Identification of Utility Conflicts and Solutions (2012)

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126 A p p e n d i x C introduction The logical data model consists of approximately 115 entities and numerous relationships. The data model includes six subject areas, one for each core data object in the conceptual model, as follows: • Utility conflict subject area; • Utility facility subject area; • Utility agreement subject area; • Project subject area; • Document subject area; and • User subject area. A description of each subject area follows. Utility Conflict Subject Area The purpose of the utility conflict subject area is to track data about utility conflicts. Table C.1 lists the entities included in this subject area. The main entity is UTILITY CONFLICT. This entity includes a description, conflict location in terms of start and end stations and offsets, and an alternative loca- tion description if needed. UTILITY CONFLICT also refer- ences conflict type and project number. UTILITY CONFLICT TYPE provides four types of utility conflicts that can be asso- ciated with a utility conflict (Table C.2). UTILITY CONFLICT EVENT enables tracking of certain changes or events associated with a utility conflict. Table C.3 lists the valid utility conflict event types in the data model. RIGHT OF WAY PARCEL provides a listing of right-of-way parcels that must be acquired as part of a DOT transportation project. In the context of this data model, the listing enables the identification of right-of-way parcels that are associated with the management of individual utility conflicts. Utility facilities are referenced in UTILITY CONFLICT by using UTILITY FACILITY ID as a foreign key. This construct allows a utility conflict to be associated with only one utility facility (although a utility facility could be associated with mul- tiple utility conflicts, which could be useful for long-term data management). Depending on how a DOT defines a utility con- flict, it may be possible to associate a utility conflict with mul- tiple utility facilities (if so, it would be necessary to replace the current relationship between UTILITY CONFLICT and UTIL- ITY FACILITY with an associative entity). However, testing of the prototype database indicated that managing utility con- flicts in the database, in particular contractual documents such as utility agreements, is much more difficult if a utility conflict is allowed to be related to multiple utility facilities. Interviews with stakeholders also confirmed that state DOTs prefer to associate a utility conflict with only one utility facility. UTILITY CONFLICT EVENT DOCUMENT TYPE pro- vides a mapping between a UTILITY CONFLICT EVENT and a DOCUMENT TYPE. Its purpose is to identify the type of document associated with certain utility conflict events. For example, it would enable a user to confirm that a utility conflict event of the type “document received” is associated with a work authorization document. UTILITY CONFLICT RESOLUTION STRATEGY TYPE provides a listing of strategies to resolve a utility conflict (Table C.4). UTILITY CONFLICT ADJUSTMENT COST stores cost amounts associated with a utility conflict event. UTILITY CONFLICT ADJUSTMENT COST TYPE provides a charac- terization about the kind of utility conflict relocation cost that is associated with a utility conflict event. UAP EXCEPTION documents whether a utility conflict is subject to an exception to the state’s utility accommodation policy. It also documents any related amounts, dates, com- ments, and indication of approval. The type of exception is tracked in UAP EXCEPTION TYPE. UTILITY CONFLICT ASSIGNMENT links UTILITY CON- FLICT and SYSTEM USER. Its purpose is to link a system user to a utility conflict along with a role, such as utility coordinator or project manager. Logical Data Model Subject Areas

127 Table C.1. Utility Conflict Subject Area Entity Definitions Name Definition COMMENT A COMMENT is miscellaneous information that provides extra detail or description for an event. MEETING A MEETING is a gathering of people for the purpose of discussing a typically predetermined topic. RIGHT OF WAY PARCELa A RIGHT OF WAY PARCEL is a parcel that must be acquired as part of a DOT project. SURFACE TYPE A SURFACE TYPE is a category that describes a kind of manmade or natural ground surface. Examples of a SURFACE TYPE are asphalt, concrete, or natural ground. TEST HOLE UTILITY FACILITY A TEST HOLE UTILITY FACILITY is a mapping that represents the many-to-many relationship between a TEST HOLE and a UTILITY FACILITY. TEST HOLE UTILITY FACILITY enables the identification of UTILITY FACILITIES associated with a TEST HOLE and the identification of TEST HOLES associated with a UTILITY FACILITY. UAP EXCEPTION A UAP EXCEPTION is an exception to the state’s utility accommodation policy. UAP EXCEPTION TYPE A UAP EXCEPTION TYPE is a category that describes a certain kind of UAP EXCEPTION. UTILITY CONFLICT A UTILITY CONFLICT is an instance in which a utility facility is noncompliant with the DOT’s utility accommodation policies, is noncompliant with safety regulations, is in conflict with a proposed transportation project feature, or is in conflict with another utility facility. A UTILITY CONFLICT can be resolved by using an appropriate measure such as modifying the proposed transportation design, relocating the utility facility, abandoning the facility in-place, protecting the facility in-place, or granting an exception to the state’s utility accommodation policies or safety regulations. UTILITY CONFLICT ADJUSTMENT COST A UTILITY CONFLICT ADJUSTMENT COST is the amount that a utility owner estimates will be needed to remove a utility conflict by adjusting the utility facility. UTILITY CONFLICT ADJUSTMENT COST TYPE A UTILITY CONFLICT ADJUSTMENT COST TYPE is a characterization of a UTILITY CONFLICT ADJUSTMENT COST. UTILITY CONFLICT ASSIGNMENT A UTILITY CONFLICT ASSIGNMENT is the designation of a person to a UTILITY CONFLICT for a specific purpose, such as responsibility for managing and resolving the conflict. UTILITY CONFLICT EVENT A UTILITY CONFLICT EVENT is the occurrence of a change to a UTILITY CONFLICT. UTILITY CONFLICT EVENT DOCUMENT TYPE A UTILITY CONFLICT EVENT DOCUMENT TYPE is a mapping that represents the many-to-many relationship between a UTILITY CONFLICT EVENT and a DOCUMENT TYPE. UTILITY CONFLICT EVENT DOCUMENT TYPE enables the identification of UTILITY CONFLICT EVENTS associated with a DOCUMENT TYPE and the identification of DOCUMENT TYPES associated with a UTILITY CONFLICT EVENT. UTILITY CONFLICT EVENT TYPE A UTILITY CONFLICT EVENT TYPE is a category that describes a certain kind of UTILITY CONFLICT EVENT. UTILITY CONFLICT INVESTIGATION NEED TYPE A UTILITY CONFLICT INVESTIGATION NEED TYPE is a characterization of the kind of investigation that is needed for a UTILITY CONFLICT. Examples of a UTILITY CONFLICT INVESTIGATION NEED TYPE include subsurface utility engineering (SUE) Level A (test hole), SUE Level B, SUE Level C, SUE Level D, manhole, and no investigation needed. UTILITY CONFLICT LOCATION TYPE A UTILITY CONFLICT LOCATION TYPE is a characterization of the location of a utility conflict relative to the surface of the earth. Valid values for a UTILITY CONFLICT LOCATION TYPE are overhead (aboveground) and underground. UTILITY CONFLICT RESOLUTION ALTERNATIVE A UTILITY CONFLICT RESOLUTION ALTERNATIVE is an option to resolve a utility conflict. Typically, there are multiple resolution alternatives for each utility conflict, which may or may not be feasible. UTILITY CONFLICT RESOLUTION ALTERNATIVE DECISION A UTILITY CONFLICT RESOLUTION ALTERNATIVE DECISION is an option for a determination on how to proceed with one of multiple alternatives for the resolution of a utility conflict. Examples of a UTILITY CONFLICT RESOLUTION ALTERNATIVE DECISION are rejected, under review, and selected. UTILITY CONFLICT RESOLUTION ALTERNATIVE RESPONSIBILITY A UTILITY CONFLICT RESOLUTION ALTERNATIVE RESPONSIBILITY is a description of the party that is responsible for resolving a utility conflict. Examples of a UTILITY CONFLICT RESOLUTION ALTERNA- TIVE RESPONSIBILITY are DOT, utility owner, utility owner and DOT, and undetermined. UTILITY CONFLICT RESOLUTION STRATEGY TYPE A UTILITY CONFLICT RESOLUTION STRATEGY TYPE is an option to resolve a utility conflict. Examples include design change, utility adjustment, and UAP exception. UTILITY CONFLICT SUBTYPE A UTILITY CONFLICT SUBTYPE is a characterization that further describes a kind of UTILITY CONFLICT TYPE. Examples of a UTILITY CONFLICT SUBTYPE are finish grade, pathway, and excavation. UTILITY CONFLICT TYPE A UTILITY CONFLICT TYPE is a characterization that describes a kind of UTILITY CONFLICT. Examples of a UTILITY CONFLICT TYPE are project feature conflict and utility regulation conflict. UTILITY INVESTIGATION TEST HOLE A UTILITY INVESTIGATION TEST HOLE is a small opening in the ground, typically using a vacuum excavation technique, for the purpose of determining the exact vertical and horizontal position of a buried utility facility. a The data model uses the term RIGHT OF WAY without hyphens to facilitate the automated conversion of spaces in the logical data model to underscores in the physical data model.

128 Table C.2. Utility Conflict Types ID Name 0 Conflict with roadway project features 1 Conflict with another utility feature 2 Conflict with utility regulations or standards 3 Conflict with safety regulations 4 Conflict with transportation construction or phasing Table C.3. Utility Conflict Event Types ID Name 0 Utility conflict identified 1 Comment created 2 Utility owner informed of utility conflict 3 Utility conflict resolved 4 Utility owner acknowledges receipt of document 5 Document requested 6 Document sent 7 Document received 8 Document reviewed 9 Document certified 10 Document approved 11 Document uploaded 12 Document review, comment, and approval 13 Utility coordination meeting 14 ROW cleared for adjustment 15 Required adjustment completion 16 Estimated adjustment completion 17 Scheduled adjustment completion 18 Notice to proceed to utility owner 19 Adjustment construction start 20 Adjustment construction end 21 Permit application 22 Permit approved 23 Exception requested 24 Exception approved 25 Plans sufficient sent to utility owner 26 30-day notice submitted 27 90-day notice submitted 28 Utility conflict resolution strategy selected 29 Utility relocation under construction 30 Utility conflict archived Note: ROW = Right-of-way. Utility Facility Subject Area The utility facility subject area contains entities that provide information about utility facilities involved in utility con- flicts. Table C.5 lists the entities included in this subject area. The core entity is UTILITY FACILITY. This entity contains information about utility facilities such as description, size, age, depth, facility type, operation type (public or private), material, and location type (underground or aboveground). The data model includes several look-up tables, including UTILITY FACILITY TYPE, UTILITY FACILITY OPERA- TION TYPE, UTILITY FACILITY MATERIAL, and UTILITY FACILITY LOCATION TYPE. UTILITY FACILITY OFFSET describes the location of a facility in relation to the transportation project in terms of start and end stations and offsets. It also includes offset ref- erence types such as centerline, edge of pavement, or edge of curb. It is worth noting that the list of entities in Table C.5 over- simplifies the number and variety of entities that would be necessary to develop and maintain a robust inventory of util- ity facilities within the right-of-way and provides only the minimum level of functionality needed to track utility con- flicts and produce utility conflict matrix (UCM) reports. As such, these entities are placeholders. More sophisticated util- ity data models are available, such as the utility facility model developed by members of the research team as part of a previ- ous research initiative in Texas, which provides spatial and data resolution at the individual utility facility level (e.g., water valve, sanitary sewer manhole, and communication cabinet). These data models contain a large number of enti- ties, which, for simplicity, were not included in this report. In any case, the relational structure of the utility conflict data- base prototype is such that, if needed, it should be possible to replace the utility facility subject area with entities from an existing utility inventory system. Table C.4. Utility Conflict Resolution Strategy Types ID Name Acronym 0 Unknown U 1 Relocation before construction RB 2 Relocation during construction RD 3 Abandon in-place A 4 Protect in-place P 5 Exception to policy E 6 Design change DC 7 No conflict NC

129 Utility Agreement Subject Area The utility agreement subject area includes entities that pro- vide information about utility agreements, associated docu- mentation, and the cost reimbursement process. Table C.6 lists the entities in this subject area. The core entity is UTIL- ITY AGREEMENT. Its purpose is to store information about the utility agreement between a DOT and a utility owner. It includes a flag for payment authorization and documents the contracting procedure type, reimbursement approach, utility relocation type, and the document set. The primary key of UTILITY AGREEMENT is UA ID. For convenience, UTIL- ITY AGREEMENT also includes an alternate key (UA ALTER- NATE NUMBER) to enable utility agreement identifications different from the default identifier. ESTIMATE stores information about estimated utility relocation costs, including estimate amount, estimate date and type, betterment ratio number, and the phase of the project development process when the estimate was pre- pared. ESTIMATE enables the production of estimates at the utility conflict and utility agreement levels, depending on the business process a state DOT has in place. For exam- ple, many states produce an estimate per utility agreement, regardless of the number of utility conflicts included in the agreement. Other states produce separate estimates for each utility conflict. Table C.5. Utility Facility Subject Area Entity Definitions Name Definition ALIGNMENT REFERENCE An ALIGNMENT REFERENCE is a point or line that can be used to define a location in reference to the point or a position on the line. Examples of an ALIGNMENT REFERENCE are edge of pavement, baseline, right-of-way line, centerline, back of curb, survey hub, and reference point in driveway. HORIZONTAL SPATIAL REFERENCE A HORIZONTAL SPATIAL REFERENCE is a coordinate system that describes the horizontal location of a feature. Examples include NAD 1983 UTM Zone 12N, NAVD 1988, and GCS WGS 1984. UTILITY FACILITY A UTILITY FACILITY is a fixed structure or installation used by a utility owner for the purpose of transporting or delivering a utility. UTILITY FACILITY LOCATION TYPE A UTILITY FACILITY LOCATION TYPE is a characterization of the site where a UTILITY FACILITY is located. Examples of UTILITY FACILITY LOCATION TYPE include state right-of-way (permit), private easement, and franchise. UTILITY FACILITY MATERIAL A UTILITY FACILITY MATERIAL is the matter or substance that composes a UTILITY FACILITY. UTILITY FACILITY OFFSET A UTILITY FACILITY OFFSET is a description of the distance between a UTILITY FACILITY and a reference line such as edge of pavement or centerline. UTILITY FACILITY OPERATION TYPE A UTILITY FACILITY OPERATION TYPE is a characterization of whether the utility owner provides services for the public or for a private entity. UTILITY FACILITY SUBTYPE A UTILITY FACILITY SUBTYPE is a characterization of a kind of UTILITY FACILITY TYPE. Examples include electric distribution and electric transmission. UTILITY FACILITY TYPE A UTILITY FACILITY TYPE is a characterization of a kind of UTILITY FACILITY. Examples include water, gas, and communication. VERTICAL SPATIAL REFERENCE A VERTICAL SPATIAL REFERENCE is a coordinate system that describes the vertical location of a feature. Examples include NAD 1983 UTM Zone 12N, NAVD 1988, and GCS WGS 1984. ELIGIBILITY RATIO tracks the percentage of a utility relocation that is eligible for reimbursement—for example, in cases in which a portion of a utility facility is located on a private easement (and therefore is reimbursable) and the rest is located within the state right-of-way by permit (and there- fore is nonreimbursable). ELIGIBILITY RATIO TYPE docu- ments different ways to calculate eligibility based on the type and location of the utility. Related entities such as MEASUREMENT UNIT, ELIGIBILITY RATIO PROPERTY RIGHT OCCUPANCY, and PROPERTY RIGHT are used to determine eligibility ratios. ACCOUNTING METHOD lists accounting methods for utility relocation reimbursements, including category costs and unit costs. UTILITY BILL documents requests for reim- bursements (i.e., utility bills) and DOT payments to a utility. UTILITY BILL TYPE documents the type of bill, such as final bill (lump sum), incremental bill (actual cost), and final bill (actual cost). UTILITY BILL DATE stores important dates associated with a utility bill such as “bill receive date” and “DOT response date.” UTILITY BILL DATE TYPE provides information about the kind of date that is stored in UTILITY BILL DATE. Referencing the date type from a separate table instead of including numerous dates as fields in UTILITY AGREEMENT DATE avoids a large UTILITY AGREEMENT DATE table with columns for every type of date that may not be used in a state’s particular business process.

130 Table C.6. Utility Agreement Subject Area Entity Definitions Name Definition ACCOUNTING METHOD An ACCOUNTING METHOD is a process that accounts for costs incurred during the adjustment of a utility facility, such as the category cost approach or the unit cost approach. COMPOSITE ELIGIBILITY RATIO A COMPOSITE ELIGIBILITY RATIO is a percentage that describes the relative amount of multiple estimated utility adjustment cost that is eligible for reimbursement by the state. A COMPOSITE ELIGIBILITY RATIO is calculated by dividing the sum of the eligible costs of the adjustments by the sum of the costs of the adjustments. ELIGIBILITY RATIO An ELIGIBILITY RATIO is a percentage that describes the relative amount of an estimated utility adjustment cost that is eligible for reimbursement by the state. ELIGIBILITY RATIO PROPERTY RIGHT OCCUPANCY An ELIGIBILITY RATIO PROPERTY RIGHT OCCUPANCY is an association of an ELIGIBILITY RATIO with a PROPERTY RIGHT OCCUPANCY. The purpose of this association entity is to resolve a many-to-many relationship between the two entities. ELIGIBILITY RATIO TYPE An ELIGIBILITY RATIO TYPE is a category that describes a certain kind of ELIGIBILITY RATIO. ESTIMATE An ESTIMATE is an approximation of costs for a utility adjustment that a utility provides to a DOT that is part of a UTILITY AGREEMENT in the form of an attachment. ESTIMATE TYPE An ESTIMATE TYPE is a characterization of an ESTIMATE. Examples of an ESTIMATE TYPE are utility adjustment cost and engineering cost. MEASUREMENT UNIT A MEASUREMENT UNIT is an agreed-upon standard for expressing distance. PROJECT DEVELOPMENT PROCESS PHASE A PROJECT DEVELOPMENT PROCESS PHASE is a distinct period in time for the development of a typical highway project, including the phases planning and programming, preliminary design, design, construction, and postconstruction. PROPERTY RIGHT A PROPERTY RIGHT is an entity that provides information about the legal rights of a utility installation that allow it to occupy the land where it is installed. PROPERTY RIGHT CLASS A PROPERTY RIGHT CLASS is a definition of rights associated with a UTILITY FEATURE that provides the utility owner the legal right to occupy land with a utility installation. It is the highest level in the hierarchy of property rights. A PROPERTY RIGHT CLASS provides information about the underlying property rights that enable a utility owner to occupy land, for example, the property rights of a utility owner for a utility facility in a particular location on the state ROW. A PROPERTY RIGHT CLASS may have several types to distinguish the property right further. Examples of PROPERTY RIGHT CLASS include statutory, compensable interest, and encroachment. PROPERTY RIGHT SUBTYPE A PROPERTY RIGHT SUBTYPE is a subdivision of a PROPERTY RIGHT TYPE. Examples include private easement and public utility easement for the PROPERTY RIGHT TYPE easement. PROPERTY RIGHT TYPE A PROPERTY RIGHT TYPE is a subdivision of a PROPERTY RIGHT CLASS. A PROPERTY RIGHT TYPE may have several subtypes to distinguish the property right further. Examples include lease agreement, license agreement, and easement for the PROPERTY RIGHT CLASS compensable interest. UA CONTRACTING PROCEDURE TYPE A UA CONTRACTING PROCEDURE TYPE is a description of the work procedure used by a utility to adjust its facility that is part of a UTILITY AGREEMENT in the form of an attachment. UA UTILITY ADJUSTMENT TYPE A UA UTILITY ADJUSTMENT TYPE is a method a utility uses to relocate or remove its facility. An example is a contract, in which a utility uses the services of a contractor to relocate its facilities. UTILITY AGREEMENT A UTILITY AGREEMENT is a contract between a DOT and other agencies in connection with a utility adjustment. A UTILITY AGREEMENT usually consists of a UTILITY AGREEMENT contract form and several attachments, such as engineering estimate, design drawings, and special provisions. UTILITY AGREEMENT DATE A UTILITY AGREEMENT DATE is the day, month, and year of an event or milestone associated with a UTILITY AGREEMENT. (continued on next page)

131 Name Definition UTILITY AGREEMENT DATE TYPE A UTILITY AGREEMENT DATE TYPE is the characterization of a date or milestone that is associated with the process of completing and approving a UTILITY AGREEMENT. Examples of a UTILITY AGREEMENT DATE TYPE are agreement submittal date, agreement returned to utility for corrections date, and agreement approval or execution date. UTILITY AGREEMENT REIMBURSEMENT APPROACH A UTILITY AGREEMENT REIMBURSEMENT APPROACH is one of three allowable processes selected by a utility owner for reimbursement for costs incurred during the adjustment of a utility facility. The utility’s selection is recorded in an attachment that is part of a UTILITY AGREEMENT. UTILITY BILL A UTILITY BILL is a request for payment that a utility submits to a DOT. UTILITY BILL DATE A UTILITY BILL DATE is the day, month, and year of an event or milestone associated with a UTILITY BILL. UTILITY BILL DATE TYPE A UTILITY BILL DATE TYPE is a characterization of a date or milestone that is associ- ated with the process of receiving the request for a utility payment and completing the payment process. Examples of a UTILITY BILL DATE TYPE are billing received from utility date, billing sent to headquarters date, and utility paid in full date. UTILITY BILL TYPE A UTILITY BILL TYPE is a category that describes a certain kind of UTILITY BILL. Table C.6. Utility Agreement Subject Area Entity Definitions (continued) UTILITY AGREEMENT REIMBURSEMENT APPROACH describes the method by which a utility seeks to be reim- bursed for costs incurred by an eligible utility relocation, including actual cost method of reimbursement, lump sum method of reimbursement, and alternative method of reim- bursement. UA UTILITY ADJUSTMENT TYPE provides information on the method a utility owner uses to perform the relocation, including force account method and contract method. UA CONTRACTING PROCEDURE TYPE describes the procedure a utility owner uses to contract the work for the utility relocation. Examples of contracting procedures are open advertising/low bid, prequalified/low bid, existing con- tinuing contract, other approved procedure, and inclusion in the highway contract. project Subject Area The project subject area includes entities that provide informa- tion about the DOT transportation project. Table C.7 lists the entities included in this subject area. The core entity is DOT PROJECT, which stores project-related data such as project name, description, location, and project limits. The primary key of DOT PROJECT is DOT PROJECT NUMBER. As in the case of other subject areas (e.g., the utility facil- ity subject area), the list of entities in Table C.7 is an over- simplification of the entities that would be necessary to capture all data related to a transportation project. The enti- ties in Table C.7 provide only the minimum level of func- tionality needed to track utility conflicts and produce UCM reports. As such, they are placeholders. However, the relational structure of the utility conflict database prototype is such that, if needed, it should be possible to replace the project sub- ject area with entities from an existing project management information system. DOT PROJECT facilitates tracking of right-of-way proj- ects associated with a transportation project, which is useful if a state DOT tracks right-of-way costs separately from transportation design and construction costs. DOT PROJ- ECT provides a many-to-many connection between a trans- portation project and a right-of-way project. DOT PROJECT DATE enables the management of multi- ple dates that may be associated with a project, such as let- ting date, project authorization date, or right-of-way map approval date. DOT PROJECT DATE TYPE includes a list of available dates a DOT can track. HIGHWAY SYSTEM tracks the name, number, functional class, and status of a highway. HIGHWAY FUNCTIONAL CLASS lists all potential functional classes. HIGHWAY SYS- TEM STATUS provides a description of the highway status, such as planned, under construction, and existing. UTILITY ADJUSTMENT PROCEDURE describes the gen- eral process a state DOT uses to complete utility relocations. The different procedures are typically distinguished by the source of the project funding and the agency that is responsi- ble for the management of the utility accommodation and coordination activities. For example, a state DOT may have a different utility relocation procedure when federal funding is involved in the project, or the procedure may be different if a local public agency is responsible for the management of the utility relocation.

132 document Subject Area The document subject area includes entities that provide information about documents used in connection with other subject areas, including utility conflicts, projects, and utility agreements. Table C.8 lists the entities included in this subject area. The core entity is DOCUMENT, which is the represen- tation of a single logical document. The primary key of DOC- UMENT is DOCUMENT ID. Examples of a DOCUMENT are meeting attendance lists, construction plans, or utility agreements. The data model allows the association of documents to entities in other subject areas through associative entities. For example, the data model includes an associative entity called PROJECT DOCUMENT (which links DOCUMENT to PROJECT) to list all the documents developed in connection with a specific project. In the data model, a DOCUMENT is assumed to consist of a single file. In some cases, a user may wish to link multiple files; for example, if a user submits a report composed of chapters in separate physical files. The user can link these files by creating a DOCUMENT SET and marking all documents that are part of the set. Another example of a DOCUMENT SET is an agree- ment contract and all the attachments needed for a utility agree- ment. DOCUMENT DATE provides the mechanism to track specific dates used in connection with a DOCUMENT, which could be useful for legal or audit purposes. The data model provides two mechanisms for dealing with different types of documents: • Document type tables, such as LEGAL DOCUMENT, CAD DOCUMENT, IMAGERY DOCUMENT, and PLAN DOCUMENT, can be used to track certain types of docu- ments by using specific sets of attributes that are unique to those documents. While this construct facilitates custom- ization and can produce more compact databases, a down- side is additional complexity and difficulty to support what could be, in effect, a large number of document type tables. For illustration purposes, the research team included several document type tables and further expanded LEGAL DOCUMENT to several subtype tables, such as ENCUM- BRANCE DOCUMENT, PROPERTY DESCRIPTION, and LEASE AGREEMENT DOCUMENT. • DOCUMENT TYPE provides a simple mechanism for tracking different types of documents by using an attribute in DOCUMENT that points to a list of document types in DOCUMENT TYPE. This construct is simple to imple- ment and is easily scalable, but it does not handle attributes that only pertain to specific types of documents very effec- tively (the result can be a large number of attributes in the main document table that are only used sparingly depend- ing on the type of document). Despite its limitations, most electronic document management systems use this type of construct. Table C.7. Project Subject Area Entity Definitions Name Definition DOT PROJECT A DOT PROJECT is a transportation improvement project managed by a state DOT. DOT PROJECT DATE A DOT PROJECT DATE is the day, month, and year of an event or milestone associated with a DOT PROJECT. DOT PROJECT DATE TYPE A DOT PROJECT DATE TYPE is a characterization of a date or milestone of the project development process that is associated with a DOT PROJECT. Examples of a DOT PROJECT DATE TYPE are approved ROW map date, letting date, and DOT estimated construction cost date. HIGHWAY FUNCTIONAL CLASS A HIGHWAY FUNCTIONAL CLASS is the functional classification of the roadway section for a project. Examples of a HIGHWAY FUNCTIONAL CLASS are Interstate, other urban freeway or expressway, and rural principal arterial. HIGHWAY SYSTEM A HIGHWAY SYSTEM is a roadway that can be classified as a roadway that is maintained by a governmental unit such as a state or county. HIGHWAY SYSTEM STATUS A HIGHWAY SYSTEM STATUS is the state of a roadway, which can be either planned, under construction, or existing. MAINTENANCE SECTION A MAINTENANCE SECTION is an administrative unit of a DOT for the purpose of maintaining a portion of the highway system. PROJECT UTILITY ADJUSTMENT PROCEDURE A PROJECT UTILITY ADJUSTMENT PROCEDURE is an association of a PROJECT with a UTILITY ADJUSTMENT PROCEDURE. The purpose of this association entity is to resolve a many-to-many relationship between the two entities. UTILITY ADJUSTMENT PROCEDURE A UTILITY ADJUSTMENT PROCEDURE is a process for accomplishing the adjustment and accommodation of reimbursable and nonreimbursable utility facilities on a DOT project.

133 Table C.8. Document Subject Area Entity Definitions Name Definition AGREEMENT DOCUMENT An AGREEMENT DOCUMENT is a document that identifies the relationships, rights, and responsibilities between two or more parties. AGREEMENT DOCUMENT TYPE An AGREEMENT DOCUMENT TYPE is a word or phrase that characterizes an AGREEMENT DOCUMENT. Examples of agreement documents in use at TxDOT include federal project authorization and agreement, LPA agreement, and municipal maintenance agreement. CAD DOCUMENT A CAD DOCUMENT is a document in electronic format that represents entities graphically by using points, lines, or polygons generated in a CAD environment (e.g., MicroStation). CAD DOCUMENT CELL A CAD DOCUMENT CELL is the name of a CAD cell used in a CAD document. A CAD document could have zero, one, or many CAD DOCUMENT CELLs. CERTIFICATION DOCUMENT A CERTIFICATION DOCUMENT is a LEGAL DOCUMENT that provides certification that a given task is complete for a TxDOT highway improvement project. CERTIFICATION DOCUMENT TYPE A CERTIFICATION DOCUMENT TYPE is a word or phrase that characterizes a CERTIFICATION DOCUMENT. Examples of certification documents include appraisal report, LPA resolution, and negotiator report. CONVEYANCE DOCUMENT A CONVEYANCE DOCUMENT is a document that describes the rights and responsibilities of all the parties in a transaction that involves the transfer of property rights. CONVEYANCE TYPE A CONVEYANCE TYPE is a word or phrase that characterizes a CONVEYANCE DOCUMENT. Examples of a CONVEYANCE TYPE are standard deed, quitclaim deed, donation deed, agreed judgment, and judgment of court in absence of objection. DOCUMENT A DOCUMENT is a tangible product in printed or electronic form produced from, resulting from, or documenting a DOT project development process activity. A DOCUMENT can be indexed or catalogued in terms of business process operations or activities. Examples include forms, chapters, technical memoranda, invoices, and reports (provided the entire report is represented by a single file; otherwise the report would need to be represented using document sets). DOCUMENT DATE A DOCUMENT DATE is a specific point in time that relates to a DOCUMENT and is stored in the database for legal or audit purposes. DOCUMENT DATE TYPE A DOCUMENT DATE TYPE is a word or phrase that characterizes a DOCUMENT DATE. DOCUMENT ROLE A DOCUMENT ROLE is a role or function that an individual has with respect to a document. Examples of a DOCUMENT ROLE are reviewer and preparer. DOCUMENT SET A DOCUMENT SET is a collection of documents. Examples include PS&E plan sets, proposals, and reports (provided several documents, e.g., chapters in separate files, make up the report; if a report is in a single file, the report is considered a document, not a document set). DOCUMENT SET ITEM A DOCUMENT SET ITEM is a document that is part of a DOCUMENT SET. Examples include each of the chapters that make up a report (if each chapter is a separate document) and each of the plan documents that make up a PS&E plan set. DOCUMENT SET TYPE A DOCUMENT SET TYPE is a word or phrase that characterizes document sets with similar attributes and characteristics. Examples include utility agreements, utility agreement assemblies, change orders, PS&E assemblies, and plan sets. DOCUMENT SYSTEM USER ROLE A DOCUMENT SYSTEM USER ROLE is a mapping that represents the many-to-many relationships between a DOCUMENT, a SYSTEM USER, and a PROPERTY ROLE. DOCUMENT SYSTEM USER ROLE enables the identification of system users associated with a DOCUMENT and the PROPERTY ROLE of each SYSTEM USER. DOCUMENT SYSTEM USER ROLE can identify the parties of a legal document and their perspective roles. DOCUMENT TYPE A DOCUMENT TYPE is a word or phrase that characterizes a document with similar attributes and characteristics. Examples include plan document, imagery document, and easement document. EASEMENT DOCUMENT An EASEMENT DOCUMENT is a document that describes the right to use the real property of another for a specific purpose, mostly in connection with right-of-way needs. The two parties in an easement are the grantor and the grantee. ENCUMBRANCE DOCUMENT An ENCUMBRANCE DOCUMENT is a document that defines the right or interest in a property that is held by someone who is not the legal owner of the property. (continued on next page)

134 the user who made a change to a utility conflict and thus cre- ated a new UTILITY CONFLICT EVENT. The data model manages DOT users and external users in separate entities to enable the assignment of different privileges for each user group. DOT USER handles infor- mation about DOT users. COMPANY USER handles infor- mation about users who are not DOT employees. For security, the data model handles user profile data in sepa- rate entities (i.e., DOT USER PROFILE and COMPANY USER PROFILE). DOT OFFICE, DOT UNIT, and DOT UNIT TYPE charac- terize individual offices within a DOT. DOT OFFICE handles information about individual DOT offices (e.g., utility permit office), with DOT UNIT indicating the corresponding admin- istrative unit within the DOT (e.g., Houston), and DOT UNIT During Phase II of the research, the research team will dis- cuss the advantages and disadvantages of both approaches with stakeholders. User Subject Area The user subject area includes entities that provide infor- mation about users who need to interact with the database. Table C.9 lists the entities included in this subject area. The core entity is SYSTEM USER. In the data model, a SYSTEM USER could be a DOT USER or a COMPANY USER. The primary key of SYSTEM USER is SYSTEM USER ID. The data model uses SYSTEM USER to handle references to indi- vidual persons throughout the database. For example, in UTILITY CONFLICT EVENT, the SYSTEM USER ID tracks Name Definition ENCUMBRANCE DOCUMENT TYPE An ENCUMBRANCE DOCUMENT TYPE is a word or phrase that characterizes an ENCUMBRANCE DOCUMENT. Examples include control of access agreement document and height restriction document. IMAGERY DOCUMENT An IMAGERY DOCUMENT is a document that represents entities graphically using pixel structures. IMAGERY UNIT An IMAGERY UNIT is a measurement unit for an IMAGERY DOCUMENT that provides an indication of the image resolution level (or pixel size). Examples include feet, inches, meters, miles, and kilometers. LEASE AGREEMENT DOCUMENT A LEASE AGREEMENT DOCUMENT is a document that describes the temporary right to possess and use property (real or personal), usually in exchange for payment. The two parties in a lease are the lessor and the lessee (or tenant). LEGAL DOCUMENT A LEGAL DOCUMENT is a document that describes contractual rights and responsibilities. ORIENTATION An ORIENTATION is a compass reading, including north, east, south, and west. PLAN DOCUMENT A PLAN DOCUMENT is a document that contains one or more plan sheets. A PLAN DOCUMENT normally includes graphical elements that facilitate plan sheet printing for document submission purposes, such as title boxes, notes, and annotations. PLAT A PLAT is a map of a PARCEL. PROJECT DOCUMENT A PROJECT DOCUMENT is a mapping that represents the many-to-many relationship between a PROJECT and a DOCUMENT. PROJECT DOCUMENT enables the identification of DOCUMENTS associated with a PROJECT and the identification of PROJECTS associated with a DOCUMENT. PROPERTY DESCRIPTION A PROPERTY DESCRIPTION is a document that contains the necessary information to locate and survey a piece of property. A PROPERTY DESCRIPTION may include a metes and bounds description and a plat. PROPERTY DESCRIPTION TYPE A PROPERTY DESCRIPTION TYPE is a word or phrase that characterizes a PROPERTY DESCRIPTION. An example of a PROPERTY DESCRIPTION TYPE is metes and bounds. PROPERTY ROLE A PROPERTY ROLE is a role or function that an individual or an agency has with respect to a document that involves the transfer of property rights. Examples of a PROPERTY ROLE are grantor, grantee, lessor, lessee, appraiser, negotiator, and owner. ROW FORM A ROW FORM is a document in a standard format that a DOT uses for right-of-way purposes. SHEET GROUP A SHEET GROUP is a document category that facilitates plan document grouping. Examples of a SHEET GROUP are typical sections, estimate and quantity sheets, plan and profile, and traffic control plans. UTILITY CONFLICT EVENT DOCUMENT A UTILITY CONFLICT EVENT DOCUMENT is a mapping between a UTILITY CONFLICT EVENT and a DOCUMENT. Note: LPA = Local public agency. Table C.8. Document Subject Area Entity Definitions (continued)

135 DOT PROJECT SYSTEM USER enables a many-to-many relationship between SYSTEM USER and PROJECT so that a PROJECT can have multiple SYSTEM USERS and a SYS- TEM USER can be assigned to multiple PROJECTS. ROLE describes the specific function(s) a user can have in a par- ticular project. TYPE indicating whether a DOT UNIT is at the district or headquarters/division level (e.g., district). USER EVENT tracks changes to user data, including the date and time when the change occurred. USER EVENT TYPE lists USER EVENT types, including creation, modification, or deletion. Table C.9. User Subject Area Entity Definitions Name Definition COMPANY A COMPANY is any organization typically external to a DOT that performs a role in the project development process. COMPANY OFFICE A COMPANY OFFICE is an organizational subdivision of a COMPANY. An example of a COMPANY OFFICE is a local office of a statewide operating COMPANY. COMPANY USER A COMPANY USER is an employee of a COMPANY that is registered with the database authentication system. COUNTY A COUNTY is a political division within a STATE. DISTRICT A DISTRICT is an administrative division within a STATE defined by a DOT. DOT OFFICE A DOT OFFICE is an administrative unit within a DOT that has a specific responsibility in the project development process. DOT OFFICE TYPE A DOT OFFICE TYPE is a category of DOT OFFICE that defines its role in a state DOT’s business processes. DOT PROJECT SYSTEM USER A DOT PROJECT SYSTEM USER is a mapping that represents the many-to-many relationship between a DOT PROJECT and a SYSTEM USER. DOT PROJECT SYSTEM USER enables the identification of SYSTEM USERS associated with a PROJECT and the identification of PROJECTS associated with a SYSTEM USER. DOT UNIT A DOT UNIT is an organizational subdivision of a DOT. Examples of a DOT UNIT are construction division, planning division, and local districts. DOT UNIT TYPE A DOT UNIT TYPE is an organizational category for a DOT UNIT. Examples for DOT UNIT TYPE are DOT district and DOT division. DOT USER A DOT USER is a DOT employee who is registered with the database authentication system. ROLE A ROLE is a function a SYSTEM USER may perform for a specific project. Examples of a ROLE include project manager, surveyor, SUE provider, and utility coordinator. STATE A STATE is a political division within the United States. SYSTEM USER A SYSTEM USER is someone who has an account and the authority to use the database. The system allows two types of users: DOT USERS and COMPANY USERS. USER EVENT A USER EVENT is a creation or modification of a SYSTEM USER. USER EVENT TYPE A USER EVENT TYPE is a category that describes a certain kind of a USER EVENT transaction.