations to ensure compliance of the approved “Release for Construction” sealed plans.  Option (Y or N) Submit the revised DTM to the contracting authority for review and approval 60 days prior to beginning grading operations. The submittal should include a narrative detailing change to the original DTM.  AR.06 In the event the contractor presents errors with the provided electronic data, the contracting authority will determine what revisions may be required. The contracting authority will revise the contract plans, if necessary, to address errors or discrepancies that the contractor identifies. The department will provide the best available information related to those contract plan revisions.  Option (Y or N) The contracting authority will not revise the contract paper plans or electronic data files to address errors or discrepancies that the contractor identifies. 

NCHRP Project 10-77 117 Item Section: Agency Responsibilities (AR)  AR.07 The contracting authority <<will / shall / may>> perform QA checks as necessary of the contractor's machine control grading results, surveying calculations, records, field procedures, and actual staking. If the contracting authority determines that the work is not being performed in accordance with the specifications, the contracting authority <<shall / may>> order the contractor to re-construct the work to the requirements of the contract documents at no additional cost to the contracting authority.  AR.08 The contracting authority <<, if necessary,>>will request the contractor to provide a <<GPS rover / GPS rover and Automatic Level>>, for use during the duration of the contract. At the end of the contract, the contracting authority will return all contractor provided equipment to the contractor.  AR.09 The contracting authority will not make revisions (or enhancements) to the electron design or DTM for the convenience of importing data into the AMG system.  AR.10 On projects where electronic design data is not available to bidders pre-bid, the contractor may request the data during construction. If the contractor requests electronic design data, check with the project engineer to find out if it is available. If the electronic design data is available and of the same level of quality required for the rest of the contract documents, then provide the data to the contractor. A change order is necessary when providing electronic design data to the contractor to define the terms and conditions for use of the data. If the data cannot be provided, the contractor still has the option to develop a DTM and DDM from information on the project plans.  AR.__ Other:  Comments:  Item Section: Contractor Responsibilities (CR)  CR.01 The contractor shall demonstrate the AMG equipment’s capability to meet the tolerance specifications; and their knowledge and ability to properly operate it on a test section, as specified by the contracting authority. If the equipment fails to meet the tolerance standards or the contractor, in the contracting authority’s opinion, fails to demonstrate proficiency to the equipment, the contractor shall construct the project using conventional survey and construction methods.  CR.02 The contractor shall <<provide –OR– provide 8 hours of>> formal training, if requested, on the use of the AMG and the contractor's systems to the contracting authority’s project personnel prior to the start of construction activities utilizing AMG. This training is for providing contracting authority project personnel with an understanding of the equipment, software, and electronic data being used by the contractor.  CR.03 The contractor <<, if requested,>>shall provide the contracting authority with a <<GPS rover / GPS rover and Automatic Level>>, for use during the duration of the contract. The contractor is responsible for ensuring the equipment is serviceable and up to date with the latest project data files. At the end of the contract, the contractor shall coordinate the return of the equipment provided to the contracting authority.  CR.04 Contractor shall validate all control points provided by the contracting authority. 

NCHRP Project 10-77 118 Item Section: Contractor Responsibilities (CR)  CR.05 The contractor shall establish secondary control points at locations along the length of the project and outside the project limits and/or where work is performed beyond the project limits as required by the AMG system utilized. The contractor shall comply with the requirements outlined in standard specifications and contract documents. A copy of all new control point information shall be provided to the contracting authority prior to construction activities. The contractor shall be responsible for all errors resulting from their efforts and shall correct deficiencies to the satisfaction of the contracting authority and at no additional cost to the contracting authority.  CR.06 The Contractor shall provide controls points and conventional grade stakes at critical points such as, but not limited to, PC’s, PT’s, super elevation points, and other critical points required for the construction of drainage and roadway structures.  CR.07 The site calibration shall be checked daily at control points not used in the calibration.  CR.08 Control points shall be staggered on either side of the highway to provide a good strength of figure.  CR.09 The contractor shall preserve all reference points and monuments that are established by the contracting authority outside the construction limits. If the contractor fails to preserve these items, they shall be re-established by the contractor to their original quality at no additional cost to the contracting authority.  CR.10 The contractor shall set grade stakes and hubs meeting the requirements outlined in the standard specifications and contract documents such that the contracting authority can check the accuracy of the construction.  CR.11 The Contractor shall submit a comprehensive written AMG work plan to the contracting authority for review at least 30 days prior to use. The submittal of the AMG work plan shall be an indication of the contractor's intention to utilize AMG instead of conventional methods on the project areas and elements stated in the work plan. The contracting authority shall review the AMG work plan to ensure that the requirements are addressed. The contractor shall assume total responsibility for the performance of the system utilized in the work plan. Any update or alteration of the AMG work plan during the work shall be approved and submitted to the contracting authority for determination of conformance with requirements. The AMG work plan shall describe how the AMG technology will be integrated into other technologies employed on the project. This shall include, but not limited to, the following: 1. A description of the manufacturer, model, and software version of the AMG equipment. 2. Information on the contractor's experience in the use of AMG systems to be used on the project, including formal training and field experience of project staff. 3. The primary contact, and up to one alternate, for AMG technology issues. 4. A definition of the project boundaries and scope of work to be accomplished with the AMG system. 5. A description of how the project proposed secondary control(s) is to be established. Include a list and map detailing control points enveloping the site. 6. A description of site calibration procedures including, but not limited to, equipment calibration, frequency of calibration, and information to be documented. The documentation shall contain a complete record of when and where the tests were performed and the status of each equipment item tested within or out of the ranges of required tolerances. 7. A description of the contractor's QC procedures, including frequency and type, for checking mechanical calibration and maintenance of equipment. 8. A description of the method and frequency of field verification checks and the submission schedule of results. 9. A contingency plan in the event of failure/outage of the AMG system. 10. A schedule of DTMs intended for use on the project. This shall be submitted for review, feedback, and communication. 

NCHRP Project 10-77 119 Item Section: Contractor Responsibilities (CR)  Option (A or B) A. At least two week prior to the preconstruction conference, the contractor shall submit to the contracting authority for review a written AMG work plan which shall include the equipment type, control software manufacturer and version, types of work to be completed using AMG, project site calibration report, repetitive calibration methods for construction equipment and rover units to be used for the duration of the project, and local GPS base station to be used for broadcasting differential correction data to rover units.  B. One week prior to the start of grading operations the Contractor shall meet with the contracting authority to review the grading plans, quality processes, and tolerance requirements.  CR.12 If the contractor selects to use AMG for fine grading and placement of base or other roadway materials, the AMG system shall use a laser or robotic total station. Details of the methods and equipment shall be included in the AMG Work Plan  CR.13 The contractor shall use the alignment and control data provided by contracting authority. No localization methods will be accepted.  CR.14 The contractor shall provide the contracting authority with electronic as-built construction data for the projects final construction record in a format acceptable to the contracting authority.  CR.15 The contractor shall be responsible for converting the information on the plans and/or electronic data file provided by contracting authority into a format compatible with the contractor's AMG system.  CR.16 It is the contractor's responsibility to produce the DTMs and/or 3D line work needed for AMG system, field verify the data for accuracy and conformance to the contract plans <<, and immediately report any errors to contracting authority>>.  Option (Y or N) Provide design surface DTM information to the contracting authority in a format specified by the contract documentation. CR.17 Revise the design surface DTM as required to support construction operations and to reflect any contract plan revisions. Perform checks to confirm DTM revisions agree with the contract plan revisions. Provide a copy of the revised design surface DTM to the contracting authority in the format defined in the contract documents.  CR.18 The contractor shall meet the same accuracy requirements as detailed in the standard specifications.  CR.19 The contractor shall check and recalibrate, if necessary, their AMG system at the beginning of each work day to ensure compliance with contract documents.  CR.20 Grade stakes shall be established as per the standard specifications for use by the contracting authority to check the accuracy of the construction.  CR.21 The contractor shall bear all costs, including but not limited to the cost of actual reconstruction work that may be incurred due to errors in application of AMG techniques or manipulation of design data in the DTM.  CR.22 The contractor shall be responsible for any edits or conversions of the contracting agencies electronic data whether done by the contractor or a vendor that is hired by the contractor to perform such edits or conversions.  CR.23 When AMG methods are used for any construction surveying, a licensed surveyor shall be provided by the contractor to perform verification of the final as-constructed grade report.  CR.24 All changes by the contractor to the DTM data shall be submitted to the contracting authority for approval prior to use. 

NCHRP Project 10-77 120 Item Section: Contractor Responsibilities (CR)  CR.25 Any information provided by contracting authority shall not be released to any other party, corporation, business or organization except a consultant engineering firm which is employed by the contractor for work on this project. The consulting engineering firm must agree not to release the information to any other party, corporation, business or organization.  CR.26 The contractor shall provide any information or data that is requested by the contracting authority for performing the verification of quantities and quality.  CR.__ Other:  Comments:  Item Section: Method of Measurement (M)  M.01 The bid item for AMG grading will be measured and paid for at the lump sum contract price.  Option (Y or N) No direct payment will be made for work required to utilize this provision. All work will be considered incidental to various grading operations. M.02 Earthwork volumes shall be computed by comparing and computing the difference in volumes between the existing terrain model, constructed terrain model, and final constructed terrain model whichever is applicable at the time necessary.  M.03 The contracting authority will pay for costs incurred to incorporate contract plan revisions as extra work.  M.__ Other:  Comments:  Item Section: Payment (P) 

NCHRP Project 10-77 121 Item Section: Payment (P)  P.01 The bid item for AMG grading will be paid for at the lump sum contract price. This payment shall be full compensation for all work associated with preparing the electronic data files for use in the contractor’s AMG system, the required system check and needed recalibration, training for the Engineer, and all other items described in the standard specifications.  Option (Y or N) The contract lump sum price bid shall include full compensation for all such surveying work including but not limited to: (1) Materials, (2) Equipment, (3) Labor, (4) Office work (preparing the electronic data files for use in the Contactor’s machine control grading system, developing or building a DTM to facilitate the GPS machine control grading system, and all other calculations required to complete the work), (5) Test section as specified by the Project Engineer, (6) Training for <<agency >>project personnel, and (7) Final as- constructed grade report.  P.02 Delays due to satellite reception of signals to operate the GPS machine control system will not result in adjustment to the "Basis of Payment" for any construction items or be justification for granting contract extensions.  P.__ Other:  Comments: 

NCHRP Project 10-77 122 CHECKLIST OF QC/QA FACTORS In addition to the guide specification tool, a list of QC/QA factors was developed based on the survey results, literature review, specification reviews, and interviews with agency and contractor personnel. The workflow processes associated with these factors are described in Chapter 2. The list of contributory factors is arranged by a process heading and several sub-processes. Procedures to address these factors need to be integrated into design manual, polices, standards, specifications, and training. Table 9-1 and 9-2 discussed earlier identified error and mitigation factors for several of these processes. Initial Data Collection to Develop DTMs • Selection of surveying approach for overall control (Geodetic vs. Cartesian Coordinate) • Choices regarding tie in with local, state, or global coordinate systems. • Accuracy of initial surveying control points. • Accuracy of the positioning. system that is being used to collect survey data (GPS, total station, traditional) • Quality of data collection hardware and software. • Density of position measurements. • Accuracy of judgment regarding the collection of break line data. • Absence or presence of operator/human error in data input and manipulation (can be improved with training). • The amount of manual manipulation required. Model Development for Design Purposes • Possible changes to preconstruction data between times that original preconstruction data was collected and when construction starts. • Quality of the design - Conformance with agency needs - Accuracy - Density of pattern lines • Whether initial design modeling is set up to allow seamless transfer designer to constructor. - 2D or 3D modeling - Details of labeling, layering and other technical details of CADD modeling • Completeness of design in complicated areas (shared with model enhancement for construction purposes, because these details may be added by either the designer or the constructor). - Intersections - Gore areas - Merges - Culvert entrances and exits - Bridge berms - Widen shoulders for guard rails and other appurtenances • Accuracy of output of design software. • Absence or presence of operator/human error in data input and manipulation (can be improved with training). • The amount of manual manipulation required.

NCHRP Project 10-77 123 Model Enhancement for Construction Purposes • Quality of construction modeling software • Completeness of design in complicated areas (shared with modeling, because these details may be added by either the designer or the constructor). - Intersections - Gore areas - Merges - Culvert entrances and exits - Bridge berms - Widen shoulders for guard rails and other appurtenances • Absence or presence of operator/human error in data input and manipulation (can be improved with training). • The amount of manual manipulation required. • Communication between the construction modeler and the design modeler. Manipulation of AMG Files for Construction Operations • Proper installation of AMG project files on machine (includes version control of AMG files) • Absence or presence of operator/human error in using machine mounted AMG equipment (can be improved with training). • Establishment of jobsite control network. • Proper set up of base stations, if GPS is used; proper set up of robotic total stations and/or lasers if robotic total stations are being used. • Calibration of the job site. • Calibration of machine - link between source of position information: GPS, laser or total station, and AMG hardware. • Link between AMG hardware and ground or pavement engaging equipment. • Balance of stability, smoothness and response time the system that control the movement of ground or pavement engaging equipment. • Absence or presence of operator/human error in data input and manipulation (can be improved with training). • The amount of manual manipulation required. • Communication between the construction modeler and construction field personnel. Manipulation of AMG Files for QA/QC • Proper installation of AMG project files on rover (includes version control of 3D construction model files). • Absence or presence of operator/human error in data input and manipulation (consider amount of manual manipulation required). • Establishment of jobsite control network. • Proper set up of base stations and other positioning equipment (including robotic total stations and lasers. • Calibration of inspection equipment (most likely rovers, if GPS is used) with job site control • Links between source of position information (GPS, laser or total station) and QA/QC inspection equipment. • Absence or presence of operator/human error in data input and manipulation (can be improved with training).

NCHRP Project 10-77 124 • The amount of manual manipulation required. • Communication between the construction modeler, designer and QA/QC personnel.