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Suggested Citation:"Chapter I - Introduction." National Academies of Sciences, Engineering, and Medicine. 2011. Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System for Transportation Agency Real Estate Offices. Washington, DC: The National Academies Press. doi: 10.17226/14504.
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Suggested Citation:"Chapter I - Introduction." National Academies of Sciences, Engineering, and Medicine. 2011. Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System for Transportation Agency Real Estate Offices. Washington, DC: The National Academies Press. doi: 10.17226/14504.
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Suggested Citation:"Chapter I - Introduction." National Academies of Sciences, Engineering, and Medicine. 2011. Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System for Transportation Agency Real Estate Offices. Washington, DC: The National Academies Press. doi: 10.17226/14504.
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Suggested Citation:"Chapter I - Introduction." National Academies of Sciences, Engineering, and Medicine. 2011. Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System for Transportation Agency Real Estate Offices. Washington, DC: The National Academies Press. doi: 10.17226/14504.
×
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Suggested Citation:"Chapter I - Introduction." National Academies of Sciences, Engineering, and Medicine. 2011. Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System for Transportation Agency Real Estate Offices. Washington, DC: The National Academies Press. doi: 10.17226/14504.
×
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Suggested Citation:"Chapter I - Introduction." National Academies of Sciences, Engineering, and Medicine. 2011. Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System for Transportation Agency Real Estate Offices. Washington, DC: The National Academies Press. doi: 10.17226/14504.
×
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Page 10
Suggested Citation:"Chapter I - Introduction." National Academies of Sciences, Engineering, and Medicine. 2011. Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System for Transportation Agency Real Estate Offices. Washington, DC: The National Academies Press. doi: 10.17226/14504.
×
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Page 11
Suggested Citation:"Chapter I - Introduction." National Academies of Sciences, Engineering, and Medicine. 2011. Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System for Transportation Agency Real Estate Offices. Washington, DC: The National Academies Press. doi: 10.17226/14504.
×
Page 11
Page 12
Suggested Citation:"Chapter I - Introduction." National Academies of Sciences, Engineering, and Medicine. 2011. Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System for Transportation Agency Real Estate Offices. Washington, DC: The National Academies Press. doi: 10.17226/14504.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

4This guide provides a strategy for state transportation agencies to implement or expand a system to manage the large amount of information and documents involved in the information-intense business of acquiring and managing property and relocating the affected people and businesses, specifically incorporating geospatial capabilities. Because every transportation agency is unique in how it performs the activities necessary to acquire real property as well as how it implements technology, this document does not provide a detailed implementation plan but rather establishes a generalized process, with specific guidance where appropriate, on how agencies could proceed using the logical model for a geospatially enabled, right-of-way (ROW) information management system that was developed under NCHRP 8-55A. The remainder of this chapter provides the background about how this document and the corresponding logical model came about and some underlying concepts that will assist with the implementation process. The Importance of a Right-of-Way Information Management System The acquisition and management of real property is a significant component of the costs and scheduling associated with transportation projects. Because of the depth and breadth of these activities and their corresponding requirements, electronic management of the information is critical to effectively performing the business of offices that are responsible for the purchase of real property (referred to as right-of-way offices through the remainder of this guide) and allocating the necessary resources to meet agency and project objectives. Electronic management of this information can improve the following: • Coordination and consistency of data, leading to reduced project delivery delays resulting during right-of-way acquisition • Access by appropriate users, reducing the time and expense needed to ship documents; elimi- nating repetitive data entry; minimizing data-entry errors caused by multiple formats; improv- ing resource allocation and ultimately saving money and time for transportation agencies • Coordination with local jurisdictions • Availability of appropriate data to those affected by the process and the general public While many state transportation agencies use technology such as computer-aided drafting and design (CADD) for preparing right-of-way plans, the final, approved, and as-built plans are often manually recorded and filed on paper or Mylar. Records of information and copies of documents associated with acquiring and managing property are kept in physical storage, which requires substantial space and time to retrieve. Posting and storing such data by hand is obsolete, inefficient, and unresponsive to the demands of modern project management, hindering multiple users from effectively accessing real-time right-of-way information and resulting in undue delay and C H A P T E R I Introduction

costs. Moreover, such hardcopy records are vulnerable to damage or destruction in the event of fire, flooding, or other catastrophic event. The automation of right-of-way functions and data access and integration using information technology, including geospatial applications, are needed to enable transportation agencies to meet their performance objectives under increasing pressure to optimize resources and improve accessibility of right-of-way information. Public Law 91-646 as Amended (Uniform Act) Protection of individual rights and ensuring fair and equitable treatment of businesses related to the acquisition of personal property for federal or federally assisted projects is covered under Public Law 91-646, The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended. Commonly called the Uniform Act, this law is codified primarily in 23 CFR 710 and is divided into three major sections or titles: • Title I contains the general provisions of the law and consists primarily of definitions. • Title II, “Uniform Relocation Assistance,” describes agency responsibilities to persons or businesses that are displaced. • Title III, “Uniform Real Property Acquisition Policy,” specifies agency requirements associated with obtaining real property. This guide and the accompanying logical model have been developed based on the requirements of the Uniform Act as described in the Federal Highway Administration’s Project Development Guide. (FHWA 2006) NCHRP Project to Develop a Logical Model In recognition of a desire to improve their ability to deliver land for transportation projects, state transportation agencies, through the NCHRP, established NCHRP Project 8-55, “Integrating Geospatial Technologies into the Right-of-Way Data-Management Process,” which identified data elements necessary to support the automation of right-of-way functions as the first step in the development of a fully operational information management system. (Hancock 2006a,b) That project was followed by NCHRP Project 8-55A, “Developing a Logical Model for a Geospatial Right-of-Way Land Management System,” which included the objective of developing an enterprise-level logical model for a prototypical geospatially enabled, right-of-way information management system. The research plan for NCHRP 8-55A included the following tasks: 1. Literature Review: (1) updated the literature review performed for NCHRP 8-55 with a lit- erature search of key features and attributes of a logical model for a prototypical geospatially enabled, right-of-way management system for state transportation agencies and (2) reviewed other initiatives that relate to this project. 2. Logical Model Outline: prepared outlines of the logical model for the right-of-way business areas of appraisal, acquisition, relocation, and property management. These outlines consist primarily of process flow diagrams, business process models, and use case models as mapped to the business process models. 3. Logical Model: prepared the logical model for a prototypical enterprise-level, geospatially enabled information management system for state transportation agencies for the right-of-way business areas of appraisal, acquisition, relocation, and property management based on the outline from Task 2. This task provided (1) enterprise-wide standardization guidelines for data elements that cross multiple activities to ensure interoperability with other agency systems, Introduction 5

(2) guidelines for use by state transportation agencies to adapt the model to their specific requirements, (3) guidance on how such a system would integrate and interact with other agency systems, (4) information about how this system integrates into the project delivery process, and (5) guidance on how this system would support state transportation agency performance measures and goals. This guidance consisted of refined use case models, domain models with sequence diagrams, collaboration diagrams, user interface models, class models (which capture data input and output), and component models. The guidance specified in this task was included in the implementation plan under Task 6. 4. Test Plan: prepared a test plan to test the validity, usefulness, and robustness of the logical models which were designed to determine (1) how features of the models integrate with existing geospatial systems and (2) how such a system might be implemented in states that do not presently use either geospatially enabled or right-of-way information management systems. 5. Tests: tested the logical models using three case studies. Based on the results of the case study analysis, the logical model was revised as necessary. 6. Implementation Plan: prepared generalized work plans for future implementation of the logical model in a state with (1) no enterprise-level, geospatially enabled right-of-way infor- mation management system, (2) an enterprise-level right-of-way information management system that is not geospatially enabled, and (3) a geospatially enabled system that has no or limited right-of-way components. To assist states with finding the guidance enumerated in Task 3, Table 1 lists the specific guidance objectives and the locations where those objectives are addressed. The resulting logical model, referred to as the 8-55A logical model in the remainder of this guide, is available to state agencies as a possible structure for use in building their own information system and is provided on the attached CD in standard Uniform Modeling Language (UML) format using the software Enterprise Architect developed by Sparx Systems. (Sparx 2007) Moving to a Geospatially Enabled Enterprise-wide Right-of-Way Information Management System Information management systems exist in a continuum of structures and technologies from written records and file cabinets to individual desktop spreadsheets to Internet/intranet-based work environments that seamlessly integrate with agency databases and other systems and tools as represented in Figure 2. Understanding where your agency operates within this continuum will provide the necessary basis for establishing where to start. 6 Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System Objective Description Location* 1 Establish enterprise-wide standardization for data elements to ensure interoperability with other agency systems Appendices p. 28 and C and D 2 Provide guidelines for use by state transportation agencies to adapt the model to their specific requirements 3 Provide guidance on how such a system would integrate and interact with other agency systems Appendix B Appendix B 4 Provide information about how this system integrates into the project delivery process Figure 4 and Appendix B 5 Provide guidance on how this system would support state transportation agency in meeting performance measures and goals p. 14 *Appendices are available on the accompanying CD-ROM and the NCHRP Report 695 summary web page (www.trb.org/Main/Blurbs/165239.aspx). Table 1. 8-55A Logical Model Objectives

At the same time, every transportation agency performs the business of acquiring real property according to its state laws and policies and, for projects including federal funding, federal laws and policies. The corresponding procedures and activities have evolved according to the unique requirements and characteristics of each state. As a result, how a right-of-way office manages its information will determine how it will proceed with the implementation process. Information Management Systems Although right-of-way offices that do not use any type of digital information management are almost nonexistent, many still have aspects that are nondigital such as maintaining hardcopies of documents and drawings, having to physically go to the courthouse to research tax and property records, or sending hardcopy payment requests through the mail. Moving from these more traditional activities to digital information systems requires reeducating staff not only in the technologies but also in the culture of working digitally. Many offices have developed localized information management tools and applications for a specific right-of-way activity. (Hancock 2006b) These activities range from maintaining spread- sheets to record and manage data about one or more activities to running macros in a geographic information system (GIS) that generate excess-property fact sheets for the public about purchase Introduction 7 Figure 2. Enterprise work environment.

opportunities. Migrating or reconfiguring these activities and data into an enterprise system may require linking them to the new system, reprogramming the application as part of the new system, or reentering legacy data into the new system. Several right-of-way offices have implemented systems that are built on corporate-level database systems. These systems have been designed to improve data input, management, and access and have increased efficiency. Early systems were built on mainframe, centralized computers that were difficult to modify and generally did not have desktop access. Over time, these systems have been migrated to more modern enterprise systems, described in the next section, which provide substantial flexibility and improved user access. As you approach implementing a new system or modifying an existing system, two funda- mental approaches are commonly used for developing an enterprise-level information man- agement system. The first approach follows on the previous paragraph and consists primarily of building data entry and management activities on an enterprise database system. This can be viewed as an electronic ledger system with various users entering their information into a series of linked data tables through user interfaces. This information is available to stakehold- ers and users, as specified within the system, either through graphic user interfaces (GUIs) or standard reporting capabilities that are part of the database system. This type of system is often designed using a detailed data architecture based on identifying attributes associated with right- of-way activities. The second approach uses an electronic work environment that assists users in performing their activities and often includes business rules and decision support modules. It is typically developed independent of any database system while providing access to databases and interacting with other systems, and often it includes reengineered business processes to take advantage of available technologies. This type of system is usually designed from business flow diagrams that are then expanded to business process models and corresponding class models that are then used to build the data architecture. Either approach can be designed to include Internet/intranet access, geospatial enablement or linkage to a GIS system, and the ability to seamlessly exchange infor- mation with other systems. The 8-55A logical model is an example of the latter approach while the comprehensive list of attributes provided in NCHRP 8-55 is an example of a first step to the former approach. (Hancock 2006a,b) Databases The term “enterprise database system,” as used in this guide, refers to a composite of (1) hardware—one or more servers, (2) a database software package—Oracle, Microsoft’s SQL Server, IBM’s Informix, or similar—that supports distributed computing and procedure devel- opment in standard .Net, Java or PL/SQL, and relational and object-oriented data management capabilities, and (3) agency data. During the first push to centralize digital data management in the mid-twentieth century, many transportation agencies built databases in mainframe computer systems. These databases typically were not scalable and had limited access, reporting, and search capabilities. Although some were able to migrate to desktop access using front-end applications in a client-server relationship, they were very limited and prescriptive in what could be done. As agencies have upgraded to current enterprise database systems, they have moved data into the new structure using methods that vary from directly importing the old data to new database tables to redesigning the different datasets to take advantage of enhanced capabilities of the enterprise environment. This migration usually depends on available resources and other constraints at the time of initial implementation. When a redesign occurred, porting data from the old system to the new system 8 Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System

could be problematic and, in some cases, was not practical, requiring a break between the new and old data. Even with the move to enterprise database systems, many datasets remain local to specific offices and personnel that are responsible for them. In part, this is the result of a need for data creators to maintain control of the data. It can also be a result of individual offices or personnel creating tools and datasets to make their work easier and not being aware that those tools and data may have broader uses or applicability. As technology has advanced, the ability to work in a distributed computing environment has enabled systems to access data from multiple sources and locations while allowing those data to remain under the control of the sourcing office. This is particularly important for data such as tax information, which is not sourced or managed by the transportation agency. Geographic Information Systems Every transportation agency makes use of some form of GIS and many agencies now maintain enterprise geospatial database systems. Use of GIS ranges from working directly with or using customized macros on GIS software such as Esri’s ArcGIS, Bentley’s Microstation, or Caliper’s TransCAD to working with applications that are built on GIS platforms, web-based geospatial tools and applications, applications that include geospatial capabilities, or some combination of these. This use can be as simple as reviewing geospatial characteristics on Google Maps, which only requires Internet access and simple intuitive interactions, or as complex as comprehensive transportation planning or environmental impact analyses, which may require detailed under- standing of GIS software and, in some cases, programming and system integration. Many transportation agencies have implemented enterprise GISs that support distributed computing. This capability usually includes agency-established standards for data structure and metadata—the data about the data layer including accuracy, coverage, and much more. (For a full discussion of geospatial metadata, see http://www.fgdc.gov/metadata.) When this type of GIS capability is available, core geospatial datasets, such as boundaries and street centerlines, are maintained outside the right-of-way office and have attributes that have been established and populated for other agency missions. Because parcel boundaries and their corresponding information are typically not part of these other missions, a comprehensive statewide parcel dataset is not typically part of the enterprise geospatial data. This is probably the biggest challenge to incorporating GIS into the right-of-way information management system. In agencies that do not yet have an enterprise GIS, a GIS office typically exists somewhere within the agency that supports one or more activity and may have geospatial layers that can be accessed or ported over for use by the right-of-way office. In this case, those layers may or may not have standardized structures and metadata. Additional work will probably be required to incorporate multiple layers of geospatial information that are not standardized. As with agencies that have enterprise systems, you will rarely find a parcel layer inside the agency. Even if you do not initially plan to include geospatial capabilities in your right-of-way system, it is probably worth the effort to include the architecture for a parcel layer and the necessary attributes for incorporation at a later stage of development. Appendix B includes a section on how this can be done. Implementing Geospatial Enablement Using geospatial information to inform everything from specifying where traffic is backed up to identifying the best place to locate a new highway has moved from the back offices of GIS specialists to anyone who has access to a computing device. Because the public has ready Introduction 9

access to high-resolution imagery of their houses, they are coming to expect public agencies to have the same capabilities and more as part of their business. Adding GIS to your right- of-way activities provides additional benefits to your information management system, for example: • Visualizing the status of parcels during the acquisition process. Maps are easier to understand and more intuitive than tables or lists as shown in Figure 3. • Identifying special factors to consider such as hazardous waste sites, historic districts, etc., by overlaying different datasets. • Visualizing the surrounding properties and features that could affect the take and valuation. • Reviewing the proposed alignment and affected properties for possible savings or problems. Because right-of-way offices are at varying stages in implementing an information management system and in using GIS, three specific scenarios were considered in NCHRP 8-55A for imple- menting a system: 1. An office does not have an information management system or wants to replace an existing one and include geospatial capabilities. 2. An office wants to geospatially enable an existing information management system. 3. An office does not have an information management system but has access to an agency enterprise GIS. This guide considers each of these scenarios and provides information where appropriate to assist you in building or expanding your system. The 8-55A logical model also supports all three of these scenarios and Appendix B explains how to use the model for the selected scenario. How to Use This Implementation Guide This guide provides a generalized process to implement a geospatially enabled information management system for state transportation right-of-way offices. Agencies can implement or enhance a system themselves or in partnership with the private sector. If desired, the 8-55A logical model can be used as a basis for a system following the guide on how to use the model in Appendix B. This implementation guide is organized to provide a rational process to help you achieve commitment, buy-in, and resources over time to achieve short- or long-range implementation 10 Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System (a) map (b) table Figure 3. Visual display of parcel information.

goals. Procedures are outlined that incorporate the unique characteristics of your agency, including the technical environment in which your agency operates and your agency’s plans to accommodate technological change. Important considerations for using the guide include the following: • Pay particular attention to getting started and achieving buy-in. This process includes gener- ating awareness and support in upper levels of the agency, enlisting a champion, obtaining funding, establishing a task force, and deciding whether the agency will develop the system on its own or in partnership with others. • Develop a clear understanding of the ultimate concept for the system. Different aspects to consider include defining the enterprise and identifying where in the process your agency is. • Understand requirements for bringing a new system into your agency and work with your information technology (IT) office to meet these requirements while also meeting your needs and goals. • Identify where your agency has evolved toward the ultimate concept, identify a path to develop and implement the desired concept, and set short-term and intermediate implementation goals. • Carefully consider the information on system design, development, implementation, operations, and maintenance, including use of best practices for life cycle management of systems and software. • Understand that content management is crucial to system success and that data and information must be properly managed over its life cycle. The most important thing to keep in mind is that this process is not linear. Throughout and particularly at the beginning, you will reassess, redefine, and restructure. This is an important aspect of successfully implementing any system based on current technology since a technology’s half-life is generally less than the time necessary to follow agency policies to implement that technology. The process for implementing an information management system has been well defined in the literature for general business applications (Marks and Bell 2006, Harmon and Anderson 2003) and for different activities within transportation agencies (Booz and Baker 2003, Zhang et al. 2002). Organization of the Implementation Guide The remainder of the guide is organized according to the activities summarized in Table 2, which provides a summary of generally accepted steps. The order of these steps and substeps is not prescriptive and should be performed according to the culture of the agency. Where applicable, the guide explains how the 8-55A logical model can be used or how it fits into the implementation process. At the end of the guide are a list of references that were explicitly cited in the guide and the appendices, a list of acronyms and abbreviations, and a list of standard terminology from FHWA’s Project Development Guide with some alternative terminology that was identified during NCHRP Project 8-55A. The following additional information is provided on the NCHRP Report 695 summary web page (www.trb.org/Main/Blurbs/165239.aspx): Appendix A: Two executive summaries designed to highlight why and how to implement a geospatially enabled information management system. Appendix B: A guide on how to use the 8-55A logical model, which includes a description of the model and guidance on how to use it as a starting point in your system development. Appendix C: UML diagram documentation of the complete 8-55A logical model. Appendix D: 8-55A logical model data model. Appendix E: Annotated bibliography of documents that could be helpful. Introduction 11

12 Guide for Implementing a Geospatially Enabled Enterprise-wide Information Management System Activity Steps Building Support: Chapter II 1 Recruit a champion 2 Obtain leadership, stewardship, management support 3 Appoint an initial working group 4 Establish linkage to agency performance measures and goals 5 Research related efforts (internal and external) Assessing Your Requirements: Chapter III 1 Define your enterprise 2 Identify needs 3 Identify use cases 4 Review business processes 5 Evaluate best practices for incorporation 6 Review legal and regulatory requirements Assessing Your Capabilities: Chapter IV 1 Assess existing right-of-way systems 2 Identify existing database structure(s) 3 Identify existing geospatial capabilities (GIS tools) 4 Identify related existing information systems 5 Assess current policies for IT deployment Defining the System: Chapter V 1 Define type of system 2 Determine a starting point 3 Define data structure 4 Define geospatial capabilities 5 Define document management 6 Define reporting requirements 7 Define links to other systems Developing an Implementation Plan: Chapter VI 1 Identify phasing options 2 Evaluate feasibility 3 Develop timelines with milestones Implementation: Chapter VII 1 Confirm/revise requirements 2 Secure resources 3 Develop detailed design 4 Develop test plan 5 Establish procedures for configuration management — Versioning 6 Develop software 7 Develop training plan 8 Train users Table 2. Summary of implementation process.

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TRB’s 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 provides guidance for right-of-way offices in implementing a geospatially enabled enterprise-wide information management system and includes a logical model to assist with this implementation.

NCHRP Reort 695 presents the guide for implementing the logical model; a CD-ROM, included with the print version of the report, presents the logical model and a guide for its use. The annotated bibliography and executive summaries are available online.

The contractor's final report, which documents the research related to development of NCHRP Report 695, may be downloaded from the NCHRP Project 8-55A web page.

The CD-ROM is also available for download from TRB’s website as an ISO image. Links to the ISO image and instructions for burning a CD-ROM from an ISO image are provided below.

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CD-ROM Disclaimer - This software is offered as is, without warranty or promise of support of any kind either expressed or implied. Under no circumstance will the National Academy of Sciences or the Transportation Research Board (collectively “TRB’) be liable for any loss or damage caused by the installation or operation of this product. TRB makes no representation or warranty of any kind, expressed or implied, in fact or in law, including without limitation, the warranty of merchantability or the warranty of fitness for a particular purpose, and shall not in any case be liable for any consequential or special damages.

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