3D Digital Models as Highway Construction Contract Documents (2022)

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3   1.1 Background Several recent initiatives specifically have sought to push 3D models into the construction phase of projects. A 3D digital model is defined as a “model-based technology linked with a data- base of project information, using multidimensional, real-time dynamic modeling software, to plan construction. The model encompasses at least geometry, spatial relationships, geographic information, and quantities and properties of components” (North Carolina Board of Exam- iners for Engineers and Surveyors 2019). FHWA began its Every Day Counts (EDC) program in 2009 as a joint effort between FHWA and AASHTO. The program focuses on pushing new innovations to accelerate highway project delivery by capturing and sharing case studies and workshops (FHWA 2021). The program works in a 2-year cycle, starting by securing buy-in from stakeholders and soliciting recommendations on innovations. A baseline evaluation of the innovation is reported while state and local agencies are tracked for the deployment and use of those innovations. Beyond improving project delivery, another goal of the program is to encourage intelligent risk taking at departments of transportation (DOTs), which can be hesitant to embrace emerging technologies. EDC Round 2 (2013–2014) and Round 3 (2015–2016) involved 3D models in construction, where EDC-2 encouraged “3D Engineered Models for Construction,” and EDC-3 drilled down to a topic of “3D Engineered Models: Schedule, Cost, and Post-Construction.” EDC-4 (2017–2018) involved e-construction and partnering, and the latest EDC-6 (2021–2022) involves e-ticketing and digital as-builts. EDC-2 found primary benefits in improved project delivery, improved communication, enhanced identification of errors, and improved visualization (Schneider 2013a). Specific ben- efits were also identified across various stakeholders. For agencies, 3D models allow for random grade checks instead of at specified cross-sections, material cost savings were realized, and quality assurance (QA) test locations were easy to identify. For contractors, labor savings by eliminating staking and string-lines, increased productivity, fewer conflicts, and fewer changes were the primary benefits. Consultants benefited from early identification of constructability concerns, improved design accuracy, and improved visual verification for quality control (QC). Overall, FHWA identified 66% savings in grade checking, 85% reduction in stakes, 3% to 6% improved material yields, and a 30% to 50% reduction in earthwork interruptions (Schneider 2013a). Ultimately, a total project cost savings of 4% to 6% was found (Schneider 2013a). The focus in 2015 and 2016 was integrating cost, schedule, and post-construction data (survey, as-built, and other asset management data) into the 3D models through EDC-3. The benefits include improved project management, more accurate cost estimates, and a living record throughout the project life cycle (Schneider 2013b). FHWA captured case studies from the California, Washington state, and Massachusetts DOTs to identify these benefits. Ultimately, C H A P T E R 1 Introduction

4 3D Digital Models as Highway Construction Contract Documents the final report from EDC-3 published data on the degree of implementation for 3D models used in planning, design, and construction where significant improvements in adoption were witnessed between the beginning and end of the EDC round (FHWA 2017). EDC-4 highlighted the importance of e-construction and partnering in highway projects. The final report defined e-construction as the “digital creation, review, approval, distribution, and storage of highway construction documents” (FHWA 2019). Major benefits presented in the report include using paperless technologies that save time and cost, enhancing communication among stakeholders, improving workflows throughout the project, and streamlining project delivery. The report also presented different e-construction case studies from Idaho, Indiana, Kentucky, Louisiana, Massachusetts, Missouri, Montana, North Carolina, Pennsylvania, Tennessee, and Utah (FHWA 2019). The latest round of EDC in 2021 investigated e-ticketing and digital as-builts. The final report is expected to investigate the implementation of e-ticketing and digital as-builts in the project delivery of highway projects across the United States, especially with the benefits that both con- cepts can have on project quality, safety, and cost (Elliot et al. 2021). EDC-6 noted that some state DOTs, such as New York, Iowa, and Utah, are providing contractors enhanced contract documents using the 3D model as they consider more integrated and streamlined approaches to project delivery (Elliot et al. 2021). With the increased interest in 3D digital delivery, this report aims to investigate the current state of 3D digital models with a focus on the use of these models as contract documents. 1.2 Synthesis Objective There are numerous technical, procedural, risk management, and legal issues that arise when the construction contract medium changes from paper or electronic files (such as 2D PDFs containing plan sheets) to digital 3D models. Because there are not yet any nationally defined standards or guidelines to reference, DOTs have addressed these issues independently in different and creative ways. The objective of this synthesis is to document current state DOT practices for delivering 3D digital models to highway contractors and the use of these models as part of the legal construction contract document. To be specific, this synthesis collected information from (1) DOTs that are not using 3D digital models in construction, (2) DOTs that are providing 3D digital models for information purposes only, and (3) DOTs that are providing 3D digital models for information purposes and as contract documents. The following information regard- ing the use of 3D digital models in highway construction was gathered: • Reasons for not using 3D digital models in construction • Reasons for not using 3D digital models as contract documents • Profile of projects for which DOTs provide models for information purposes only • Features of 3D digital models when provided for information purposes only • Policies-related aspects of 3D digital models when used as contract documents • Technical-related aspects of 3D digital models when used as contract documents • Process-related aspects of 3D digital models when used as contract documents • People-related aspects of 3D digital models when used as contract documents 1.3 Study Approach An extensive literature review on the topic provides the initial understanding of the current state of research and practice regarding 3D modeling in the construction industry. The exist- ing literature and previous discussions with DOTs assisted with the development of the survey questionnaire.

Introduction 5   A survey was created to capture the state of practice of delivering 3D digital models to con- tractors within DOTs. Under the guidance of the topic panel, the survey was divided into the following categories: demographic information for respondents, demographic information for 3D digital models, agencies not using 3D digital models in construction, agencies using 3D digital models for information purposes only, and agencies using 3D digital models for information purposes and as contract documents. Once the final draft of the survey was approved, an e-mail request with the Qualtrics survey link and a fillable PDF were distributed to the voting DOT members of the AASHTO Committee on Construction (COC). This constituted voting members from each of the 50 state DOTs as well as the District of Columbia DOT. The survey recipients were asked to distribute the survey to individuals with knowledge of 3D digital models within their organizations. The complete survey is shown in Appendix A. A total of 41 responses were collected from the survey. This represented a total of 41 different DOTs that participated, providing an 80% response rate from the 51 DOTs. The aggregate and individual results of the survey are presented in Appendix B. Following the analysis of survey responses, subsequent case examples were conducted to gather additional information on the topic. Interviews were conducted with DOTs using 3D digital models as contract documents (New York and Utah) and DOTs using 3D digital models for information purposes only (Michigan and Wisconsin). Details of the individual case examples are outlined in Chapter 4, and the questions asked during the interviews can be found in Appendix C. This report documents current state DOT practices for delivering 3D digital models to high- way contractors and the use of these models as part of the legal construction contract document. The report is organized as follows: • Chapter 2 reviews existing work on 3D digital models. • Chapter 3 summarizes survey results. • Chapter 4 provides four case examples of the use of 3D digital models. • Chapter 5 draws conclusions based on findings in previous chapters. • Appendix A contains a survey questionnaire for state DOTs. • Appendix B contains the results of the survey questionnaire. • Appendix C contains case example interview questions.