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

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6 This review focuses on previously published academic literature on the use of 3D digital models with a focus on the use of 3D models as contract documents. However, little docu- mented knowledge exists in this focused domain, especially related to their use in highway con- struction. Thus, the review begins with an overview of building information modeling (BIM) in the vertical construction sector, the use of BIM in construction of highway projects, the use of civil integrated management (CIM), and the use of 3D digital models as contract documents. A higher-level overview of construction use of 3D models in the U.S. highway construction industry can be found in the Background section of the Introduction (Section 1.1). 2.1 Overview of BIM in the Construction Industry BIM can be defined as “moving from 2D drawings to digital building models that do not only represent 3D geometry of the building components but also all the non-geometric data required throughout the building’s lifecycle” (Borrmann et al. 2020). Table 2-1 shows a sum- mary of common drivers of and barriers to adopting BIM in construction projects (Eadie and Johnston 2020). In addition to Table 2-1, two major aspects needed for the proper implementation of BIM are guiding standards to standardize the use of BIM and understanding of the legal provisions and contractual terms for using BIM in a construction project (Abbasnejad et al. 2020; Khosrowshahi and Arayici 2012). As for the use cases and applications of BIM through the life cycle of a con- struction project, Meng et al. (2020) listed the most common examples, as shown in Table 2-2. The different use cases of BIM thus allow for the linking of n-dimensional information asso- ciated with a construction project—namely, 3D virtual environment of the structure (3D BIM), schedule/time information (4D BIM), cost information (5D BIM), project life cycle and as-built information for operation and maintenance (6D BIM), sustainability standards and performance (7D BIM), and safety management/safety standards for design and construction (8D BIM) (Vilventhan and Rajadurai 2020). As shown in Figure 2-1, there are four main performance levels for implementing BIM (EU BIM Taskgroup 2017; Maier 2020): • At the policy level, major actions include contractual requirements to support effective col- laboration and establish rights for digital use, clarify the BIM capability and capacity needs to meet requirements, plan information delivery so all parties understand their roles and responsibilities, and establish clear deliverable requirements. C H A P T E R 2 Literature Review

Literature Review 7   Clash detection Visualization and improved communication of operations and construction sequencing Improved communication to operations and construction sequencing Competitive pressure and/or ambition Cost savings Whole life costing benefits for the project and optimization of life- cycle costs Time savings and reductions Adding value to clients Health and safety improvements Construction quality enhancements Innovation process and fabrication, including automation of schedules, prefabrication, and asset management benefits Common Barriers to Using BIM Cost of implementation, including software, technology, and training Resistance to change Lack of management support Lack of skilled staff and technical expertise Legal uncertainties and issues Lack of client demand Impact of sociotechnical culture and lack of flexibility Doubts from return on investment (ROI) and lack of vision for benefits Lack of supply chain buy-in Long learning curves and implementation time Suitability for current ongoing projects Common Drivers for Using BIM Table 2-1. Common drivers and barriers to the overall use of BIM in the construction industry (adapted from Eadie and Johnston 2020). Planning Designing Construction Operating • Site analysis • Overall planning • Program demonstration • Visualization design • Collaborative design • Engineering quantity statistics • Building data collection • Energy analysis • Safety design • Sustainable design • Construction progress simulation • Construction organization simulation • Digital construction • Material tracking • Site coordination • Construction visualization • Construction safety • Completion model delivery • Maintenance plan • Facility management • Indoor space management • Building system analysis • Disaster emergency simulation • Green construction Table 2-2. Common applications of BIM in the different stages of a construction project (adapted from Meng et al. 2020). • At the technical level, major actions include vendor-neutral data exchange to increase inter- operability and support diversity in the supply chain, in addition to the object-oriented organi- zation of information to define the context within which objects are used. • At the process level, it is important to create a collaborative and centralized database and a common data environment that provides the ability to communicate, reuse, and share data efficiently without loss, contradiction, or misinterpretation. • At the level of people and skills, clarity of roles, responsibility, authority, and the scope of any task are essential aspects of effective data and information management.

8 3D Digital Models as Highway Construction Contract Documents 2.2 The Use of BIM in Highway Construction Projects In the past few years, the overall use of BIM in the construction industry has been increas- ing, and substantial growth in its use was witnessed for transportation infrastructure projects (Jones and Laquidara-Carr 2017). According to FHWA, even though BIM implementation is not required under federal statute or FHWA regulations, its use is encouraged (FHWA 2020). The application of BIM improves construction practices, enhances highway project delivery, and utilizes innovative technologies to improve predictability, performance, and transparency starting from the planning phase of a project all the way to operation and maintenance (FHWA 2020). In addition, the high increase in infrastructure projects, accompanied by the aging and deterioration of previously built structures, makes the traditional systems in constructing, managing, and inspecting such projects both insufficient and inefficient (Moreno Bazán et al. 2020). This makes using BIM an optimal and sustainable solution for infrastructure projects, especially for management and maintenance (Moreno Bazán et al. 2020). As for the successful use of BIM in infrastructure projects, FHWA identified four critical factors: (1) clear and precise con- tract language, (2) strategically planned and well-managed common data environment, (3) owner- originated data requirements, and (4) modeling of voluntary standards that are not regulated in nature (FHWA 2020). A number of studies reviewed the use of 3D models and BIM for transportation projects. Cheng et al. (2016) presented a framework to evaluate the current practices of BIM for various civil infrastructure facilities, referring to the adoption as “civil information modeling.” The research showed that several studies from the industry and academia used civil information modeling in transportation infrastructure projects such as bridges, roads, railways, and tunnels for different cases, including visualization, life-cycle information management, design review, structural analysis, sunlight analysis, traffic flow simulation, clash detection, schedule modeling, cost esti- mation, quantity takeoff, constructability analysis, crane operation simulation, and virtual facility inspection (Cheng et al. 2016). Lin et al. (2020) presented a collaboration-based BIM model development system to allow general contractors to efficiently use the model for BIM-related Figure 2-1. Common EU performance level for implementation of BIM.

Literature Review 9   applications in infrastructure projects. The system centralizes information for the BIM model throughout the entire life cycle of the project, with the ability to start tasks, identify and revise faults, confirm and proof changes, and notice modified tasks. The system also aims to address the major needs for infrastructure project engineers and managers, such as the ability to share task details, assign content and checklists, and record and refer to the stored track history to make comments for management purposes (Lin et al. 2020). Bradley et al. (2016) identified five main categories that the different BIM standards and documentation revolve around: (1) project information, which includes data on the project, client, and stakeholders, with explicit definitions on roles and responsibilities, and use of project information; (2) BIM deliverables, which defines what information needs to be produced and who needs to contribute it to the project information model; (3) data composition, segregation, and linking to make the use of BIM effective, where “isolation is key to maintaining data integ- rity and security while linking is one of the key concepts of BIM”; (4) modeling standards, which define how models are constructed and facilitate data availability and transfer and include infor- mation on the software used, coordinate systems with a single project origin, levels of model definition (LOMDs), and volume division; and (5) collaboration among participants, a theme tied with BIM deliverables and modeling standards, which defines how data will be shared (i.e., how the information will be delivered and how the information produced to meet the modeling standards will be passed between participants). The study also concluded that the roadmap for the proper development and implementation of BIM in infrastructure projects would require developing a common data format for infrastructures, creating a data integration engine for holistic information management, aligning the business processes with the BIM process, and developing a framework for information governance and defining “data usefulness.” The frame- work should properly define data responsibility (i.e., who will produce/edit this information), data generator (i.e., what process generates this information), and data consumer (i.e., what process will consume the information) to avoid producing inefficient and useless data (Bradley et al. 2016). Costin et al. (2018) identified the technical, process, mindset, legal, and return-on-investment (ROI) challenges associated with implementing BIM for transportation infrastructure. A sum- mary of the challenges is shown in Table 2-3. The study also concluded that the transportation industry will benefit greatly from implementing BIM, calling on government entities such as FHWA and state DOTs to buy into BIM, as most of the transportation projects are owned and operated by the government. This can be achieved in three main milestones: (1) finding the prac- tical applications of the utilization of BIM infrastructure management; (2) prioritizing operation and maintenance tasks, especially with the huge number of bridges and roads that need reha- bilitation; and (3) moving owners and operational managers away from traditional and paper- based documentation and encouraging technology-driven approaches (Costin et al. 2018). 2.3 CIM BIM also feeds into the CIM vision for transportation agencies. CIM is defined as the “technology-enabled collection, organization, managed accessibility, and use of accurate data and information throughout the life cycle of a transportation asset,” which “may be used by all affected parties for a wide range of purposes, including planning, environmental assessment, surveying, design, construction, maintenance, asset management, and risk assessment” (Adam et al. 2015). CIM provides effective collection and management of data throughout the life cycle of transportation assets, allowing transportation agencies to make better and more informed decisions (Guo et al. 2017). O’Brien et al. (2016) researched the DOTs’ use of CIM in NCHRP Project 10-96. The report summarized CIM tools and functions, as shown in Table 2-4.

10 3D Digital Models as Highway Construction Contract Documents CIM Tools Modeling Tools: 2D digital design tools; 2D, 3D, 4D, 5D, and nD modeling tools; traffic modeling and simulation tools Data Management Tools: project information management systems; asset information management systems; geographic information systems (GIS); digital signatures; mobile digital devices Sensing Tools: airborne, mobile, and terrestrial light detection and ranging (LIDAR); aerial imagery (satellites); GPS; Robotic Tool Station (RTS); radio frequency identification (RFID); real-time network (RTN); Integrated Measurement System (IMS); drones/unmanned aerial vehicles (UAVs) CIM Functions Surveying: site mapping; utility mapping right-of-way (ROW) map development; environmental process; inventory mapping Design: digital design, design coordination, and asset data integration; utility conflict analysis Construction: automated machine guidance (AMG); intelligent compaction; remote equipment monitoring Project Management: 4D scheduling; 5D estimating; visualization; materials management; construction QC; traffic management planning; contracts Table 2-4. CIM tools and functions (adapted from O’Brien et al. 2016). Category Examples of Challenges Technical Challenges • Differences and lack of fully adopted BIM workflow for infrastructure • Differences in scale and level of development (LOD) of the infrastructure model compared to normal BIM model for buildings • Lack of interoperability and information sharing among software and technology • Need for higher-performance hardware to handle large volumes of data • Expensive initial cost and time needed to develop models • Low cell phone signals in remote locations • Lack of definitions of data requirements and of identifying by whom and when the data should be provided throughout the project life cycle • Lack of interoperability, especially for heterogenous software and platform to exchange information and data without errors, data loss, and omissions Process- Related Challenges • Streamlining of the existing construction processes of the transportation infrastructure industry after BIM • Change in the roles and responsibilities of stakeholders • Updating of project contracts to define the role and responsibilities • Lack of standards, methods, and contractual languages for BIM Mindset- Related Challenges • Institutional challenges such as resistance to change, lack of resources to change, or both • Need for encouraging collaborative project delivery approaches • Need for training project stakeholders on using BIM-related applications and educating them on the importance of BIM through case studies • Need for addressing concerns that using BIM on infrastructure will reduce staffing and labor Legal Challenges • Legal challenges, including a lack of agreement on the legal clauses about the use of digital signatures, stamps, and deliverables • Integrity of data and confidential information during transmission • Difficulties in updating insurance policies to cover responsibilities of stakeholders ROI Challenges • Concern of initial investments to using BIM technologies, such as the acquisition of BIM-enabled software and hardware, upgrading the current information technology (IT) systems, training and educating engineers and workers, and changing current project delivery methods and deliverables Table 2-3. Common challenges and barriers to implementing BIM for transportation infrastructure projects (adapted from Costin et al. 2018).

Literature Review 11   Statistical analysis of the data gathered by NCHRP Project 10-96 showed that (1) the develop- ment and validation of contract language has a statistically significant positive effect on CIM, with the DOTs that had incorporated formal specifications into contracts reporting increased usage; (2) DOTs that formalize all procedural guidelines, including technological training, work process integration, and legal guidelines, display statistically significant positive correlation with CIM usage; (3) contract specifications and various procedural guidelines for CIM represent the significant investments DOTs need to make in order to achieve significant strides in CIM utilization; (4) alternative project deliveries, notably public–private partnerships (PPPs), tend to display higher integration of CIM practices in the project workflow; and (5) there is no relation between DOTs getting higher budgets and the extent of integrating CIM, indicating that DOTs with limited financial resources can still integrate CIM technologies (Sankaran et al. 2018). Guo et al. (2017), in a study supported by NCHRP Project 20-68A, divided the considerations used to adopt CIM into technical, organizational, and philosophies for success. On the technical side, CIM can be enabled with different technologies and tools such as light detection and ranging (LIDAR) and spatial data, electronic document management (EDM), 3D engineered models and automatic machine guidance (AMG), mobile devices, and interoperability. Organizational consid- erations for CIM include communication between stakeholders to simplify creating and sharing information, communication with the public through effective digital tools, upper management and information technology (IT) support, and early involvement of contractors and designers in the design process through alternative project delivery methods. As for the philosophies for CIM success, data should be available to access and use throughout the entire life cycle of the project, stakeholders should be supported and engaged early, an employee should be motivated to adopt new technologies and think forward, effective and just-in-time training should be pro- vided, and transportation agencies should share lessons learned and best practices with other agencies (Guo et al. 2017). 2.4 3D Digital Models as Contract Documents BIM and CIM are examples of transformations that can benefit DOTs when bidding, design- ing, planning, constructing, operating, maintaining, and repairing transportation projects. At the center of such transformation is a 3D digital model. According to FHWA, 3D modeling in transportation construction is “a mature technology that serves as the building block for the modern-day digital jobsite” and “allows for faster, more accurate and more efficient planning and construction” (Unkefer 2017). The North Carolina Board of Examiners for Engineers and Surveyors (2019) defines 3D digital models 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.” This definition of 3D digital models was provided in the survey distributed to state DOTs to ensure a common understanding of the term. Common benefits of 3D modeling include improving workflow from detailing to fabrica- tion, providing one source of data (i.e., centralizing data), improving the 3 Cs among project stakeholders (collaboration, communication, and cooperation), supporting fit verification and clash detection, reducing errors, and eliminating redundant/manual efforts (FHWA 2015). The use of 3D models across the entire transportation project requires the collaboration of major project stakeholders. The collaboration on a common 3D model may trigger a number of legal challenges, especially that current practices address the legal issues for traditional paper- based delivery such as 2D drawings (Guo et al. 2017). Thus, highway projects do not always use 3D digital models as the controlling contract document, and DOTs tend to use 2D plans and specifications (Catchings et al. 2020; Dadi et al. 2021). Therefore, construction specifications and

12 3D Digital Models as Highway Construction Contract Documents special provisions should provide language that clarifies the contractual aspects associated with using 3D models (Schneider and Unkefer 2017). Examples of such specifications are sources of 3D data, its authorized uses, and its hierarchy for controlling work; managing changes that do not affect the design intent, including version control; management of errors and omissions in the contract documents; uses of 3D models in the contractor’s QC; contract requirements regarding accuracies, tolerances, and means for measuring and paying quantities for different activities, including any adjustments to existing pay items; and issue resolution process and documentation protocols (Schneider and Unkefer 2017). Other challenges arise from the lack of agreement on the legal clauses concerning the use of digital signatures, stamps, and deliverables; integrity of data during transmission; confidential information; and difficulties in updating insur- ance policies to cover responsibilities of stakeholders, in addition to issues regarding ownership, licensure, and liability of project models, plans, surveys, and as-built data (Costin et al. 2018; Guo et al. 2017). All the challenges listed previously affect the optimum utilization of 3D models in transpor- tation projects, in addition to the possibility of using the models as contracts and executing projects with contractual priority for 3D models over plan sets (Sankaran et al. 2016). With the absence of nationally defined standards or guidelines to develop, maintain, and reference and share 3D digital models, AASHTO created a joint technical committee on Electronic Engineer- ing Standards to identify the data needs, information requirements, and industry standards to assist the transportation industry’s effort to transition from traditional 2D plans to 3D informa- tion models that can be used throughout the entire project life cycle (AASHTO 2021). In a series of webinars (available at https://design.transportation.org/technical-committees/electronic- engineering-data), several state DOTs discussed their effort to transition from 2D plans to 3D digital models and to use models as contract documents. The variation in how state DOTs handle 3D digital models highlights the need to investigate modeling practices and how state DOTs have been using 3D digital models as construction contract documents.