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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
OCR for page R2
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.
