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NCHRP Synthesis 50-12Development and Use of As-Built Plans by
State DOTsTim Taylor, P.E., Ph.D.Victoria Lasley, E.I.T.Steve Waddle, P.E.
Ying Li, Ph.D.Roy Sturgill, P.E., Ph.D.
Background
Real Whiskey
Background
Objective and Methodology
• NCHRP Synthesis: “current knowledge and state of practice”
• 50-12 Objective: Document how as-built plans are developed, used, and updated for various delivery methods by State Transportation Agencies
• Methodology• Literature Review• State Transportation Agency Survey
• (Distributed to AASHTO COC/COD)• Structured Interviews for Case Examples
Survey Response
42 States (84%)
Process Documentation
Yes50%
No37%
Unsure13%
Documented definitionof as-built plans?
Yes68%
No 24%
Unsure 7%
Documented as-built development procedure?
Information Documented in As-Built Plans
Total Number of Responses:N=42
Underground DOT Infrastructure
Underground Utility Infrastructure
Methods Used to Capture and Document As-Built Data
1
3
3
3
4
4
14
32
36
0 5 10 15 20 25 30 35 40
Drones
Other
Ground Penetrating Radar
3D Models
LiDAR
Google Earth
Photographs
Electronic Notes
Hand Written Notes
Number of Respondents
Total Number of Responses:
N=42
11% - Hand written only89% - Hand written +
Platforms Used to Establish As-Built Plans
2
3
4
4
5
16
17
18
28
0 5 10 15 20 25 30
Other
3-D Modeling
AutoCAD
Mylar Sheets
Microfilm/fiche
MicroStation
Bluebeam
Adobe
Paper mark ups
Number of Respondents
Total Number of ResponsesN=42
14% - Paper plans only86% - Paper plans +
Entity Developing As-Built Plans
In-house employees only 52%
In-house employees and outside entities 45%
Outside entities
only3%
Entity Developing As-Built Plans
N=36
N=7N=3
0
5
10
15
20
25
30
35
40
Construction Design Other
In-house staff
N=16
N=9
N=10
5
10
15
20
25
30
35
40
Contractor Design Consultant Other
Outside entity
As-Built Approval and Storage Procedure
Yes39%
No54%
Unsure7%
Yes75%
No25%
Documented as-built approval process
Documented as-built storage process
As-Built Storage Systems
5
9
9
15
16
23
0 5 10 15 20 25
Project Archives
District Offices as electronic files
Central Office as hard copy prints
District Offices as hard copy prints
Central Office as electronic files
Electronic Document Management System
Number of Respondents
Total Number of Responses:
N=42
DOT Developed
Bentley Projectwise
Falcon System
FileNet
OnBase
Microsoft Sharepoint
Microsoft Access
As-Built Updates After Construction Completion
Yes11%
No76%
Unsure13%
Information Used from As-Built Plans
48
101414
15171717
2020
2121
2222
232323
2426
272828
0 5 10 15 20 25 30
OtherPictures and/or LiDAR Scans
Maintenance HistoryBeam Seat Information
X DimensionsRock Cut Slopes
Actual Courses PlacedADA Ramps Information
Right-of-Way PlansBearing Details
Subsurface Utility InformationCulvert Fill HeightsCut and Fill Slopes
Pile LengthIntersection GradesFoundation Layouts
Depths and clearancesSubgrade Details
Pile Tip ElevationsFooting Information
Stationing InformationTypical Sections
Alignments
Number of Respondents
Total Number of Responses:N=38
As-Built Improvements Needed
22%
61%
94%
56%
28%
50%56%
33% 33%
17%
0%10%20%30%40%50%60%70%80%90%
100%%
of R
espo
nden
ts
Total Number of Responses:
N=37
As-Built Refinements In Process
57%
70% 68%
19%
49%
68%
11%
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
Improvedaccuracy
Improvedusability
Incorporationof new
technology
Applicablilityto multiple
deliverymethods
Increasedfeedbackbetweendivisions
Better linkageto asset
management
Other
% o
f Res
pond
ents
Total Number of
Responses:N=18
Case Examples
Case Examples: Highlights
• MDOT• Incorporated into asset management
system
• VDOT• Two-person system, varies by
delivery method
• W• As-built Record Management System
(ARMS)
• ADOT• As-built web portal
• CDOT• Contractor developed as-builts
• KY• Streamline process to minimize
collection/maximize use
Key Findings
• The majority of STAs indicate that as-built information is recorded using hard-written notes but this is often supplemented with other technology.
• As-built storage continues to evolve at STAs, with most states migrating to electronic storage systems.
• Uses of as-built plans still fall under traditional use scenarios (e.g. informing preliminary design) but some states are incorporating as-builts into asset management systems.
Future Research Needs
• Improvements in as-built data capture methods was the most frequently cited (94% of respondents) area of needed improvement in current STA as-built processes.
• Improve the overall efficiency of the as-built creation process.
• Incorporate as-built data into asset management systems.
Questions?
Challenges Faced in Improving As-Builts
32%
52%
6%
26%32%
26%
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
IT issues Lack oftechnicalstaffing
Lack ofmanagement
support
Uncertaintyon where to
begin
Lack ofavailable
technology
Other
% o
f Res
pond
ents
Total Number of Responses:
N=31
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