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