BACKGROUND

Traditionally, state departments of transportation (DOTs) and utility companies have not shared data due to limited technology to allow subsurface utility engineering (SUE) and digital as-built (DAB) data captured from conventional project plans and stored in computer-aided design (CAD) files to be easily exchanged. The risks and concerns about the liability of sharing SUE and DAB data that may not be accurate and/or may change in the future were also a factor. New geospatial technologies are being implemented by state DOTs and utility companies for internal purposes, but these technologies have not been utilized to address SUE and DAB data exchange. Additionally, utility companies have expressed concerns about controlling access to their location data relating to security and exposure to competitors. Preserving project information in a digital format provides the ability for continuous integration with other project data for developing a living record for DABs and building information modeling (BIM) files throughout a project’s lifecycle.

Research findings in the second Strategic Highway Research Program (SHRP2) report S2-R15B-RW-1, Identification of Utility Conflicts and Solutions, documented and quantified the negative impact and costs, which results from utility conflicts and limited data sharing between state DOTs and utility companies. However, a knowledge gap exists to support a partnership between state DOTs and utility companies to provide a mutually beneficial data exchange that promotes state DOTs interests (e.g., improved design, reduced project schedules, and public safety). Additionally, state DOTs must overcome barriers (e.g., data accuracy responsibility, reliability and accuracy of data visualizations, long-term storage and maintenance of electronic data, data accessibility, and homeland security issues) to improve utility data management with utility companies. Research is needed to examine and assess the utility companies’ perspective (e.g., perceived risks and liability), and develop strategies to communicate the potential benefits of a data sharing partnership between state DOTs and the utility companies.

OBJECTIVE

The objective of this research is to develop a guide and framework for collecting, storing, and exchanging SUE and DAB data between utility companies and state DOTs.

Accomplishment of the project objective will require at least the following tasks.

TASKS

PHASE I – Planning and Data Collection

Task 1. Conduct a literature review of relevant research related to SUE and DAB data management and exchange between state DOTs and utility companies. The review shall include published and unpublished research conducted through the NCHRP; Federal Highway Administration (FHWA); and other national, international, state, and local agencies.

Task 2. Propose a methodical approach (e.g., questionnaires/surveys, targeted interviews, focus groups, and other appropriate methods and/or tools) to collect information from state DOTs, practitioners, and relevant stakeholders as it relates to the exchange of SUE and DAB data between utility companies and state DOTs.

The proposed approach shall identify and summarize information needed to characterize the current state of practice as well as future needs including:

• Identification of the barriers and risks of exchanging digital utility information (e.g., utility attributes and location information, and SUE and DAB data) from the state DOTs and utility’s perspective;
• Investigation of the legal, regulatory, and legislative requirements for implementing a data exchange program;
• Investigation of procedural methods employed to establish data requirements from the state DOTs, utility companies, and relevant stakeholders;
• Identification of data protection measures and current state-of-practices as it relates to information security procedures for safeguarding exchanged utility data during transmission and idle times (see Special Note B);
• Identification of data collection relating to permitting and encroachments; and
• Identification of case studies to demonstrate the exchange of SUE and DAB data, including an assessment of benefits and risks from the utility’s perspective.

Task 3. Execute the methodical approach according to the approved Task 2 Report. Synthesize the results of Tasks 1 and 2 and identify knowledge gaps relative to sharing SUE and DAB data between state DOTs and utility companies. These knowledge gaps should be addressed in this research or in the recommended future research as budget permits and identify sections of relevant American Association of State Highway and Transportation Officials (AASHTO) manuals that could be impacted by the results of the research findings.

Task 4. Propose the research plan, to be executed in Phase II, to achieve the research objective. At a minimum, the research plan shall include:

• Identifying the digital utility information (e.g., utility attributes and location information, and SUE and DAB data) collected and/or exchanged by state DOTs and utility companies;
• Identifying and describing successful real-world data exchange programs including the benefits and methods to overcome barriers and risks;
• Identifying technologies (e.g., global positioning system (GPS), mobile and cloud geographic information system (GIS), unmanned aerial systems (UAS), light detection and ranging (LiDAR), and artificial intelligence (AI)) to automate the capture and exchange of SUE and DAB data;
• Developing implementation strategies for promoting the benefits and value of exchanging utility attributes and location information, digital utility information, and SUE and DAB data from the utility’s perspective;
• Developing a guide for state DOTs and utility companies to implement a data exchange program (e.g., permitting, encroachments); and
• Developing a framework (e.g., complementary tools and draft language for consideration by AASHTO, hereafter called the AASHTO Deliverable (see Special Note C)) to implement methods for the exchange of SUE and DAB data between utility companies and state DOTs.
  

Task 5. Propose a preliminary outline and table of contents for the guide and framework based on the findings from Phase I, which should incorporate key findings, supported with examples, to include:

• Suite of complementary tools (e.g., guidelines, compendium, infographics, spreadsheets, framework, and roadmap); and
• AASHTO Deliverable using the results and knowledge gaps identified in Task 3.

Task 6. Prepare Interim Report No. 1 that documents Tasks 1 through 5 and provides an updated work plan for the remainder of the research. The updated plan must describe the work proposed for Phases II and III.

PHASE II – Execution

Task 7. Execute the research plan according to the approved Interim Report No.1.

Task 8. Develop the guide and framework according to the approved Interim Report No. 1, supported with examples. The selection of examples should demonstrate the effectiveness to:

• Communicate information among the state DOTs and relevant stakeholders (e.g., construction contractors, utility owners, and third-party utility contactors);
• Incorporate implementation strategies for the guide and framework; and
• Determine archival and maintenance solutions for SUE and DAB project data (e.g., general data governance, data management, utility attributes, data collections, data validation, and data certification).

Task 9. Develop the AASHTO Deliverable.

Task 10. After NCHRP review of the guide, the framework, and the AASHTO Deliverable, plan and conduct a workshop with 20 representatives of state DOTs and other stakeholders to review the draft guide and the framework. Revise the draft deliverables according to the outcomes of the workshop. The invited representatives shall be approved by NCHRP.

Task 11. Prepare Interim Report No. 2 that documents the results of Tasks 7 through 10 and provides an updated work plan for the remainder of the research. The updated plan must describe the work proposed for Phase III. 

PHASE III – Final Products

Task 12. Revise the guide, the framework, and the AASHTO Deliverable after consideration of the panel’s review comments.

Task 13. Submit the draft final deliverables including (1) a final research report documenting the entire research effort and findings; (2) the guide; (3) the framework; (4) AASHTO Deliverable; (5) prioritized recommendations for future research; (6) presentation material and resources; and (7) technical memorandum on implementation.

STATUS: Proposals have been received in response to the RFP. The project panel will meet to select a contractor to perform the work.