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NATIONAL NCHRP REPORT 695 COOPERATIVE HIGHWAY RESEARCH PROGRAM Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System for Transportation Agency Real Estate Offices
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TRANSPORTATION RESEARCH BOARD 2011 EXECUTIVE COMMITTEE* OFFICERS CHAIR: Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore VICE CHAIR: Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board MEMBERS J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles Eugene A. Conti, Jr., Secretary of Transportation, North Carolina DOT, Raleigh James M. Crites, Executive Vice President of Operations, Dallas-Fort Worth International Airport, TX Paula J. Hammond, Secretary, Washington State DOT, Olympia Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley Susan Martinovich, Director, Nevada DOT, Carson City Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington Tracy L. Rosser, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, LA Steven T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, WA Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO Beverly A. Scott, General Manager and CEO, Metropolitan Atlanta Rapid Transit Authority, Atlanta, GA David Seltzer, Principal, Mercator Advisors LLC, Philadelphia, PA Lawrence A. Selzer, President and CEO, The Conservation Fund, Arlington, VA Kumares C. Sinha, Olson Distinguished Professor of Civil Engineering, Purdue University, West Lafayette, IN Daniel Sperling, Professor of Civil Engineering and Environmental Science and Policy; Director, Institute of Transportation Studies; and Interim Director, Energy Efficiency Center, University of California, Davis Kirk T. Steudle, Director, Michigan DOT, Lansing Douglas W. Stotlar, President and CEO, Con-Way, Inc., Ann Arbor, MI C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin EX OFFICIO MEMBERS Peter H. Appel, Administrator, Research and Innovative Technology Administration, U.S.DOT J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S.DOT Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA Anne S. Ferro, Administrator, Federal Motor Carrier Safety Administration, U.S.DOT John T. Gray, Senior Vice President, Policy and Economics, Association of American Railroads, Washington, DC John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC David T. Matsuda, Deputy Administrator, Maritime Administration, U.S.DOT Victor M. Mendez, Administrator, Federal Highway Administration, U.S.DOT William W. Millar, President, American Public Transportation Association, Washington, DC Tara O'Toole, Under Secretary for Science and Technology, U.S. Department of Homeland Security, Washington, DC Robert J. Papp (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, U.S. Department of Homeland Security, Washington, DC Cynthia L. Quarterman, Administrator, Pipeline and Hazardous Materials Safety Administration, U.S.DOT Peter M. Rogoff, Administrator, Federal Transit Administration, U.S.DOT David L. Strickland, Administrator, National Highway Traffic Safety Administration, U.S.DOT Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S.DOT Polly Trottenberg, Assistant Secretary for Transportation Policy, U.S.DOT Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC Barry R. Wallerstein, Executive Officer, South Coast Air Quality Management District, Diamond Bar, CA *Membership as of March 2011.
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM NCHRP REPORT 695 Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System for Transportation Agency Real Estate Offices Kathleen L. Hancock THE CENTER FOR GEOSPATIAL INFORMATION TECHNOLOGY VIRGINIA POLYTECHNIC INSTITUTE AND STATE UNIVERSITY Alexandria, VA Subscriber Categories Administration and Management · Data and Information Technology · Finance · Highways Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2011 www.TRB.org
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NATIONAL COOPERATIVE HIGHWAY NCHRP REPORT 695 RESEARCH PROGRAM Systematic, well-designed research provides the most effective Project 08-55A approach to the solution of many problems facing highway ISSN 0077-5614 administrators and engineers. Often, highway problems are of local ISBN 978-0-309-21329-5 interest and can best be studied by highway departments individually Library of Congress Control Number 2011930534 or in cooperation with their state universities and others. However, the © 2011 National Academy of Sciences. All rights reserved. accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of COPYRIGHT INFORMATION cooperative research. Authors herein are responsible for the authenticity of their materials and for obtaining In recognition of these needs, the highway administrators of the written permissions from publishers or persons who own the copyright to any previously American Association of State Highway and Transportation Officials published or copyrighted material used herein. initiated in 1962 an objective national highway research program Cooperative Research Programs (CRP) grants permission to reproduce material in this employing modern scientific techniques. This program is supported on publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, a continuing basis by funds from participating member states of the FMCSA, FTA, or Transit Development Corporation endorsement of a particular product, Association and it receives the full cooperation and support of the method, or practice. It is expected that those reproducing the material in this document for Federal Highway Administration, United States Department of educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission Transportation. from CRP. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Board's recognized objectivity and understanding of NOTICE modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which The project that is the subject of this report was a part of the National Cooperative Highway Research Program, conducted by the Transportation Research Board with the approval of authorities on any highway transportation subject may be drawn; it the Governing Board of the National Research Council. possesses avenues of communications and cooperation with federal, The members of the technical panel selected to monitor this project and to review this state and local governmental agencies, universities, and industry; its report were chosen for their special competencies and with regard for appropriate balance. relationship to the National Research Council is an insurance of The report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved objectivity; it maintains a full-time research correlation staff of by the Governing Board of the National Research Council. specialists in highway transportation matters to bring the findings of The opinions and conclusions expressed or implied in this report are those of the research directly to those who are in a position to use them. researchers who performed the research and are not necessarily those of the Transportation The program is developed on the basis of research needs identified Research Board, the National Research Council, or the program sponsors. by chief administrators of the highway and transportation departments The Transportation Research Board of the National Academies, the National Research and by committees of AASHTO. Each year, specific areas of research Council, and the sponsors of the National Cooperative Highway Research Program do not needs to be included in the program are proposed to the National endorse products or manufacturers. Trade or manufacturers' names appear herein solely because they are considered essential to the object of the report. Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement rather than to substitute for or duplicate other highway research programs. Published reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from: Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet at: http://www.national-academies.org/trb/bookstore Printed in the United States of America
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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. On the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, on its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy's purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transporta- tion Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board's varied activities annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individu- als interested in the development of transportation. www.TRB.org www.national-academies.org
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COOPERATIVE RESEARCH PROGRAMS CRP STAFF FOR NCHRP REPORT 695 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs Edward T. Harrigan, Senior Program Officer Melanie Adcock, Senior Program Assistant Eileen P. Delaney, Director of Publications Natalie Barnes, Editor NCHRP PROJECT 08-55A PANEL Field of Transportation Planning--Area of Forecasting Susan Marlow, Smart Data Strategies, Franklin, TN (Chair) Gary C. Fawver, Pennsylvania DOT, Harrisburg, PA Gerald L. Gallinger, Olympia, WA Kevin F. Leonard, Minnesota DOT, St. Paul, MN Cindy L. Smith, Idaho Transportation Department, Boise, ID John W. Strahan, Topeka, KS Mark S. Turner, California DOT, Sacramento, CA Mark J. Sarmiento, Federal Highway Administration Liaison Kathy Facer, Federal Highway Administration Liaison Thomas Palmerlee, TRB Liaison
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FOREWORD By Edward T. Harrigan Staff Officer Transportation Research Board This report presents a guide for implementing a geospatially enabled enterprise-wide information management system for right-of-way offices and includes a logical model to assist with this implementation. The report will be of immediate interest to staff in state highway agencies responsible for the acquisition, management, and disposition of real estate for right-of-way. Right-of-way (ROW) issues commonly cause project delay and increased costs. While many state departments of transportation (DOTs) use technology such as computer-aided drafting and design to draft ROW plans, the approved final plans are often manually recorded and filed on paper or Mylar. Posting and storing such data by hand is obsolete, inefficient, and unresponsive to the demands of modern project management, preventing multiple users from conveniently accessing real-time ROW information and resulting in undue delay and cost overruns. Moreover, paper and Mylar records are more vulnerable to damage or destruction by fire, flooding, or other catastrophic events. Manually recorded ROW information includes agency ownership, appraisal information, acquisition status, and property management functions that are important for addressing real estate issues, utilities, environmental permitting and mitigation, access management, maintenance, and programming. Electronic management of this information improves the coordination and consistency of data, leading to reduced project delivery delays caused by ROW acquisition. In addition, the ability to retrieve these data electronically provides fast, convenient, and consistent access to all users, reducing the time and expense needed to ship documents, eliminating repetitive entries, minimizing data entry errors caused by multiple formats, and ultimately saving money for DOTs. Electronic management of real estate infor- mation can improve coordination with local jurisdictions and provide appropriate data to the public on DOT ownership of property. The automation of ROW functions and development of data-integration models using existing technology, including geospatial applications (generally referred to as geographic information systems or GIS), are needed to enable multiple users to access the ROW infor- mation quickly and easily. The first step in this automation process was accomplished in NCHRP Project 8-55, "Integrating Geospatial Technologies into the Right-of-Way Data-Management Process," completed in 2006.1 NCHRP Project 8-55 identified the data elements needed to support the automation of ROW functions into a fully operational system that integrates GIS technologies into the ROW process. 1 NCHRP Research Results Digest 310: Integrating Geospatial Technologies into the Right-of-Way Data-Management Process, Transportation Research Board of the National Academies, Washington, DC, December 2006.
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The next step in the process of automating ROW functions was accomplished in NCHRP Project 8-55A, "Developing a Logical Model for a Geo-Spatial Right-Of-Way Land Man- agement System" and is reported herein. The objectives of this research were to (1) develop an enterprise-level logical model for a prototypical GIS-enabled, ROW land management system for state DOTs and (2) demonstrate how the logical model could be linked with DOT enterprise systems now in use to assist with the model's implementation within the enterprise system. The project was carried out by the Virginia Polytechnic Institute and State University, Alexandria, Virginia. The research led to the following key products: (1) a comprehensive annotated bibliography of literature about use of geospatial and innovative information systems to include enterprise- level systems used in state transportation agencies; (2) a logical model for a geospatially enabled enterprise-wide information management system for right-of-way offices developed using Sparx Systems Enterprise Architect and an accompanying implementation guide; (3) case studies demonstrating how the logical model might be integrated into the enterprise systems of several state DOTs; and (4) two executive summaries, the first of which is focused on the current state of the practice and is designed to answer "what's in it for me (my agency)?" while the second is focused on implementing an information system and answers "what does the ROW office need to ensure the implementation is successful?" This report presents the guide for implementing the logical model; the accompanying CD-ROM presents the logical model and a guide for its use. The annotated bibliography and executive summaries are available on the NCHRP Report 695 summary web page (www.trb.org/ Main/Blurbs/165239.aspx). The project final report, which fully documents the research, may be downloaded from the NCHRP Project 8-55A web page (http://apps.trb.org/cmsfeed/ TRBNetProjectDisplay.asp?ProjectID=2326).
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CONTENTS 1 Summary 4 Chapter I Introduction 4 The Importance of a Right-of-Way Information Management System 5 Public Law 91-646 as Amended (Uniform Act) 5 NCHRP Project to Develop a Logical Model 6 Moving to a Geospatially Enabled Enterprise-wide Right-of-Way Information Management System 9 Implementing Geospatial Enablement 10 How to Use This Implementation Guide 11 Organization of the Implementation Guide 13 Chapter II Building Support 13 Recruiting a Champion 13 Obtaining Leadership, Stewardship, and Management Support 14 Appointing the Working Group 14 Linking to Agency Performance Measures and Goals 15 Researching Related Efforts 17 Chapter III Assessing Your Requirements 17 Partners and Defining the Enterprise 19 Establishing Requirements 19 Use Cases 19 Business Processes 20 Best Practices to Be Incorporated 20 Legal and Regulatory Requirements and Issues That Must Be Addressed 23 Chapter IV Assessing Your Capabilities 23 Current Right-of-Way Applications 24 Existing Database Structure 24 Existing Geospatial Capabilities 24 Other Information and/or Decision Support Systems 25 Current Information Technology Policies 26 Chapter V Defining the System 26 Role of Workflow Management 26 Technical Architecture (Type of System) 28 Starting Point 29 Data Structure 29 Geospatial Capabilities 30 Document Management 31 Reporting
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32 Chapter VI Developing an Implementation Plan 32 Phasing Options 33 Feasibility 33 Implementation Timeline and Milestones 35 Chapter VII Implementation 35 Requirements 35 Resources 36 Detailed Design 36 Test Plan 36 Procedures for Configuration Management--Versioning 37 Software Development 37 Training Plan 38 Training 39 References 40 Acronyms and Abbreviations 41 Terminology 41 Standard Terminology from Uniform Act 43 Additional or Alternative Terminology 48 Appendices Note: Many of the photographs, figures, and tables in this report have been converted from color to grayscale for printing. The electronic version of the report (posted on the Web at www.trb.org) retains the color versions.