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Successful Practices in GIS-Based Asset Management (2015)

Chapter: Annex B - Implementation Guide

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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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Suggested Citation:"Annex B - Implementation Guide." National Academies of Sciences, Engineering, and Medicine. 2015. Successful Practices in GIS-Based Asset Management. Washington, DC: The National Academies Press. doi: 10.17226/22194.
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39 a n n e x b Implementation Guide

Capitalizing on GIS and Asset Management NCHRP Project 08-87 Successful Prac ces in GIS-Based Asset Management Implementa on Guide

| P a g eii Contents 1. Introducon ................................................................................................................................. 1 Purpose of This Guide .................................................................................................................. 1 Guide Organizaon ...................................................................................................................... 1 Definions .................................................................................................................................... 2 Seng the Context—the Pracce of TAM................................................................................... 4 TAM+GIS: Using GIS for More Effecve Transportaon Asset Management ............................. 5 2. Assessing Your Agency’s Capabilies........................................................................................... 7 Levels of GIS Implementaon for TAM....................................................................................... 7 GIS Capabilies by TAM Business Process.................................................................................. Understand the State of the Assets............................................................................................. 8 8 Assess and Manage Risks .................................................................................................................... 11 Idenfy Needs and Work Candidates ................................................................................................. 14 Develop Programs ............................................................................................................................... 18 Manage and Track Work ..................................................................................................................... 21 Taking Stock .............................................................................................................................. 24 Assessing the Agency’s GIS Foundaon ................................................................................... 25 Using the Assessment Results: Developing an Overall Strategy .............................................. 28 For Agencies with a Relavely Weak GIS Foundaon ....................................................................... 28 For Agencies with a Relavely Strong GIS Foundaon ...................................................................... 29 3. Evaluang Iniaves for Advancing Capabilies ...................................................................... 30 Opons for Moving Forward .................................................................................................... 30 Building a Business Case for GIS/TAM Iniaves ..................................................................... 34 Step 1: Arculate the Business Need ................................................................................................. 35 Step 2: Define Opons for Meeng the Business Need .................................................................... 38 Step 3: Idenfy Costs for Each Opon ............................................................................................... 39 Step 4: Idenfy Benefits of Each Opon ............................................................................................ 40 Step 5: Idenfy Risks .......................................................................................................................... 46 Step 6: Put It All Together ................................................................................................................... 47 4. Geng It Done: Ingredients for Success .................................................................................. 51 The Seven Ingredients for Success ........................................................................................... 51 Ingredient 1: Management Commitment and Organizaonal Alignment ......................................... 52 Ingredient 2: GIS Tools and Experse .......................................................................................... ....... 54 Ingredient 3: Well-Defined and Proacve Data Stewardship ............................................................ 55 Ingredient 4: Accurate and Complete Foundaonal Geospaal Data ............................................... 56 Ingredient 5: Consistent Data Standards Enabling Spaal Data Integraon ..................................... 57 Ingredient 6: Management Systems Linked with GIS ........................................................................ 58 Ingredient 7: Coordinated Data Collecon Across the Agency .......................................................... 59 Case Studies .............................................................................................................................. 61 References .................................................................................................................................... 75 Appendix A: Applicaons Catalog ................................................................................................. 76 Appendix B: Resources ................................................................................................................. 85 GPS Data Collecon Standards ................................................................................................. 85 Geospaal Data Policies ........................................................................................................... 85

| P a g eiii List of Tables Table 1. GIS for Transportaon Asset Management: Levels of Implementaon ........................ 8 Table 2. Using GIS to Understand the State of the Assets ....................................................... 10 Table 3. Using GIS to Assess and Manage Risks ....................................................................... 13 Table 4. Using GIS to Idenfy Needs and Work Candidates ..................................................... 16 Table 5. Using GIS to Develop Programs .................................................................................. 20 Table 6. Using GIS to Manage and Track Work ........................................................................ 23 Table 7. GIS for TAM at an Agency: At-a-Glance Assessment .................................................. 25 Table 8. Checklist: GIS Foundaon ........................................................................................... 26 Table 9. GIS/TAM Iniaves ..................................................................................................... 31 Table 10. Value Added by GIS-TAM Capabilies ...................................................................... 43 List of Figures Figure 1. Guide Organizaon ....................................................................................................... 1 Figure 2. Transportaon Asset Management: Key Concepts ...................................................... 2 Figure 3. Key Elements of Geographic Informaon Systems ...................................................... 3 Figure 4. TAM Business Processes ..............................................................................................4 Figure 5. GIS Capabilies for Transportaon Asset Management .............................................. 6 Figure 6. Understanding State of the Assets—Implementaon Steps .................................... 11 Figure 7. Using GIS to Assess and Manage Risks—Sample Data Layers ................................... 14 Figure 8. Data Layers for Physical Assets (Locaon and Condion) ......................................... 17 Figure 9. Common Data Layers for Scoping and Priorizaon ................................................ 18 Figure 10. Quadrant View of GIS/TAM Capabilies ................................................................. 28 Figure 11. Building a Business Case for GIS/TAM Investment .................................................. 35 Figure 12. Ingredients for a Successful GIS/TAM Program ...................................................... 51 List of Maps Map 1. Understand the State of the Assets ................................................................................9 Map 2. Assess and Manage Risk .............................................................................................. .12 Map 3. Idenfy Needs and Work Candidates ........................................................................... 15 Map 4. Develop Programs ........................................................................................................ 19 Map 5. Manage and Track Work .............................................................................................. 22 Map 6. Provide Informaon About Proposed Projects ............................................................ 65 Map 7. Maryland SHA eGIS—Highway Lighng Inventory ....................................................... 69 Map 8. IDOT District 9—Deficient Structures by Program Year of Upgrade ........................... 72

1 | P a g e 1. Introduction Purpose of This Guide Transportaon agencies are responsible for maintaining and improving physical assets to ensure safe, efficient, and reliable travel. Planning and coordinang investments within and across different classes of assets is a complex endeavor involving mulple funconal areas within the agency. A geographic informaon system (GIS) provides a powerful set of capabilies to bring informaon together in a spaal context, enabling effecve and coordinated decision making. While GIS is now an integral part of the informaon landscape in most transportaon agencies, applicaons of GIS for managing assets are sll at an early stage of maturity. This guide idenfies opportunies for agencies to manage risks and increase efficiency and effecveness through integrang GIS into transportaon asset management (TAM) pracces. It provides a roadmap for agencies to use in assessing these opportunies and in undertaking iniaves to strengthen their capabilies. The guidance presented here can be tailored to organizaons with varying asset management programs and GIS environments. Guide Organization The guide organizaon is illustrated in Figure 1. It is structured to lead the user through a process of: (1) Assessing current agency capabilies for using GIS to enhance TAM processes; (2) Idenfying iniaves for advancing GIS implementaon for asset management, based on agency priories and a business case for specific GIS improvements; and (3) Moving forward with implementaon of iniaves, building on strategies for overcoming common barriers to progress. Figure 1. Guide Organizaon Secon 2—Capabilies provides overview of key processes for transportaon asset management and describes how GIS can add value within each process. It disnguishes three levels of capabilies— basic, intermediate, and advanced, and provides a framework for agencies to assess where they are and understand opportunies for advancing their pracces. Capabilies • What is possible, and where are we now? Iniaves • Where do we want to go and why? Implementaon • How do we get there?

2 | P a g e This secon contains several tools and templates that agencies can use to analyze and plan GIS capabilies. These are designated with the icon to the le, and include: Figure 6—Implementaon steps for adding new spaal asset data. Figure 7—List of spaal data layers that are of value for risk analysis. Figure 8 – List of spaal data layers that are of value for tracking the state of the assets. Figure 9—List of spaal data layers that are of value for scoping and priorizaon of asset maintenance and rehabilitaon work. Table 7—Worksheet for recording results for assessment of current use of GIS for TAM. Table 8—Checklist for assessing the agency’s basic GIS foundaon. Secon 3—Iniaves describes how to idenfy acons for furthering use of GIS in support of asset management, and to evaluate the business case for investments. It provides a framework for agencies to look at specific types of improvements and determine which are worth pursuing. Secon 4—Implementaon describes strategies for implemenng GIS for TAM. Agencies can use this secon to develop an implementaon plan for a longer-term iniave, or simply to learn about techniques for avoiding common pialls. Appendix A—the Applicaons Catalog provides specific examples of applicaons, cross-referenced to the capabilies in secon 2. Appendix B provides selected examples of geospaal data collecon standards and policies. Definitions Transportaon Asset Management, or TAM, refers to an agency’s processes for managing infrastructure assets throughout their life cycle to meet agency objecves. TAM is a holisc way of doing business that cuts across planning, programming, design, construcon, and maintenance and operaons funcons. Key concepts of an asset management approach are illustrated in Figure 2. Figure 2. Transportaon Asset Management: Key Concepts Transportation Asset Management Preserve Asset Value Optimize Use of Resources Provide Transparency for Decisions Strengthen Agency Accountability Identify and Manage Risks Data-Driven Processes to: • • • • • •

3 | P a g e Geographic Informaon System, or GIS, refers to capabilies for management, analysis, and presentaon of spaal informaon. Key elements of GIS implementaon include: Establishing geospaal data management standards and policies. Assembling hardware and soware necessary for collecng, managing, analyzing, and displaying spaal data. Building a geospaal data infrastructure—including base maps and linear referencing systems. Collecng, maintaining, and managing spaally-referenced data Integrang spaally-referenced data from external sources Building and providing spaal analysis capabilies—both standalone and integrated with agency business applicaons Building and sustaining staff experse for working with geospaal data and specialized tools Key elements of GIS are illustrated in Figure 3. Figure 3. Key Elements of Geographic Informaon Systems Geographic Information Systems Spatial Data Standards & Policies Hardware, Software, & Training Spatial Queries & Analysis Spatial Data Integration Base Maps & Linear Referencing • • • • • • •

4 | P a g e Setting the Context—the Practice of TAM In order to explore how agencies can leverage GIS capabilies to support asset management, it is useful to establish the context of core business processes that are part of an asset management approach. While each agency may carry out these processes in different ways and to varying extents or use different terminology to describe them, five basic acvies of TAM can be disnguished, as illustrated in Figure 4 and summarized below: Figure 4. TAM Business Processes Understand the State of the Assets:• • Gathering asset inventory and condion data in order to understand what assets the agency owns, their locaon, current condion, remaining useful life, and economic value, and Assessing network-level asset performance against established targets. Assess and Manage Risks: Assessing risks and asset vulnerabilies—idenfying events or condions that can lead to failure of assets to adequately provide their intended funcons, Assessing the likelihood and consequences of asset failures, Establishing a risk tolerance level, Ulizing risk as a factor in asset rehabilitaon/replacement priority seng, and Developing risk migaon and recovery strategies.

5 | P a g e Idenfy Needs and Work Candidates: Idenfying strategies for opmizing performance of the transportaon system; Idenfying suitable maintenance, rehabilitaon, replacement, and funconal or operaonal improvements for assets and developing work candidates for consideraon; Scoping construcon projects and maintenance acvies to address mulple needs; and Understanding the current and potenal future backlog of work required to maintain assets in a state of good repair that keeps risks within established tolerance levels. Develop Programs: Planning mul-year investments that minimize lifecycle agency and user costs, Packaging projects and maintenance acvies into programs constrained by available funding, and Seng priories for work when there aren’t sufficient revenues to meet all idenfied needs through a process of investment versus performance tradeoffs within and across asset and program categories. Manage and Track Work: Scheduling and managing delivery of asset maintenance and rehabilitaon work to maximize use of available resources and minimize customer disrupon, and Tracking work accomplished to provide accountability for use of funds and build knowledge about asset life-cycle cost and performance. TAM is fundamentally a set of business processes that every transportaon agency is already doing to some extent. TAM is oen supported by several informaon technology (IT) systems, but implemenng TAM is not synonymous with building or buying an asset management system. Even if formal or automated processes are not set up for all of the five areas of TAM, agencies can sll consider augmenng GIS capabilies to support whatever processes are in place for TAM. There is no need to wait to implement a fully integrated asset management system, and there is no set required order of implementaon. It is also important to note that fully integrang GIS with TAM takes more than acquiring asset or maintenance management soware with GIS capabilies. If an agency does have asset management systems in place—or is considering acquiring one, they need to consider not only how to use the built-in GIS capabilies of these systems (for “in silo” analysis) but also how to make sure one can integrate the data from these systems for other purposes. The guidance that follows emphasizes a comprehensive approach to GIS/TAM integraon that goes beyond any single management system implementaon. TAM+GIS: Using GIS for More Effective Transportation Asset Management GIS provides three essenal ingredients that enable agencies to effecvely carry out the TAM processes outlined above: informaon integraon, analysis, and communicaon. Figure 5 illustrates how these three capabilies can be applied within an asset management context. Asset management is by nature data driven; using GIS maximizes the value of data for decision making across the organizaon. GIS capabilies help agencies understand what they own, what their needs are, and • • •

6 | P a g e how to best apply available resources to meet these needs in a holisc manner. The guidance that follows assists agencies to beer ulize the informaon integraon, analysis, and communicaon features of GIS to strengthen TAM pracce. Figure 5. GIS Capabili es for Transporta on Asset Management • Collect, assemble, and combine data needed for asset management, leveraging locaon referencing standards and spaal technologies. • Maximize use of the same data for mulple purposes— "collect it once, use it mulple mes." Informa on Integra on • Use spaal and temporal analysis capabilies to understand trends and relaonships that would be difficult to discern without a spaal view. • Gain insights that lead to beer decisions in support of agency goals and priories. Analysis • Create spaal data views that facilitate understanding of asset condions, risks, needs, and strategies. • Acvely use GIS to communicate informaon within the agency and with external stakeholders. Communica on

7 | P a g e 2. Assessing Your Agency’s Capabilities Levels of GIS Implementation for TAM There is no single “right way” to ulize GIS for asset management—each agency will want to assess the available opons based on its own parcular needs and constraints. However, it is useful to disnguish different levels of implementaon in recognion that there are some “basic” capabilies that need to be in place before an agency can move on to more advanced applicaons. Table 1 provides a generalized descripon of a simple model defining levels of implemenng GIS for TAM. Note that this is not meant to replace the more detailed maturity models available to capture the mulple dimensions of a GIS implementaon. (See references 1, 2, and 3). Rather, its intent is to provide a basic framework for agencies to assess where they are and formulate plans for advancing their capabilies. In general, basic capabilies involve using GIS on an ad-hoc basis within individual business units (e.g., pavement or bridge management) to visualize informaon such as asset locaon and condion. More advanced capabilies involve use of spaal data integraon and analysis, specialized GIS- enabled applicaons that support workflow, and more formalized and automated processes for creang, using, and sharing geospaal data across business units. As agencies progress, they will typically require more of a coordinated, agency-wide approach and will need to strengthen the underlying agency-wide foundaon for GIS. Moving to more advanced levels also involves embedding use of GIS within every day tasks and work flows. Informaon in Table 1 can be used to provide an inial idea of the agency’s current level of GIS implementaon for TAM. In the secons that follow, similar tables drill down into each of the five basic asset management business processes. Tables 2 through 6 present more detailed views that can help agencies to idenfy how GIS might be used to advance specific areas of asset management pracce. Each of these tables describes what an inial, basic level of GIS implementaon would entail for the specific asset management business process and lists sample acons that can be considered to advance.

8 | P a g e Table 1. GIS for Transporta on Asset Management: Levels of Implementa on Basic Intermediate Advanced Informa on Integra on Siloed Business units collect and manage spaally- referenced asset inventory (for major assets)—lile or no integraon of data across the silos Some integraon of spaally-referenced asset inventory across business units (e.g., traffic data shared with pavement group), some geo- referencing of project and financial data Coordinated Agency-wide integraon of spaally-referenced asset inventory and project data; capability to integrate new spaal data on an ad-hoc basis Analysis Basic & Ad-Hoc Simple themac maps created showing informaon for a single asset (e.g., locaons of structurally deficient bridges) Special studies or limited iniaves undertaken involving spaal analysis—including simple visualizaon, spaal overlays, dynamic segmentaon Powerful & Embedded Roune use of spaal and temporal analysis for decision making—e.g., proximity analysis, geo- stascs Communicaon Limited Maps showing asset condion or work locaon produced and shared on an ad-hoc basis using desktop tools or built-in capabilies of asset management soware tools Central GIS portal may exist with limited asset data (e.g., bridge locaons) Standard maps supporng internal asset management processes are defined and semi- automated processes are in place to produce them Central GIS portal is available with inventory data for mulple assets as well as project informaon from the transportaon improvement program Automated & Extensive Comprehensive spaally- referenced asset and work data are available to internal staff and external partners on web-based and mobile plaorms Senior management uses interacve maps for external communicaon Agency makes data feeds or applicaon programming interfaces (APIs) available for public use Project teams rounely use maps for collaboraon and informaon sharing GIS Capabilities by TAM Business Process Understand the State of the Assets This first business process—understanding the state of the assets—is perhaps the most common area within which GIS is currently being used. Agencies collect spaally-referenced asset inventory and condion data using various technologies [e.g., GPS mobile devices, light imaging detecon and

9 | P a g e ranging (LiDAR), digital images], and use GIS capabilies for inspecon planning, data quality assurance, and data display. Map 1 provides an illustraon of a data display capability for understanding the state of the assets—with both map and straight line diagram views for mulple assets. Where are our deficient assets? Map 1. Understand the State of the Assets (NHS = Naonal Highway System) Many agencies are at the basic level for this business process—using GIS-enabled applicaons within individual business units to collect and view asset inventory and condion informaon. More advanced capabilies involve standardized and consolidated data collecon efforts across assets, leveraging addional GIS capabilies for data quality assurance and inspecon roung opmizaon, and standardizing and automang processes for communicang informaon about the state of the assets. Table 2 presents a summary of the Basic implementaon level and acons that can be taken to advance use of GIS to Intermediate and Advanced levels.

10 | P a g e Table 2. Using GIS to Understand the State of the Assets Basic Intermediate Advanced Informaon Integraon Siloed Individual business units collect spaally- referenced asset data for major assets & map it independently Collect spaally- referenced data for addional assets Develop and adopt agency-wide GPS and locaon referencing standards Standardize field data collecon hardware and soware across business units Coordinated Coordinate asset inventory and condion data collecon efforts across business units to maximize efficiencies— e.g., extract data for mulple assets from videos or LiDAR data Integrate spaal asset data updang processes within asset maintenance workflows Extract geo-referenced asset inventory data from CAD files Analysis Basic & Ad-Hoc Individual business units view maps of current asset locaon & condion (single asset view) Use GIS for quality assurance—check for data gaps, anomalies, and inconsistencies Use GIS for inspecon tracking—map inspecons due, scheduled, and completed Powerful & Embedded Compare performance across asset classes to understand interrelaonships Display assets exhibing faster than expected deterioraon rates or assets that have recently moved into “deficient” status Detect paerns in asset deterioraon Communica on Limited Individual business units share asset locaon & condion maps with agency management and field office staff on request Implement standard process to produce and publish standard maps showing asset condion to common GIS portal or website Automated & Extensive Implement dynamic mapping of current condions from source data systems Provide access to asset inventory/condion data to field staff via mobile apps

11 | P a g e —Figure 6 lists steps that an agency might take to implement or enhance GIS capabilies for understanding the state of its assets. These steps provide a template that can be used to plan, collect, and manage new spaally-referenced asset informaon. Figure 6. Understanding State of the Assets—Implementaon Steps Assess and Manage Risks The second asset management business process involves understanding various asset failure mechanisms, assessing their likelihood and consequences, and developing migaon strategies. As used here, “failure” does not necessarily imply structural failure (such as a bridge collapse); it means Example: State of the Culverts (Intermediate Level) Agency A uses a tablet-based field data collecon tool to inventory and inspect culverts. The tablet-based soware has been configured for several different assets, and allows users to add photographs, videos, audio clips, or notes to inventory or inspecon records. The tool allows the user to locate each culvert on the agency’s official linear referencing system (LRS). Aer the user has completed inventory and inspecon work for a day, a “sync” process uploads new or modified records into a queue for approval. Once approved, the data are uploaded into the agency’s enterprise database, where they are available for viewing and analysis by central office and field staff across the agency. Maintenance personnel use the informaon to create maps of culverts for inspecon—by querying for date of last inspecon, observed condion, and flood risk. District engineers review themac maps showing culverts by material, size, and condion to gain an at-a-glance picture of the state of the inventory. Design drawings are linked to the GIS culvert features. This allows the design group to easily access detailed informaon from the map, including capacity calculaons for exisng culverts. They use this informaon as they are developing new designs for nearby locaons. Goals & Requirements Meet with target users & stakeholders Establish business case & use scenarios Establish data & process owner(s) Identify related efforts & coordination needs Set scope & priorities: what assets, what attributes Identify source system of record (SSOR) & target GIS access tool(s) Establish spatial referencing methods Data Planning Assess current data availability & quality Assess and prioritize data gaps Determine data integration needs and methods Develop data dictionary and collection guide Develop quality standards Determine ongoing data updating approach Data Collection Select a cost-effective technology & method Set up GIS planning & monitoring capability for data collection Plan routes/locations Collect data & monitor progress Review & correct data Final quality assurance (QA) & acceptance Data Integration & Access Integrate spatial and attribute data Implement data refresh method— batch or real time Assemble & integrate existing data layers Work with users to specify and set up data views and query options Set up and test mobile access to data (if required)

12 | P a g e failure of assets to provide their intended level of service. For example, a sign that does not meet retro-reflecvity standards, or a pavement secon that has extensive rung are safety risks that could be considered. Several different asset failure modes can be disnguished: gradual deterioraon due to loadings and natural degradaon of materials, premature failure due to poor quality construcon or materials, failure associated with major climac events such as floods or earthquakes, or failure associated with other chance events such as vehicle hits. GIS can provide useful risk analysis capabilies by integrang mulple data sources that affect: The • • probability of asset failure—for example, traffic loadings, weather, flood zones, seismic zones, and soils; and Consequences of asset failure, including traffic exposure, detour lengths, and populaon density. Map 2 illustrates a GIS risk assessment capability for idenfying bridge and culvert vulnerabilies related to flood events. Where are our vulnerabilies? Map 2. Assess and Manage Risk Basic uses of GIS in this area involve examinaon of assets that do not meet established target service levels together with readily available data such as traffic and road classificaon. More advanced uses of GIS integrate addional data, ulize spaal analysis capabilies for calculang risk scores based on mulple data sets, and standardize communicaon of risks across mulple asset classes. Increasingly, agencies are using tools such as risk registers or risk matrices as an input to asset rehabilitaon and replacement priories. Table 3 presents a summary of the Basic implementaon level and acons that can be taken to advance use of GIS to Intermediate and Advanced levels.

13 | P a g e Table 3. Using GIS to Assess and Manage Risks Basic Intermediate Advanced Informaon Integraon Siloed Individual business units assemble available basic geospaal data pernent to likelihood and consequences of asset failure to perform as designed —e.g., locaons of deficient assets, detour lengths for structures Assemble spaally- referenced informaon on assets likely to be impacted by flooding Undertake pilot efforts to integrate geospaal data layers of value for risk analysis—e.g., traffic volumes, growth rates, freight corridors, socio-economic characteriscs, sea level rise, seismic zones Coordinated Assemble and maintain a common pool of geospaal data for risk analysis Maintain spaally and temporally referenced data on asset failures Analysis Basic & Ad-Hoc Individual business units use maps showing deficient asset locaons to assist with risk assessment Develop spaal analysis capabilies to display assets in different risk categories reflecng failure likelihood and consequences Calculate and display risk scores based on spaal data related to likelihood and consequences of asset failure Powerful & Embedded Calculate replacement quanes and costs for at-risk assets based on spaal overlays Integrate historical informaon and model asset failure risk Idenfy atypical performance clusters through historical analysis Assess benefits of migaon strategies Communica on Limited Individual business units develop ad- hoc maps illustrang key areas of concern Use maps to share informaon about risks across different asset classes Automated & Extensive Develop interacve maps to communicate consequences of different funding levels and allocaon strategies

14 | P a g e Figure 7 lists sample spaal data layers that can be used for asset risk management. Figure 7. Using GIS to Assess and Manage Risks—Sample Data Layers Identify Needs and Work Candidates The third asset management business process involves developing asset maintenance, rehabilitaon, replacement, and improvement strategies that address risks and opmize life-cycle costs. Idenficaon of needs and work candidates is oen accomplished within individual asset or maintenance management systems, at varying levels of complexity based on the asset. For example, pavement needs may be assigned based on decision trees that take into account factors such as pavement type, date of last treatment, traffic level, and funconal class. Traffic barrier needs idenficaon, on the other hand, may be event-driven (e.g., a vehicle hit) or established based on adherence to established standards and level of risk based on safety analysis. More advanced asset management programs cut across different asset and program areas and provide corridor and Example: Risk Assessment (Intermediate—Advanced Level) Agency B sought to idenfy roadway assets that may be affected during flood events. They contacted the state department of natural resources (DNR) and obtained a GIS data layer with flood zone informaon. GIS staff imported this data layer into a geodatabase that also contained data for pavement, roadside assets, and structures. They created an overlay map that showed road secons that fell into the areas of concern, and highlighted structures that have a marginal or below structural adequacy rang. The agency provided copies of the maps to district engineers to ulize for development of risk migaon strategies. Asset Risks Inventory: bridges, culverts, safety hardware, etc. Asset age or remaining life High risk assets - e.g., bridges over water with unknown foundation types Assets not meeting established standards Assets predicted to fall into deficient condition in next three years Assets with overdue inspections Assets with deferred maintenance External Threats Seismic hazards Flood zones Elevations Stream gauge readings Assets prone to flooding Historical observations of asset failure/life span Weather history - temperature, storm impact/severity Landslides Impacts Average annual daily traffic (AADT) Functional classification National Highway System Priority network/ corridors Evacuation routes Non-redundant links/access routes Bridge detour lengths Population density Asset value Other Bid price trends by district At risk projects - over budget or late Steep or unstable slopes Sections with unprotected steep shoulder drop off High crash locations Projected growth areas or links Density of customer calls or emergency maintenance requests Permafrost areas

15 | P a g e system-wide perspecves on safety, preservaon, and restoraon needs. GIS is parcularly helpful for providing this more holisc perspecve. Map 3 illustrates a GIS capability for reviewing opportunies to address mulple needs across asset classes. How can we scope work acvies to incorporate mulple needs? Map 3. Idenfy Needs and Work Candidates GIS can be used to display assigned needs and work candidates, to maintain a history of locaons where emergency or responsive maintenance has been requested, and to integrate and display informaon required to assign appropriate treatments. It can also be used to evaluate different decision rules for treatment assignment – e.g., produce maps showing treatments recommended by different rule sets. More advanced GIS applicaons use spaal analysis features to create uniform secons for treatment applicaon, and integrate informaon from mulple sources to enable scoping of projects accounng for mulple needs. Table 4 presents a summary of the Basic implementaon level and acons that can be taken to advance use of GIS to Intermediate and Advanced levels.

16 | P a g e Table 4. Using GIS to Iden fy Needs and Work Candidates Basic Intermediate Advanced Informa on Integra on Siloed Individual business units assemble basic informaon on asset characteriscs, deficiencies, and current programmed projects Integrate informaon beyond condion data within individual asset management systems (traffic, crashes, road inventory, maintenance history, soils, etc.) using common spaal referencing Coordinated Integrate informaon from mulple asset management and work planning/ programming systems within a single common plaorm Analysis Basic & Ad-Hoc Individual business units review maps showing asset deficiencies to idenfy new work candidates Develop spaal queries to priorize deficient assets based on traffic, funconal classificaon, crash history, and other factors Use GIS to create uniform secons for applicaon of a single treatment Powerful & Embedded Develop spaal queries to idenfy opportunies to address needs of mulple assets Review and assign appropriate treatment/fix based on overlaying mulple data sets Communica on Limited Individual business units create maps to show need categories and locaons of work candidates for each individual asset—using built in mapping capabilies within asset management systems or through exports to stand-alone mapping tools Produce and share maps showing locaons with mulple needs—e.g., pavement, bridge, and safety Automated & Extensive Create interacve communicaon tools that display condion of mulple assets and other factors that were considered for idenfying work candidates

17 | P a g e Figure 8 shows a list of potenal spaal data layers represenng a range of DOT asset types. Figure 9 includes a list of other common data layers that agencies might make available to assist with scoping and priorizaon of needs and work candidates. Figure 8. Data Layers for Physical Assets (Locaon and Condion) (WIM = weigh in moon) Roadway Pavement Shoulders Medians Drainage Rumble strips Pavement markings Inter- sections Structures Bridges Culverts Retaining walls Noise walls Tunnels Traffic support structures Safety Hardware Traffic signals Highway lighting Signs Traffic barriers ITS Assets Cameras Message signs Ramp meters Weather sensors Traffic sensors Multi- Modal Stations/ terminals Shelters Rail lines Ferry terminals Non- Motorized Sidewalks ADA ramps Multi-use paths Bike lanes Other Utilities Fiber Buildings Park and ride lots WIM sites Rest areas Storm- water facilities Pipeline crossings Frost tubes Example: Pavement Needs Analysis (Intermediate—Advanced Level) Agency C has an established pavement management system (PMS) and uses a video log/pavement assessment vendor to collect pavement inventory and condion data every other year on state- maintained routes. A variety of other data sets are integrated from other business units that ulize the agency’s common LRS for spaal referencing: deflecon test results, core samples, and soil characteriscs. Geospaal analysis is used to overlay the different data sets, develop uniform secons for treatment applicaon and apply results of decision rules. Periodically, the PMS owners in the central office conduct a review of the decision rules with district pavement engineers, using maps to display recommended treatments and to drill down to the characteriscs that triggered them. Work candidates from the PMS are published through an automated process to the agency’s central GIS portal, where they can be viewed together with informaon on deficient bridges and candidate safety improvements. District staff use this portal to scope projects that address mulple types of needs.

18 | P a g e Figure 9. Common Data Layers for Scoping and Priorizaon (ROW = right of way, usRAP = United States Road Assessment Program) Develop Programs The fourth asset management business process involves developing op mized, funding-constrained programs of construc on projects or maintenance ac vi es. It builds on the process of iden fying needs and work candidates but focuses on seng priori es and making tradeoffs in order to maximize use of available funds. It also involves coordina ng ming of work to take advantage of economies of scale and minimize impacts on road users. GIS can be useful within this process for integra ng informa on that is used to set priori es. For example, different ers of the road network could be established based on func onal class, traffic, and proximity to major generators. Spa al views of candidate projects can also be valuable for developing corridor approaches that address mul ple assets—using a “get in, get out, stay out” approach. Spa al overlays of jurisdic on and legisla ve district boundaries can be used to assess geographic balance of a program. Map 4 illustrates a GIS capability for displaying asset deficiencies associated with different investment scenarios. Usage # lanes Divided/ undivided AADT Truck traffic Freight volume/ value Projected growth rate Bottlenecks Safety Serious injury & fatality rate Serious injury & fatality rate - relative to peer locations Highway departure crashes Clear zones Safety score (e.g., usRAP star rating) Function Functional class NHS Freight routes Evacuation routes Priority network Critical links Environment Land use Elevations Soils ROW/ easements Wetlands Sensitive habitats Mitigation sites Critical areas History Emergency maintenance requests 5 year maintenance expenditures Asset install date/age Last rehabilitation date Plans Future developments Programmed projects

19 | P a g e What can we achieve with a funding increase? Map 4. Develop Programs At the basic level, GIS is used as a tool to develop programs for individual assets and to display locaons of programmed projects for both internal and external communicaon purposes. At more advanced levels, GIS can be used to integrate and analyze a wide variety of informaon used for priorizaon, display results of tradeoff analysis (e.g., projects selected for programming under different cross-asset resource allocaon alternaves), and idenfy opportunies to coordinate work across asset classes. Table 5 presents a summary of the Basic implementaon level and acons that can be taken to advance use of GIS.

20 | P a g e Table 5. Using GIS to Develop Programs Basic Intermediate Advanced Informaon Integraon Siloed Individual business units assemble informaon on current programmed projects, candidate work for an individual asset type, basic traffic and road classificaon informaon (used to set priories within individual asset or program areas) Assemble common pool of geospaal informaon useful for priorizaon and program development: funconal class/NHS, AADT, freight corridors, major generators, adjacent land use, historical maintenance costs, crash rates, etc. Coordinated Embed GIS tools within financial and program management applicaons—e.g., project locator tool Integrate informaon useful for priorizaon of work candidates across mulple assets and program areas— e.g., benefit/cost rao or impact measure Analysis Basic & Ad-Hoc Individual business units review locaons of exisng programmed and potenal candidate projects and plan raonal mul-year work programs that have geographic balance Develop ered network classificaons for priority seng Review maintenance history data to priorize locaons with high recurring maintenance costs Analyze equity of program funding allocaon Powerful & Embedded Derive locaon-specific data for priorizaon and calculate priority scores for projects based on a variety of factors Review locaons of candidate projects for different assets and idenfy opportunies for project coordinaon Display projects and resulng system/asset performance based on budget allocaons Communicaon Limited Agency produces maps of programmed projects and makes them available for internal and external users Share maps of proposed projects/ M&O acvies for mulple program categories—using standard protocols for data integraon Display completed and planned projects and performance results on mobile GIS apps—for execuve stakeholder visits Automated & Extensive Create system performance maps for alternave resource allocaon scenarios Create retrospecve view of performance and investment trends Provide public-facing web applicaons showing asset condions and planned projects

21 | P a g e Manage and Track Work The final asset management business process involves scheduling, delivering, and tracking maintenance and construcon work. This includes receiving and responding to work requests from customers, managing maintenance crews, coordinang contractor work schedules, and recording informaon about completed work. The work tracking element of this process provides important informaon that feeds into the prior four processes—it can be used to update asset inventory and condion informaon, build knowledge about asset life cycles, idenfy locaons with recurring reacve maintenance needs that may be candidates for rehabilitaon, and update “as built” locaon informaon for completed projects (which may vary from the “as planned” informaon). Work tracking informaon also supports agency accountability, allowing for detailed reporng of how funds were used. Map 5 illustrates a GIS capability for coordinang maintenance, construcon, and ulity work. Example: Program Development (Advanced Level) Agency D has three separate management systems for pavement, bridge, and safety. Interfaces between these systems and the agency’s enterprise LRS have been established and nightly rounes keep the locaon components of the data in these systems in sync. Candidate pavement, bridge, and safety projects are developed within the individual management systems. Results are then exported to a State Transportaon Improvement Plan (STIP) applicaon for further analysis. The agency has developed a formula for priorizing the candidate projects and the STIP applicaon provides the ability to conduct trade-off analyses across the asset classes. Through an iterave process, an agency-wide improvement program is established containing the projects to be completed over the following five years. The programmed projects can be viewed and analyzed on a map, with opons for color coding by project type, year programmed, funding type, and other variables. For each project, budgets, statuses, and mulmedia such as design files, 3D models, diagrams, or work plans can be viewed. Informaon is available to field personnel on tablets with locaon-aware query capabilies.

22 | P a g e Where do we need to coordinate work? Map 5. Manage and Track Work At the basic level, GIS can be used within individual business units to plan roune and prevenve maintenance work in an efficient manner and to keep track of the locaons of scheduled work. It can also be used to support roung of work requests to the proper field office based on maps showing maintenance responsibilies by route secon. More advanced applicaons of GIS involve real-me applicaons for asset monitoring and resource deployment (e.g., automated vehicle locaon, road and bridge sensors), automated processes for analyzing work history informaon, updang asset inventory based on work completed, and preparing reports required for disaster recovery operaons. Table 6 presents a summary of the Basic implementaon level and acons that can be taken to advance use of GIS.

23 | P a g e Table 6. Using GIS to Manage and Track Work Basic Intermediate Advanced Informaon Integraon Siloed Units responsible for work management have access to spaal informaon on assets, programmed projects, and maintenance responsibilies (district/region boundaries, state- maintained facilies) Create standard process for locang requested, scheduled, and completed maintenance work Integrate informaon on scheduled and completed work across program areas and districts/regions Integrate geo-tagged before/aer photos for completed work Coordinated Auto-update master asset inventory based on work completed Integrate enterprise resource planning (ERP) data Monitor real-me locaon of maintenance vehicles/plows Monitor real-me road surface condion and material applicaon Geo-reference “crowd- sourced” work requests Analysis Basic & Ad-Hoc The agency determines roung of work to the appropriate work unit request based on locaon informaon Asset managers develop prevenve maintenance schedules based on locaon Idenfy problem areas based on clusters of responsive/emergency maintenance needs Review planned work by locaon to consolidate contracts Powerful & Embedded Opmize assignment of work crews based on real-me informaon Integrate work history informaon and analyze historical maintenance costs by asset and locaon Ulize geo-referenced asset inventory data to facilitate post-disaster reimbursement and recovery planning Communicaon Limited The agency creates stac maps that can be used for work planning—e.g., asset locaon maps, district boundary maps Produce consolidated map of planned maintenance, construcon, and ulity work to avoid conflicts with external acvies and avoid adverse customer impacts (e.g., from closing lanes on two parallel routes) Provide access to work history maps linked to before-aer photos Automated & Extensive Provide public access to real-me maps of road condions during snow or other extreme weather events Provide access to asset characteriscs and work history on mobile devices Automate required state and federal disaster recovery reporng

24 | P a g e Taking Stock Once an agency has considered how it is using GIS within each of the five core asset management processes, the next step is to take stock of where the agency is and where it might want to pursue advancements. Table 7 provides a template for an at-a-glance picture of current capabilies. For each cell, the appropriate informaon in Tables 2 through 6 can be used to idenfy what the agency is doing now and assign the associated implementaon level. Agencies can expand this template to include addional notes on acons that can be considered to further leverage GIS capabilies within asset management business processes and to lead business units for each acon. To obtain a balanced perspecve on current capabilies, the agency may want to consult with several different individuals responsible for different asset classes, as well as with representaves of program development, financial planning, maintenance management, and GIS funcons. A group can be convened to walk through the matrix, or responsibility for different cells can be parceled out to different individuals and then consolidated. Once the results are compiled, they can be reviewed to idenfy paerns. For example, an agency may be Advanced with respect to integrang informaon with GIS, but not yet at a Basic level when it comes to analyzing and communicang the informaon. This may indicate that the agency can squeeze more value out of its spaally-enabled data. Alternavely, the agency may have made good progress in the first TAM business area, but not in others. This means that it hasn’t yet tapped into some of the most promising areas for using GIS within TAM that can impact investment decisions. Example: Maintenance Management (Advanced Level) Agency E uses a computerized maintenance management system (CMMS) that has work locaons automacally populated from the agency’s pavement, bridge, safety, congeson, sign management, and traffic signal management systems. Work orders for tasks to be completed by agency personnel are generated and queued to the appropriate division or district managers. Managers have the capability to assign tasks with priories to individuals or crews. The field personnel are then nofied through queues of assigned work and can prepare work schedules and use automated rounes that opmize routes to task locaons based on priories. Field personnel use a tablet-based module of the CMMS to indicate acve assignments and to track equipment use and me spent on tasks. The tablet-based module includes the ability to include before-and-aer photographs of the site to document work accomplished as a part of work records. At the end of each shi or when network connecon is available, data from the tablet is transferred to a web-based tracking system. From this system, managers can monitor work through interacve maps, create reports on producvity, or assign and change task responsibilies. Informaon on completed work is communicated back to each management system. This informaon is then used in analyses to more accurately schedule and budget future projects.

25 | P a g e Table 7. GIS for TAM at an Agency: At-a-Glance Assessment Asset Management Business Process Informaon Integraon Analysis Communicaon Understand the State of the Assets Current Level:______ Current Level:______ Current Level:______ Assess and Manage Risks Current Level:______ Current Level:______ Current Level:______ Idenfy Needs and Work Candidates Current Level:______ Current Level:______ Current Level:______ Develop Programs Current Level:______ Current Level:______ Current Level:______ Manage and Track Work Current Level:______ Current Level:______ Current Level:______ Assessing the Agency’s GIS Foundation While the focus of this guide is on applicaons of GIS within TAM, it is important to recognize that lack of a basic infrastructure for GIS can be a significant barrier to making progress in the asset management arena. Conversely, a strong GIS foundaon can greatly facilitate implementaon of GIS applicaons in support of TAM. Therefore, if the agency is not at the Advanced level for most categories in the summary assessment, it is worth considering whether the overall GIS program in the agency needs some aenon. The checklist in Table 8 can be used to assess the strength of an agency’s GIS foundaon—independent of how GIS is being used within TAM.

26 | P a g e Table 8. Checklist: GIS Foundaon This checklist for assessing an agency’s GIS foundaon considers four major areas: (1) the overall organizaonal infrastructure for GIS, (2) the presence and use of foundaon geospaal data and standards, (3) the established technology infrastructure, and (4) GIS skills and training funcons. Agency-Level GIS Function Management support, policy development, strategic implementaon framework, and standard protocols for decision making and communicaon regarding geospaal data: Execuve-level and division manager understanding of GIS value and support for its use in the agency Designated business unit(s) with agency GIS planning and support responsibilies Coordinaon and communicaon mechanisms across agency units responsible for managing spaal data—for example, regular meengs, website, standard protocol for adding new data layers Coordinaon and communicaon mechanism between agency GIS lead and external organizaons (e.g., statewide geospaal agency, external spaal data providers) GIS Strategic Plan used to guide investments—regularly updated to reflect technology advances (e.g., mobile GIS, cloud soluons) Geospatial Data and Standards Foundaon geospaal data and an architectural framework for building on this foundaon: Comprehensive road centerlines, covering all agency-maintained roads, including ramps, with dual centerlines for divided roads A standardized, common agency LRS—idenfying route names and street names, including overlapping routes and specifying official lengths/measures Support for mulple locaon referencing methods (LRMs) to accommodate data collected using GPS devices as well as using linear references such as mile markers or offsets from county boundaries Central library of GIS data resources with a regular, well-defined updang process and schedule—including jurisdiconal boundaries, parcel boundaries, address points, elevaons, hydrography, ortho-imagery, land use, socioeconomic and environmental data, etc. A standard integraon architecture for linking agency GIS and LRS data to business data systems A standard approach to idenfying and represenng assets and their aributes from a geospaal data modeling perspecve Formalized procedures and toolsets for updang road centerline and LRS data to reflect network changes Standards and processes for managing, viewing, and analyzing spaally-referenced business data sets as changes to locaon referencing informaon occur (temporal locaon data management)

27 | P a g e Tools and Technologies Established approach to providing the hardware and soware required for agency staff to make use of GIS capabilies: Centralized licensing for GIS database and applicaon soware—including desktop, web, and cloud-based tools as appropriate Geospaal data viewer applicaon providing agency-wide (and external) access to shared data sets GIS data clearinghouse—with downloadable data files Formalized procedures and toolsets for LRS maintenance to reflect road network changes Techniques for overlaying spaal data associated with different versions of the LRS as it has changed over me (e.g., due to road realignments) GPS data collecon standards (see Appendix A for examples) Standard tools for viewing and exporng data related to a user-specified locaon (e.g., county, district, route, or route secon) Standard tools for geocoding Standard tools to translate across different LRMs Standard tools for field data collecon and quality assurance Mobile apps for accessing agency’s geospaal data Mobile apps for issue reporng GIS Expertise, Training, and User Support Established training and support services to help staff make full use of GIS capabilies. Acve GIS user group with regular meengs/communicaons Skills and experse for geospaal data management and applicaon development Standard process for GIS tool deployment and customizaon GIS user training courses made available to staff GIS experse included in posion descripons where data management/analysis is required

28 | P a g e Using the Assessment Results: Developing an Overall Strategy A high-level strategy for moving forward can be developed based on (1) the agency’s current level of GIS/TAM Implementaon (summarized in Table 7) and (2) the strength of the agency’s current GIS foundaon (determined based on the checklist in Table 8). General guidelines for developing a strategy are illustrated in Figure 10 and discussed below. B look for cost savings from centralized funcons D connue improvements & seek efficiency gains A find easy wins, shore up the agency GIS foundaon C assess barriers and pursue high payoff opportunies Figure 10. Quadrant View of GIS/TAM Capabilies Figure 10 presents a “quadrant” view that can be used to idenfy a high-level strategy for moving forward with GIS/TAM capabilies. It has two dimensions: strength of the agency’s overall GIS foundaon on the horizontal axis, and level of GIS/TAM implementaon on the vercal axis. Agencies in the lower le quadrant (labeled “A”) are at the inial stages of both agency GIS and applicaons of GIS for TAM. Agencies in the upper right quadrant have advanced GIS capabilies in place for TAM, resng on a solid general agency GIS foundaon. Agencies can assess where they are on the horizontal axis based on the discussion above (Assessing the Agency’s GIS Foundaon). Agencies can assess were they are on the vercal axis based on the results recorded in Table 7. For Agencies with a Relatively Weak GIS Foundation It is always possible to make progress in specific areas of asset management without a strong enterprise GIS funcon in place. However, lack of a basic GIS infrastructure (hardware, soware, standards, architecture, compiled geospaal data sets, experse) means that there will be more of a burden on each individual iniave—to create and manage data, and to develop tools. Somemes it makes sense to accept these burdens in order to move forward, but it is important to recognize that at some point lack of agency-wide infrastructure and standards is likely to become a barrier to progress. In addion, lack of agency-wide coordinaon results in inefficiencies, with individual work Strength of Agency GIS Foundaon Level of GIS/TAM Implementaon Low High High Low

29 | P a g e units “reinvenng the wheel” or moving in different direcons. This makes it difficult to integrate data across units. Given that foundaonal acvies (e.g., establishing a shared centerline data set for state and local roads) can take mulple years, agencies can pursue a parallel track to undertake some specific asset management iniaves while working to strengthen overall agency capabilies. Quadrant A: Basic (or Below) Level of GIS/TAM Implementaon. If an agency has not yet reached the Basic level of GIS/TAM implementaon, it is starng with a blank slate. The agency can begin by idenfying an area in which it can demonstrate success with a relavely modest effort. It can select one of the “basic” capabilies for which spaally-referenced data are available and the potenal exists to add value through analysis or communicaon. For example, an agency can begin producing and sharing maps showing pavement or bridge condions. This early success can then be used to build broader support within the agency for a more comprehensive approach to using GIS within asset management. If an agency checked Basic in most areas, this means that it has achieved some success in using GIS for TAM within individual business units, but have not yet transioned to a more holisc, agency-wide approach. The fact that the GIS foundaon is relavely weak signals the need to idenfy where lack of standards, soware, applicaons, or experse may be inhibing further progress. Quadrant B: Intermediate or Advanced Level of GIS/TAM Implementaon. If an agency checked a mix of Intermediate and Advanced in most areas of TAM, this means that they have taken advantage of GIS capabilies within and across business units, and have automated geospaal analysis and data integraon funcons. However, given the weaker GIS foundaon, there are likely to be cost-saving opportunies through centralizing certain funcons (e.g., road network and geospaal data maintenance or geospaal applicaons development and support). It may be possible to use successes within individual business units as a springboard for strengthening overall agency GIS funcons. For Agencies with a Relatively Strong GIS Foundation A strong agency GIS foundaon makes it easier to advance GIS capabilies for TAM since available tools, technologies, data sets, and experse can all be leveraged. Agencies in this posion can step back and develop a broad vision for how they wants to use GIS across different TAM funcons. This can be integrated with development or updates to a Transportaon Asset Management Plan (TAMP). GIS elements can be incorporated within this plan to describe ways in which spaal data integraon, analysis, and communicaon will be used to strengthen TAM business processes. Quadrant C: Basic (or Below) Level of GIS/TAM Implementaon. If an agency is not yet at the Basic level, it should recognize the potenal for making rapid progress given the availability strong exisng GIS resources. The agency is in a posion to look broadly at opportunies for enhancing its asset management pracces using GIS and to idenfy some first iniaves that can leverage exisng GIS tools and data. If an agency is at the Basic level of GIS/TAM implementaon, it has made progress in some areas and it may be me to assess exisng impediments to a more comprehensive approach. Idenfying specific opportunies for moving forward and preparing a strong business case can help to gain the necessary level of management engagement and leadership for success. Quadrant D: Intermediate or Advanced Level of GIS/TAM Implementaon. The agency is in a strong posion, and should connue to seek opportunies for connued advancement of capabilies while improving efficiencies.

30 | P a g e 3. Evaluating Initiatives for Advancing Capabilities Options for Moving Forward Aer assessing the agency’s current capabilies and determining a high-level strategy for how to proceed, the next task is to develop and secure support for a plan of acon that: Supports the • • • • • • • • agency’s asset management business processes—making them more efficient and effecve; Is realisc given the agency’s budget and exisng technology, data, and staff resources; and Includes iniaves that can be expected to have benefits exceeding their costs. Depending on the agency’s situaon, there may be different ways to approach this task: Comprehensive: develop a comprehensive GIS/TAM plan—perhaps as an element of the agency’s TAMP—that looks across all assets and all of the TAM business processes, idenfies a vision for how GIS will be used, establishes foundaonal standards and policies, and idenfies a phased set of iniaves to advance capabilies. Pilot: develop a pilot project that addresses a current agency pain point or focus area for the agency’s execuve leadership. Incremental: Focus on low-cost, incremental acons to beer leverage the agency’s current data and GIS technologies—for example, creang a series of decision maps using available data. Targeted—Internal: Target effort on acons that will achieve a noceable impact within a single TAM business area—for example, implemenng a spaally-enabled work management and tracking funcon. Targeted—External: Focus on the external communicaon element of GIS to strengthen the agency’s relaonship with stakeholders and customers—for example, publish a set of maps showing the agency’s projects, or provide a mobile app showing plans for road resurfacing. Table 9 lists iniaves that can be carried out as part of one of the approaches listed above. These iniaves are organized by the five TAM business processes. For each iniave, the type(s) of GIS use (Informaon Integraon, Analysis, and/or Communicaon) are idenfied. In addion, the implementaon level (B = Basic, I = Intermediate, A = Advanced) that the iniave represents is indicated—though some iniaves are broadly defined and can fit with mulple levels. Finally, some of the key support elements required for implementaon are noted. Once candidate iniaves are idenfied, agencies can use the guidelines that follow to develop a business case that arculates objecves and considers benefits, costs, and risks.

31 | P a g e Table 9. GIS/TAM Ini a ves GIS Use Level Ini a ve Support Elements Understand the State of the Assets Info Integra on B New asset inventory and inspecon program (single asset) Field data collecon hardware and soware (or by contract) Info Integraon I New asset inventory and inspecon program (mulple assets) Common LRS GPS standards Info Integraon A CAD to GIS asset extracon post construcon CAD standards Soware tools Info Integraon, Communicaon A Mobile applicaon for retrieval and/or update of asset informaon Data access and updang protocol Mobile device integraon Analysis, Communicaon B Mapping of asset inventory, inspecon, and condion—ad hoc Desktop or web-based GIS tool Analysis, Communicaon I-A Mapping of asset inventory, inspecon, and condion— interacve (with query and analysis funcons) Desktop or web-based GIS tool Data updang protocols Analysis A GIS-based inspecon planning and roung tool Inspecon planning/roung tool See Figure 8 for a list of assets that agencies may consider tracking in GIS. Assess and Manage Risks Info Integraon, Analysis, Communicaon B Basic risk mapping—asset condion versus acceptable level, consequences represented by road classificaon, traffic data Asset management system mapping capability Info Integraon, Analysis, Communicaon I-A Advanced risk mapping and analysis—integrang other agency and external data sets: detour lengths, populaon, land use, flood zones, elevaons, seismic acvity, etc. Desktop or web-based GIS tool Analysis soware See Figure 7 for a list of GIS data layers that may be helpful for risk assessment.

32 | P a g e GIS Use Level Iniave Support Elements Idenfy Needs and Work Candidates Info Integraon, Analysis, Communicaon B Basic mapping of need categories and candidate projects—single asset/business area Desktop or web-based GIS tool or integrated GIS funcon within asset management system Info Integraon, Analysis, Communicaon I-A Decision maps—integrang maintenance history, traffic, weather, soils, and other pernent informaon from authoritave data sources Desktop or web-based GIS tool with query and analysis capabilies Common LRS GIS data repository/stewardship program Data sharing and QA protocols Info Integraon, Analysis, Communicaon I-A Automated interacve decision maps for developing work candidates/project scopes that account for mulple needs— pavement, bridge, safety, drainage, etc. (can range from basic mapping of needs to automated project locaon idenficaon based on overlays) Desktop or web-based GIS tool with query and analysis capabilies Common LRS GIS data repository/ stewardship program Data sharing and QA protocols See Figure 9 for a list of GIS data layers that may be useful for priorizing work candidates.

33 | P a g e GIS Use Level Iniave Support Elements Develop Programs Info Integraon, Analysis, Communicaon B Ad-hoc mapping of candidate and exisng programmed work for a given asset category overlaid on road classificaon and AADT range —distribuon to business units (headquarters and/or field) to assist with priorizaon Desktop or web-based GIS viewer or integrated GIS funcon within asset management system Info Integraon, Analysis, Communicaon B Maintain updated map of current asset rehabilitaon/replacement/ improvement program—make available for internal and external use Desktop or web-based GIS tool with query and analysis capabilies Common LRS Business process to aach standard spaal referencing to programmed projects Data sharing and QA protocols Info Integraon, Analysis, Communicaon I-A Automated interacve decision maps showing work candidates from mulple asset categories— opons to view a variety of data layers useful for priorizaon and idenficaon of work coordinaon opportunies; calculate priority scores based on spaal data Desktop or web-based GIS tool with query and analysis capabilies Common LRS GIS data repository/ stewardship program Data sharing and QA protocols Analysis, Communicaon A GIS-based scenario analysis tool— display which projects would be done under varying budget allocaons; show resulng asset condion Custom applicaon integrang asset management system(s) and GIS tools Common LRS Data sharing and QA protocols Communicaon I-A Web and mobile GIS apps for communicang the data driven process behind project selecon Web and mobile GIS tools with simple query and display capabilies

34 | P a g e GIS Use Level Iniave Support Elements Manage and Track Work Info Integraon, Analysis, Communicaon B Develop, maintain and share map of maintenance responsibilies by route secon—use to route work requests to the appropriate DOT unit or contractor Data updang protocols Desktop or web-based GIS tool Info Integraon, Analysis, Communicaon B GIS-based maintenance scheduling and tracking for a single asset (e.g., bridge washing or sign replacement) Asset/maintenance management system with integrated GIS Mobile GIS applicaon and hardware Info Integraon, Analysis, Communicaon I-A GIS-based maintenance scheduling and tracking for mulple assets—with advanced GIS capabilies for scheduling, prevenve maintenance planning, acvity coordinaon, automated inventory updang Asset/maintenance management system with integrated GIS—single system handling mulple assets or integraon across mulple systems Mobile GIS applicaon and hardware A Automated vehicle locaon (AVL) capability for asset maintenance vehicles/crews with real-me tracking and archived data for analysis AVL system hardware and soware, related database reporng and analysis tools Data transfer protocols Building a Business Case for GIS/TAM Initiatives Some of the iniaves in Table 9 can be put into pracce relavely easily; others may require investments and coordinaon across different work units. Any iniave falling into this laer category will likely require a persuasive business case to move forward. The business case must address the quesons: How will this help our agency, and what will it cost? For major iniaves, a projected return on investment (ROI) analysis can be conducted to determine high-value implementaon areas, priorize tasks, and determine feasibility. ROI requires the idenficaon and quanficaon of costs and benefits over the implementaon meframe. Figure 11 illustrates a methodology for establishing the business case for GIS/TAM investments. The elements of this methodology can be used to assess ROI. Info Integraon, Analysis, Communicaon

35 | P a g e Figure 11. Building a Business Case for GIS/TAM Investment Step 1: Articulate the Business Need What do you want to achieve? The first step in developing a business case is to establish a statement that communicates what the agency expects to accomplish. The idea for the iniave may have arisen from anywhere within the agency; however, defining the need is a collaborave effort of key managers and staff that will be responsible for implemenng and living with the results of the effort. Example statements of business need for a GIS/TAM iniave are: Data-driven decision making—Asset program managers and district staff need to have easy access to a variety of pernent informaon in a spaal context that helps them to opmize • • use of available resources and select the right project in the right place at the right me. Locaon awareness—In order to effecvely scope, plan, and priorize their work, maintenance engineers and construcon project managers need the capability to find out everything about a given locaon—what assets are there, their condion, what capital and maintenance work is planned, what work requests have come in over the past year, what the traffic paerns are, crash rates, etc. This will require the agency to standardize locaon 6. Summary Return on Investment Intangibles 5. Risks Organizaonal Changes Technology Changes Cost Uncertainty Benefit Uncertainty Funding/Support Uncertainty 4. Benefits Efficiency Effecveness 3. Costs Staff Labor Services Hardware/Soware Data 2. Opons Scope Timeframe/ Phasing Technology Delivery Centralized/ Decentralized 1. Business Need Movaon Vision

36 | P a g e referencing across different informaon systems and provide tools for querying a variety of informaon based on locaon. Situaonal awareness—Field offices need the capability to track their equipment in real me in order to respond more quickly to needs and deploy resources more efficiently. Efficient data integraon—The agency needs to reduce “islands of informaon” by providing the ability to integrate asset inventory, inspecon, project, traffic, and safety data sets geospaally. This will eliminate the need for costly efforts to remedy issues of inconsistent (or non-existent) spaal referencing. Transparency —The agency needs to meet today’s expectaons for transparency and accountability by sharing detailed informaon about asset condion and planned work with stakeholders and the public. Improved Program Development—The agency’s program development team needs to consider how best to allocate available resources to manage risk. They need to understand the implicaons of different funding scenarios to help the agency allocate resources in the best possible way. They need the capability to quickly produce compelling and meaningful spaal visualizaons of how these scenarios will impact the highway system over me. Washington State DOT (WSDOT)—Business Problems to Be Addressed by Asset Management Informaon System Improvement/Replacement (2009) Lack of support for geospaal referencing—Locang assets or events on the transportaon network is more difficult as a result of a lack of geospaal referencing capability in the current Transportaon Informaon and Planning Support System (TRIPS) LRS. This complicates providing a range of management informaon to users based on geographic parameters including financial informaon by polical or jurisdiconal boundaries. It also creates the potenal for incorrect assignment of project expenditures and taxes to jurisdicons and programs. Potenal for delays and quality issues in providing informaon to stakeholders—Due to difficulty and length of me required to obtain informaon from current systems; lack of integraon across systems leads to potenal for mulple answers or versions of the truth depending on which systems are used to obtain the informaon. Lack of crical funconality needed to deliver programs—Much informaon about asset inventory and asset condions, relevant to planning, programming, and project management, requires research in mulple systems or is not readily available in any WSDOT system. Asset inventory is stored in mulple systems, impacng the department’s ability to manage assets from an enterprise perspecve—Comprehensive access to this informaon for planning, accountability, and performance reporng is very difficult. This limits the department’s ability to implement an enterprise asset management business model. Source: [5]

37 | P a g e How does this fit with the agency’s current GIS capabilities? In establishing the business need for a new GIS-related iniave, it is helpful to consider how the iniave fits into the larger context of current agency capabilies. If there is a GIS strategic plan in place, how will this iniave support the elements of that plan? If a strategic plan has not been developed, it is worthwhile to assess strengths and weaknesses of agency GIS capabilies and formulate objecves for the iniave that take these into account. For example, if the iniave’s success depends on existence of standards or capabilies that are not well established, these will need to be addressed in the project plan. The iniave may provide an opportunity to pilot new technologies or methods that can later be more widely deployed—but the costs of forging new territory will need to be ancipated. Asset Management Strategic Plan—Using GIS to Support TAM Strategic Goals (Oregon DOT) Strategic Goals for TAM Foster integrated, strategic decision making. Sustain or establish a reliable statewide asset inventory. Build a fully integrated data system. Create integrated reporng and analysis tools. GIS Iniaves: GIS-based TransInfo Tool—management of highway inventory and locaon referencing. GIS-based FACS-STIP Tool—web-based viewer for asset informaon. Desired Outcomes from GIS Iniaves: Eliminate need for one-me, redundant asset data collecon efforts by providing plaorm for collecng and sharing asset data. Consolidate data maintenance efforts. Leverage exisng investments in GIS data and licensing to benefit the enre department. Source: [6]

38 | P a g e Step 2: Define Options for Meeting the Business Need Before moving forward with analyzing costs and benefits of the proposed iniave, it is useful to define alternave ways of meeng the need. At a minimum, a “do nothing” opon should be considered in order to provide a baseline for comparison. Other opons for defining lower-cost alternaves could involve: Varying the scope—in terms of which assets or which porons of the network are included. Varying the meframe—how capabilies will be phased in over me. Varying the tools—relying on exisng tools, enhancing exisng tools, or moving to new tools. Varying the delivery approach—performing all or a poron of the effort in-house or outsourcing the enre effort. Varying the implementaon approach—pursuing a decentralized approach that equips work units with tools and relies on standards for consistency versus pursuing a centralized approach. Example: Business Need for a Geospaally-Enabled Sign Inventory State DOT “A” is responsible for installaon and maintenance of approximately 100,000 signs on its state roadway network. Sign maintenance is managed at the district level. Some districts do not keep an inventory; others track sign locaon using spreadsheets or desktop database tools. District inventories use varying methods to locate signs—including GPS coordinates, and route-county milepoints. As central office traffic engineering staff considered opons for implemenng a new program to maintain minimum retroreflecvity standards, they found it very difficult to obtain good informaon about the exisng sign inventory. They requested informaon from each district, and were able to piece together some esmates of the number of signs by install date, type, and route, but the accuracy of the data was not high and gathering the data was a me-consuming effort for all involved. This experience led to a proposal for implemenng a comprehensive sign inventory. Central office traffic engineering staff met with district staff to understand their needs, and then with members of the GIS group in the planning division to discuss this iniave. GIS staff had recently assisted with deployment of another inventory applicaon and suggested that this iniave might piggyback on this earlier one. They also discussed how to leverage exisng GIS database and applicaon soware. Based on these meengs, the following objecves were established for the iniave: Objecves 1. Obtain informaon on sign type, locaon, and installaon date that can accessed across the department and used for: Statewide analysis of different inspecon and maintenance opons. Statewide analysis of different sign replacement cycles. District management of sign inspecon and replacement acvies. Safety analysis. 2. Make sign informaon easily accessible throughout the organizaon. 3. Leverage available tools and technologies.

39 | P a g e In defining opons, it is advisable to survey current technology opons and consider opportunies that may not have been available when the agency implemented its current applicaons or toolsets. For example, many agencies are cung costs by adopng cloud-based soluons, and crowd-sourcing development of mobile applicaons that provide self-service GIS capabilies for non-GIS experts. Step 3: Identify Costs for Each Option The next step is to produce planning-level esmates of the costs for each opon. An agency should esmate both inial costs and ongoing annual costs once the iniave or project is complete. Given the variety of potenal iniaves that the agency may be considering, only general guidance on cosng is provided here. Costs consist of hardware, soware, personnel, technology support, and vendor costs. Personnel and external vendor support costs are typically the larger component and include the inial development and ongoing support. Specific cost components to consider include the following: Labor and services. Project management. Planning and requirements development. Policy, procedure, and standards development. Custom map development/configuraon. Data collecon and updang. Applicaon development, customizaon, or interface development. Hardware/soware. Soware licensing—for desktop, web, cloud, and mobile GIS soluons, data integraon, and reporng tools. Example: Alternaves Definion for a Spaally Enabled Transportaon Improvement Program State DOT “B” has a robust annual and mul-year program development process with both decentralized (district-level) and centralized components. Prior to publicaon of program updates, the agency’s GIS staff updates a map that shows project locaons. This update occurs annually, and is very me consuming because project locaons are not consistently entered into the program database system. The agency’s public informaon office has received many comments from stakeholders about the accuracy of the program map. They have asked the programming division to create a more dynamic map view that allows the public to obtain up-to-date informaon about project scope, schedule, budget, and cost. The programming division defined several alternaves for invesgaon: 1. Connue the current process—supply more recent informaon about projects to stakeholders as inquiries come in. 2. Require entry of project locaons using a standard method for locaon referencing—enforce through the program database entry screens or through workflow rules that prevent funding approval when locaons are missing—and switch to a quarterly map update process. 3. Same as 2, but also add a project mapping tool to the program database system in order to facilitate capture of project locaons. 4. Same as 3, but automate the mapping process so that maps can be dynamically updated from the program database.

40 | P a g e Tablets or smartphones for field data collecon and access. Server upgrades or purchases. Ploers/printers. AVL technology deployment. Data. Spaal data set purchases or licensing. Data storage costs. Field data collecon. Data conversion or quality improvement (staff and/or consultant labor). Given rapid changes in technology, the best way to obtain a reasonably accurate idea of costs is to check in with peer agencies that have recent experience with iniaves similar to those an agency is considering. Useful resources for finding out who is doing what include: GIS-T Roll Call of States and Conference Proceedings—hp://www.gis-t.org/. FHWA GIS in Transportaon Webcast Series—hp://www.gis.wa.dot.gov/webcasts.asp. URISA Annual Conference Proceedings—hp://www.urisa.org/. FHWA, AASHTO, and TRB Asset Management Conferences, Webinars, nd Peer Exchanges— see announcements on the TRB Asset Management Commiee web site (hps://sites.google.com/site/trbcommieeabc40/), the AASHTO Subcommiee on Asset Management website (hp://tam.transportaon.org/Pages/default.aspx), and the FHWA Office of Asset Management website (hp://www.wa.dot.gov/asset/). Step 4: Identify Benefits of Each Option Whether an agency is looking broadly across its enre set of TAM funcons, or has zeroed in on a specific area, it is important to build on a statement of business need and idenfy specific benefits to be achieved through advancing use of GIS. Two types of benefits can be disnguished: Efficiency Benefits—reducing the me or cost to complete a given task or work process. Effecveness Benefits—improving the agency’s capability to produce a desired set of outcomes and manage risk. In short, to quote the well-known management expert Peter Drucker, “Efficiency is doing things right; effecveness is doing the right thing.” Efficiency Benefits Efficiency benefits associated with GIS/TAM iniaves may include staff me savings from: Automaon of mapping tasks that were previously done manually; Reduced needs for on-site data collecon and inspecon—e.g., engineer or planner reviews videolog and recent inspecon history for assets along a corridor; Faster access to and analysis of informaon required for special studies, and response to internal management and external requests—e.g., rather than a week-long project to find, acquire, transform, and load data, analysts use central GIS portal; Automated integraon of data required to load management systems; Streamlined business processes for work order creaon, inspecon, and work recording— eliminaon of paper, automated transfer of data rather than re-entry; and Streamlined management of external work requests—e.g., geo-located work requests generate inspecon work order.

41 | P a g e They may also include: Reducon in soware licensing costs (e.g., through shiing to cloud or soware-as-a-service• • • • approaches) and Reducon in asset maintenance costs through iniaves that provide informaon that can be used to opmize deployment of maintenance resources—quanfied based on reducon of down me and deadheading. There are two ways to approach analysis of efficiencies: Current products and services as the baseline. In this approach, an agency assumes no fundamental changes in the quanty or quality of products and services provided by the agency’s business units. The agency esmates the current level of resources to produce these products and services. Then, it develops a scenario in which it has implemented a GIS/TAM improvement and esmates the level of resources required to produce these same products and services. Efficiency benefits from the GIS/TAM iniave are equal to the difference in cost between the current or status quo situaon and the scenario in which the agency has implemented the iniave. Improved products and services as the baseline. In this approach, an agency defines a new target level of products and services that it wants to provide. The agency defines two scenarios—one in which the improvements are provided without the GIS/TAM iniave, and a second in which the improvements are provided with the GIS/TAM iniave. Efficiency benefits from the GIS/TAM iniave are equal to the difference in cost between the two scenarios. Efficiency Benefits—Using Current Products and Services as the Baseline State DOT “C’s” pavement management unit currently prepares an annual “state of the pavements” report with a map for each district showing pavement condion, using desktop GIS tools to prepare the maps. It currently takes a total of 40 hours of a skilled GIS professional to export data from the PMS, import it into a GIS database, manually fix locaon errors, create the maps, and format output for the report. They esmate that they can cut this me down to one hour by developing a standard mapping funcon to produce the maps directly from their PMS, and enhancing the QA process for PMS data loading to check for valid locaon informaon.

42 | P a g e Effectiveness Benefits Effecveness benefits from GIS/TAM iniaves are due to improvements in decision support capabilies. By integrang and analyzing data spaally and presenng it in an effecve manner, the quality of informaon available to decision making is improved. Presumably, this enables beer decisions that, in turn, result in lower risks, lower life-cycle costs for assets, and improved customer service. Addional effecveness benefits are associated with increased agility in responding to execuve and stakeholder queries and increasing communicaon capabilies, enhancing the agency’s reputaon. Effecveness benefits are generally more difficult to quanfy than efficiency benefits. However, the following types of benefits can be quanfied based on stated assumpons about how the new GIS/TAM capability might be expected to affect decision making: Safety improvements—if capabilies are used to beer integrate safety consideraons into project scoping and priorizaon processes, agencies can esmate an effecveness benefit • • • • based on risk reducon—quanfied by projected decrease in the rates of fatalies, injuries, and property-damage crashes associated with the improved capabilies. Asset treatment selec on—if capabilies are used to idenfy and priorize opmal intervenon points for prevenve and restorave maintenance, agencies can quanfy benefits based on risks of applying the wrong treatment—either too much (wasted resources for unnecessary work) or too lile (deficiency reappears and needs to be re-addressed prior to normal life cycle for treatment). Agencies can also esmate reduced failure risks for crical assets, potenally leading to lower insurance costs. Construc on costs—if capabilies are used to improve project scoping and to avoid delays and change orders associated with the late discovery of new informaon, agencies can esmate an effecveness benefit based on average cost reducons for some percentage of projects. Project coordina on—if capabilies are improved to avoid conflicts across projects or maintenance acvies—e.g., coordinate paving and ulity projects; avoid closing a main and alternave route at the same me; benefits can be quanfied based on cost savings from combining projects rather than doing them separately, and reducons in lane closures and associated user costs. Efficiency Benefits—Using Future Products and Services as the Baseline State DOT “D” would like to begin producing decision maps for each district to help it scope rehabilitaon projects, taking into account traffic, crashes, pavement and bridge condion, and results of safety studies. They define two opons for producing these maps: (1) a manual opon in which an analyst downloads data from mulple systems and uses a desktop GIS tool to produce the maps and email PDF versions to each district; and (2) an automated opon in which the relevant data layers are pulled in to a central GIS portal and a custom map view is set up to show the informaon of interest. They esmate that for scenario 1, it would require 100 hours of effort to produce maps each me (once a year). For scenario 2, they esmate roughly 16 hours of effort per year to handle adjustments to data sources and updates to the standard maps.

43 | P a g e Summary of Efficiency and Effectiveness Benefits by TAM Business Area Table 10 summarizes the types of benefits that can be achieved through using GIS for TAM. Table 10. Value Added by GIS-TAM Capabilies Business Area— Funcon Efficiency—“Doing Things Right” Effecveness—“Doing the Right Thing” Understand State of the Assets—GIS Data Collecon Lower data collecon costs by: Collecng mulple assets in a single data collecon effort Automang locaon assignment using standard methods and tools Opmizing inspecon roung Using mobile devices loaded with exisng inventory to speed collecon Reduce risk of injury to data collecon personnel by: Using in-office GIS tools for asset extracon from video or LiDAR data Improve accuracy of informaon, reducing risks associated with decisions based on faulty informaon, and maximizing value for decision making by: Using GPS to accurately capture locaon informaon Using GIS to aid in quality assurance—visualize data gaps and anomalies Understand the State of the Assets— Mapping and Communicaon Reduce staff me by: Providing self-serve maps that cut down on the need for staff to fulfill special informaon requests and allow new staff members (and consultants) to quickly get up to speed Automang mapping tasks currently accomplished on an ad-hoc, manual basis Improve awareness of asset condion across the agency by: Providing a rich, easily accessible data source integrang imagery, asset characteriscs, and condion • • • • • • • • • •

44 | P a g e Business Area— Funcon Efficiency— “Doing Things Right” Effecveness—“Doing the Right Thing” Assess and Manage Risks— Risk Analysis and Disaster Recovery Planning Facilitate disaster recovery by: Providing a readily available • data source on asset type, locaon, and condion Lower agency risk exposure to asset failure by: Developing and using a robust informaon base for risk assessment and migaon Lower insurance costs through: Demonstrang use of prevenve maintenance to lower failure risks for crical infrastructure Idenfy Needs and Work Candidates Reduce staff me needed for data manipulaon and analysis by: Speeding integraon of data from different sources using spaal overlays and automated paroning/aggregaon of linearly referenced data Providing a plaorm for collaboraon—common view of informaon across mulple work units—eliminang need to duplicate data integraon tasks Idenfy and scope candidate projects that extend asset life, improve safety, minimize traffic disrupon, and reduce risks of adverse environmental impacts by: Integrang data that allows for idenficaon of root causes for poor performance Integrang data that facilitates consideraon of safety and environmental factors in determining maintenance and rehabilitaon need Using spaal views of asset needs to idenfy opportunies for efficient packaging of work Develop Programs— Priorizaon and Tradeoff Analysis Reduce staff me needed for scenario analysis by: Automang and speeding data integraon and presentaon tasks Maximize use of available resources by: Bringing together mulple data sets that facilitate priority seng Providing capabilies for visualizaon of the implicaons of different fund allocaon scenarios Providing capabilies to easily review a proposed program for geographic balance • • • • • • • • • • •

45 | P a g e Business Area— Funcon Efficiency— “Doing Things Right” Effecveness—“Doing the Right Thing” Develop Programs— Internal and Public Outreach and Communicaon Reduce staff me needed to support decision makers by: Reducing agency staff me responding to informaon requests and preparing presentaon materials for agency execuves Enhance public image and increase support for funding by: Improving ability to communicate agency plans to customers and elected officials Equipping agency execuves with intuive, self-service tools for “telling the story” about asset needs and program choices Manage and Track Work— Proacve Work Scheduling and Coordinaon Reduce me and cost of maintenance acvies by: Reducing the proporon of reacve maintenance through systemac planning of prevenve maintenance using spaal data Reducing need for return visits to bring addional equipment or materials due to proacve planning Coordinang ming of acvies involving similar skill sets and equipment within the same area Minimize customer impacts by: Packaging work to coordinate ming of mulple acvies requiring lane closures Reducing risk of asset failure impacng traveler safety or mobility through proacve approach to maintenance Manage and Track Work— Work Request Management Increase efficiency in deployment of maintenance resources by: Facilitang locaon of work requests and assignment to the appropriate work unit Automang work requests Enhance agency responsiveness to customers by: Providing easy ways to report issues (e.g., via mobile apps) Providing maps showing status of work requests Minimize customer impacts by: Reducing risk of asset failure impacng traveler safety or mobility through faster idenficaon of issues • • • • • • • • • • • • •

46 | P a g e Business Area— Funcon Efficiency— “Doing Things Right” Effecveness—“Doing the Right Thing” Manage and Track Work— Real-Time Tracking and Mobile Apps More efficient deployment of available staff and equipment by: Using real-me locaon • • • tracking informaon to idenfy the closest crew Lowering administrave costs for record keeping Improving ability to select most cost-effecve delivery method—through comparing in-house unit costs to private- sector bids for similar work Improving situaonal awareness for dispatchers and field crews Improve accountability through: Providing current informaon on work progress and status Providing mely informaon on work accomplishment and budget status Documenng work through “before” and “aer” geo-tagged photos Improve ability to opmize asset treatment by: Using a rich informaon base on locaons with high recurring responsive maintenance costs Improving access to work history informaon to help idenfy root causes for premature failure Step 5: Identify Risks Idenficaon of risks is an important part of developing the business case for a significant GIS/TAM investment. It is important to idenfy risks for each of the opons, including the no acon opon. A risk analysis allows agencies to: • • • • Examine assumpons about how much the iniave will cost, examine what benefits will be realized, characterize the uncertaines inherent in these assumpons, and, if possible, quanfy the impacts of higher and lower values of costs and benefits on project feasibility and worthiness; Idenfy factors that could impact project success or feasibility, and develop migaon strategies and conngency plans for each idenfied risk factor; and Highlight current vulnerabilies that an agency may have that could be reduced or eliminated by undertaking the GIS/TAM iniave (e.g., ability to meet pending federal requirements). Many agencies have established risk assessment and risk management procedures in place for major informaon technology projects that can be adapted to examine risks associated with significant GIS/TAM investments. The following types of risks should be considered for GIS/TAM iniaves: Organizaonal change—future changes in leadership, key personnel, or shis in priories may jeopardize the funding or management support for the effort. This is a parcular concern for iniaves that will require several years to complete. Migaon strategies include building a stronger base of support within the agency to reduce reliance on one or two key individuals, and/or pursuing a phased approach with concrete results aer each phase. • • • • • •

47 | P a g e Technology change• • • • • —rapid improvements in technology can mean that the tools or architectural approach selected at the start of the iniave may be obsolete or relavely inefficient by the me it is complete. It is important for agencies to be cognizant of where technologies are heading when embarking on a new iniave. Cost uncertainty—costs may be higher than ancipated to due unforeseen issues. For GIS/TAM iniaves, major risk factors include me required to clean up or convert legacy data sets, me to fix or work around data quality issues in the agency’s linear referencing system, unancipated complexies in integrang management systems and “scope creep” for custom applicaon development when requirements aren’t clearly defined or there isn’t a process for iterave development built in. Benefits uncertainty—benefits esmates are necessarily based on a set of assumpons about what the iniave is expected to accomplish, and how it will impact efficiency and effecveness of agency business processes. If these esmates are too opmisc, they won’t be credible and will overstate the likely ROI of the iniave. If these esmates are too conservave, the ROI will be understated and the agency may miss out on an opportunity to improve. Funding or support uncertainty—the organizaon lacks the management commitment and alignment to ensure a successful implementaon. It is important to confirm that the necessary level of support and internal cooperaon required to implement the iniave is there. Step 6: Put It All Together The final step in assembling a business case is to pull all of the informaon together, look at the results, and determine which opon(s) have the strongest potenal to achieve an agency’s objecves with a posive return on investment. A quantave ROI or benefit-cost analysis will strengthen an agency’s business case. Based on the benefits and costs the agency has esmated in steps 3 and 4, it can develop esmates for each of the opons. There are several templates available to help an agency—see, for example, reference [4]. In developing an agency’s analysis, there are several challenges that the agency will need to recognize in presenng its results: Acknowledging uncertainty. Prospecve (as opposed to retrospecve) ROI analyses rely on a variety of assumpons about how the new capabilies will be used and what impacts they will have. Uncertainty can be incorporated into the analysis through defining high and low values for assumpons, or (as noted in the Oregon DOT example above) use a probabilisc approach employing Monte Carlo simulaon. Benefit-Cost Assessment Using Monte Carlo Simulaon The Oregon Department of Transportaon conducted a benefit-cost analysis of nine GIS tools implemented as part of a major bridge delivery program. In order to reflect uncertaines, they represented some of their assumpons as probability distribuons rather than fixed values, and employed Monte Carlo simulaon to analyze how variaons in benefits and costs would impact the analysis. They presented the results in terms of the most likely value of the benefit-cost rao as well as low and high range values. For example, results for the nine tools showed a most likely benefit-cost rao of 2.1 with a range from 1.8 to 4.1. Source: reference [7]

48 | P a g e Quanfying intangible benefits.• • Intangible benefits such as improved decision making and enhanced customer responsiveness. Time savings through automaon of currently manual funcons is the most straighorward benefit to analyze; other benefits do not lend themselves as well to predicon and quanficaon. Accounng for changes in behavior. Technology investments enable new types of analyses that would previously have been cost prohibive to pursue. Aer implemenng a new GIS system, one might find that staff are spending more me on analysis rather than less. However, their decisions are presumably being improved based on new informaon available. Given the difficulty of quanfying improvements in effecveness, an agency will want to feature a descripon of the qualitave benefits that it expects, including concrete examples where possible. The following example illustrates the enre six-step process for developing a business case.

49 | P a g e Example: Adding Agency-Wide Geospaal Capabilies for Program Development Business Need State DOT “E” has a robust annual and mul-year program development process with both decentralized (district-level) and centralized components. To assess roadway asset needs and performance, both districts and headquarters offices rely on data from management systems that are not integrated, including pavement management, bridge management, and roadway crash informaon. Although the agency has a funconing GIS and the roadway inventory, structure inventory, and pavement condions can be mapped through the agency GIS, these systems are not fully integrated for access through the GIS view. In addion, the mul-year and annual program components are not currently geocoded through the agency’s GIS, so there is no systemac way to map or analyze locaons of programmed projects. A new asset management commiee was formed to develop a more integrated program development process involving a greater degree of coordinaon across pavement, bridge, safety, and traffic engineering improvement projects. Their goal is to provide a common view of asset condion, safety, and programmed projects that can serve as the basis for project scoping and priorizaon that reflects mulple needs. Opons The commiee defined three opons: 1. No change—connue current pracce of regular meengs across the different asset managers and district staff to review needs and discuss coordinaon opportunies. 2. Modify the current program management soware to require mapping of candidate project locaons; task the central GIS group with producing a map showing needs and project locaons based on data exports from each management system. 3. Build a GIS tool for defining candidate projects that enables each work unit to view needs from each management system. Idenfy Costs The commiee esmated the following costs for the different opons: Opon 1 Opon 2 Opon 3 Inial Costs A. Planning $0 $15,000 $30,000 B. So…ware Development $0 $100,000 $150,000 C. Data Integraon $0 $0 $50,000 D. Training/Change Management $0 $75,000 $100,000 Total Inial Costs $0 $190,000 $330,000 Ongoing Annual Costs A. User Support $0 $10,000 $20,000 B. Mapping $0 $25,000 $0 C. Applicaon Maintenance $0 $5,000 $5,000 Total Annual Costs $0 $40,000 $25,000 NPV of Costs over 10 Years (3% discount rate) $0 $531,208 $543,255 NPV = net present value.

50 | P a g e Example: Adding Agency-Wide Geospaal Capabilies for Program Development (connued) Idenfy Benefits Interviews with staff in the pavement, bridge, and safety units were conducted to walk through their current work process to prepare for program coordinaon meengs. In addion, interviews with district office staff were conducted to understand what data they used from the asset, safety, and program management systems and how much me they spent on data retrieval, reporng, and mapping tasks. Based on these interviews, the commiee esmated the following efficiency benefits for opons 2 and 3, relave to opon 1 (the baseline): Annual savings in pavement, bridge, and safety unit staff me to prepare data for meengs and respond to quesons about needs and plans: $30,000—savings of $255,906 over 10 years. Annual savings in district office staff me to prepare maps of project locaons based on descripons in the Program Management system: $15,000—savings of $127,953 over 10 years. Differences between opons 2 and 3 in terms of efficiency are related to the need for manual preparaon of maps for opon 2. This was accounted for in the cost analysis. Total efficiency benefits were esmated at $383,859 over 10 years. With respect to effecveness benefits, the commiee felt that having wel l-defined maps showing needs and project locaons would result in improved project scoping that considers mulple needs—above and beyond what would be accomplished via the current process. They also felt that it this would result in more effecve program development, providing the ability to account for needs of mulple assets as well as safety in project priorizaon and tradeoffs. Finally, they felt that opons 2 and 3 would improve the agency’s external relaonships, providing the ability to communicate agency plans to customers and elected officials. They hypothesized that opon 3 would have the largest benefit since it integrated the GIS tool more directly within the project development workflow, and therefore would have relavely greater influence on decision making. Idenfy Risks The commiee felt confident in the cost esmates and efficiency benefit esmates; the agency had carried out soware development efforts of similar scale and complexity in the past, using similar technologies and drawing on the same pool of in-house and consultant resources as they ancipated would be available for this new effort. The major area of risk to be migated was to ensure that the intended users of the new capabilies were on board and were amenable to changing their current project scoping and priorizaon processes. To migate this risk, they developed a change management plan including extensive user involvement in the applicaon development and tesng process. Summarize The team decided that rather than trying to quanfy the effecveness benefits, they would subtract the efficiency benefits from the costs and consider whether the effecveness benefits were worth the net costs: Net costs for opon 2: $147,349 over 10 years. Net costs for opon 3: $159,396 over 10 years. They compared these amounts to the scale of the pavement and bridge maintenance and rehabilitaon program—projected to be $2.5 billion over the 10-year period. The net costs represented less than .06 percent of the program costs. They determined that the effecveness benefits were worth far more than the net costs given the opportunity they represented to spend the available funds more wisely and enhance the agency’s external accountability. • • • •

51 | P a g e 4. Getting It Done: Ingredients for Success The Seven Ingredients for Success The success of any individual GIS/TAM iniave depends on a sound project plan that ensures management support, involvement of the right people in the organizaon, selecon of the right technologies, and a skilled and commied team. This secon looks at the bigger picture and summarizes the essenal ingredients for success in using GIS as an enabler for more integrated, spaally-enabled decision making. Figure 12 below illustrates the building blocks for a GIS/TAM program that enables an agency to create and sustain a powerful set of spaally-enabled data for TAM decision support and communicaon—in a cost-effecve manner. Figure 12. Ingredients for a Successful GIS/TAM Program The three pillars at the boom are required to support the program: 1. Management commitment and organizaonal alignment. An appreciaon on the part of agency execuves and division managers for how a spaal approach to asset management Better Decisions—Reduced Risk More Informed Staff Enhanced Agency Transparency Integrated, Spatially-Enabled Data for TAM Leadership and Alignment GIS Tools and Expertise Data Management & Stewardship Consistent Data Standards for Spatial Integration Management Systems Linked with GIS Coordinated Data Collection Programs 4 Foundational Geospatial Data 1 2 3 4 5 6 7

52 | P a g e can benefit the agency is essenal, since they must provide the leadership to make something happen. A shared vision for use of GIS across funconal areas is needed to achieve the integraon across data sets and systems that leads to substanal payoffs. Achieving this shared vision requires educaon and discussion to build awareness of the different levels of GIS integraon with asset management. 2. Accessible GIS tools and exper se. Individual work units that play a role in TAM must have access to GIS tools and experse so that they can fully integrate use of GIS into their daily workflow. They need to have a comfort level that allows them to view GIS as a standard tool in their toolbox—in the same category as spreadsheets and diagramming soware. 3. Well-defined and proac ve data management and stewardship. The agency must have established roles, responsibilies for quality assurance and updang of spaally referenced data sets, and protocols for sharing them and making them available as map layers. Once there is management support, a shared vision, tools and experse, and a data management and stewardship framework, the work of preparing and integrang data and converng this data into informaon for decision making can proceed in an efficient and focused manner. Essenal ingredients in making this happen are: 4. Accurate and complete founda onal geospa al data. The agency must have accurate and complete geospaal data that provides the foundaon for mapping, analysis, and locaon referencing. 5. Spa ally integrated data sets. There must be standards and pracces to ensure consistent spaal referencing across different agency data sets to facilitate integraon for mapping and analysis. 6. Management systems linked with GIS. Many transportaon agencies—especially state DOTs—make use of mulple disparate systems for road inventory, HPMS, pavement, bridge, traffic, safety, maintenance, program development, and financial management. Tight integraon of these systems with a common GIS/LRS allows mulple data sets to be combined for analysis. 7. Coordinated data collec on across the agency. A coordinated and consistent approach across business units to collecng asset inventory, condion, and work accomplishment data in the field enables the organizaon to achieve economies of scale and spread the cost of investments in new technologies across mulple data collecon efforts. These ingredients were idenfied because they represent areas in which agencies may need to focus aenon in order to address common implementaon challenges. Challenges can be related to leadership, personnel, data, technology, or general resource limitaons. These challenges can present roadblocks to progress, but can also be viewed as opportunies for achieving true gains in agency efficiency and effecveness. For each of these seven ingredients, potenal strategies for success are presented that agencies can consider as they tackle specific challenges. Ingredient 1: Management Commitment and Organizational Alignment Essentials An appreciaon on the part of agency execuves and division managers for how a spaal approach to asset management can benefit the agency is crical, since they must provide the leadership to make something happen. Asset and program management business unit managers need to understand and recognize opportunies for using GIS to gain efficiency and effecveness and to manage risk.

53 | P a g e In order to undertake iniaves requiring mul-year investments in foundaonal geospaal data, tools, and technologies, sustained execuve support and a coordinated agency approach is required. A shared vision across the agency for use of GIS can help to build support and ensure the level of cooperaon needed to achieve true integraon of informaon and its associated benefits. Common Challenges Challenges faced by agencies that have not achieved management support and alignment include: • • • • • • • • • • • • A lack of management awareness within business funconal areas (e.g., pavement, bridge, maintenance, program development) of potenal value added through geospaal analysis. Independent and inconsistent or duplicave GIS efforts within individual business units. The inability to jusfy investment for new systems and data iniaves given resource limitaons and compeng priories and perceived risks associated with implementaon of new technologies. Difficulty of implemenng iniaves with a mul-year payback horizon, parcularly given limited tenure of agency leaders. An emphasis on day to day pung out fires rather than longer-term process improvements. A tendency to focus on the specific responsibilies of the business unit, even when greater collaboraon with other units would result in greater benefits to the agency as a whole (e.g., safety and pavement management). Strategies for Success Educaon. Build awareness and support for GIS iniaves across a broad coalion of middle managers to support sustained mul-year efforts across changes in senior leadership. Provide opportunies for business funconal-area managers to learn about successful applicaons of GIS technology through training courses and peer exchanges. GIS Strategic Plan. Develop a strategic plan for GIS implementaon (or build on an exisng plan by developing a GIS element for the TAMP). Involve key stakeholders from mulple business units to build consensus on the approach. Plan for the Long Term. Define a mul-year program of GIS investments to spread costs over me and ensure agency capacity to absorb changes to processes and applicaons. Business Case. Document a solid business case for parcular iniaves, demonstrang alignment with agency mission and priories, and document (as well as quanfy where possible) enterprise-wide benefits and costs. Pilots. Use pilots to demonstrate feasibility and benefits prior to a major commitment of resources. Build Bridges. Encourage opportunies for collaboraon across the stovepipes where there may be benefits to the agency as a whole.

54 | P a g e Ingredient 2: GIS Tools and Expertise Essentials While most DOTs do have GIS soware and skilled GIS professionals, successful integraon of GIS within TAM business processes requires that staff within units responsible for specific assets (e.g., pavement, bridge, safety) as well as staff with cross-asset program development responsibilies have access to GIS tools and data, and the experse to know how to use these tools to conduct analysis. They must have access to available agency GIS support resources including training and assistance with GIS soware configuraon and data access. There must also be open communicaon channels between agency GIS support unit and asset management staff to ensure that technology decisions are being made to maximize business value. Common Challenges • • • • • • • • • A lack of GIS skills within business units responsible for asset and maintenance management funcons and/or lack of knowledge about potenal applicaons that would save me or add value. Insufficient communicaon between central GIS units and the potenal user community to understand applicaon needs and priories. A lack of tools that allow users without formal GIS training to view and analyze geospaal data. No centralized repository or catalog of available data from internal as well as external agency sources—making data discovery difficult or me consuming at best. A lack of tools for downloading and exporng data in suitable formats. Strategies for Success Central GIS Funcon. Establish a focal point for GIS in the agency to set the strategic direcon, priorize investments, manage enterprise technologies and data, and provide support. Provide Tools for Casual Users. Build and deploy applicaons that automate access to GIS data and enable casual users to create maps and overlay data sets. Tailor GIS applicaons to the needs of specific user groups. Central Data Catalog. Provide a central GIS data catalog with standard metadata for each GIS data set. Allow users to download data in mulple formats. User Group. Establish a GIS user group for informaon sharing about technologies, tools, and applicaons. If a user group already exists, encourage staff from asset management–related units to parcipate in meengs. GIS in Maryland—the Power of Leadership Support for GIS at the state level in Maryland has been strong due to a governor that has been quoted as saying, “If it isn’t on a map, it doesn’t exist.” The governor learned firsthand about the power of GIS from his experience as mayor of Balmore with the CiStat program. Maps were the centerpiece of this highly successful performance management program, credited with achieving a substanal percent reducon in violent crime. The governor has brought together state and local government to build a statewide base map, providing the foundaon for the state highway agency’s enterprise GIS program that includes a spaal asset data warehouse.

55 | P a g e • • • • Brainstorming. Conduct informal brainstorming sessions involving asset management staff and GIS professionals in the organizaon to idenfy how to beer leverage GIS capabilies. Integrate the Experts. Provide opportunies for central GIS staff to be embedded within business units or rotate across business units. Hiring and Orientaon Processes. Include GIS and geospaal data management skills in staff job descripons. Include an agency GIS data and basic applicaons course as part of new employee orientaon. Standard New User Setup Process. Develop a standard process for seng up a new user and providing the training and documentaon they need to get started using agency GIS tools. Ingredient 3: Well-Defined and Proactive Data Stewardship Essentials Agencies are increasingly recognizing that data is an asset in and of itself, and needs to be managed as such. Prior to collecng data, there must be a well thought out plan for how these data will be used and by whom, what are the quality expectaons and how they will be verified, where the data will be stored, when and how they will be updated, what other informaon needs to be integrated, and who will be responsible for day to day and policy-level management of the data. Because GIS data sets typically integrate non-spaal business aributes associated with spaal features, they are parcularly suscepble to duplicaon and synchronizaon issues. Sound data management pracces can be implemented within an individual business unit, but ideally they will be standardized agency- wide. This allows for an efficient centralized support structure to be established for data storage, data quality assurance, metadata management, and access. Common Challenges Ambiguity in who owns the data—making it difficult to establish accountability for data quality. Dispersion of data sets throughout the organizaon, making it difficult to discover what data exists. Loss of valuable data sets due to employee departures or hardware failures. Outdated data sets with no clear plan or assigned responsibilies for updang. Mulple versions of data sets—lack of a single-source system of record. Lack of staff resources to perform data quality assurance and updates. Data sets in varying formats without sufficient documentaon for users to understand the content and limitaons. Lack of consistency in coding of fields needed for linkage across data sets—such as district, organizaonal unit, jurisdicon, fiscal/calendar year, project number, etc. Strategies for Success Data Business Plan. A data business plan effort can be undertaken to systemacally idenfy what data are needed by different funconal areas and to lay out a coordinated plan for collecng, updang, managing, and providing access to the data. Data Management Roles and Responsibilies. Roles and responsibilies for GIS data management can be defined with a process to assign these roles to specific individuals for each data set—with the support needed to ensure that these individuals have the knowledge, me, and resources needed to meet their responsibilies. • • • • • • • • • •

56 | P a g e Data Management Standard Pracces• • . Standard management pracces for GIS data sets— including designaon of the single source system of record, naming convenons, storage and backup protocols, metadata standards, cataloging, retenon policies, and procedures for protecon of sensive informaon. Geospaal Data Catalog. Maintain an up-to-date catalog of geospaal data sets within the agency, providing access to standard metadata, including clear idenficaon of the update cycle and responsible business unit or individual. Ingredient 4: Accurate and Complete Foundational Geospatial Data Essentials Agencies embarking on GIS/TAM iniaves need to have accurate foundaonal geospaal data, including a base map, road centerlines, and an LRS that provides the backbone for integraon of roadway and asset data. In addion, it is important to have high quality basic road inventory data including fundamental geometric and administrave characteriscs, as well as accurate and up-to- date jurisdicon boundaries and district or regional boundaries that define maintenance responsibilies. Each of these foundaonal elements must have a regular and well-defined updang process, data management, and refresh processes that ensure use of the most current data from the designated source system of record. Common Challenges The lack of a single, authoritave, and centrally managed LRS. The lack of a consistent approach to managing and coordinang changes in the LRS over me. Poor quality of foundaon data (e.g., road centerlines and routes) is an impediment to mapping and integrang asset data. Gaps in geospaal coverage of road inventory data. Road inventory elements such as number of lanes and pavement type are maintained in separate databases and not kept in sync with a master source system of record. A lack of quality and consistency across other core geospaal data sets including jurisdiconal boundaries, district/region boundaries, and road inventory data. Strategies for Success Standardize Core Data. Implement a centrally-managed LRS with mulple referencing methods reflecng agency business needs, drawing upon commercially available applicaons as appropriate. Collaborate. Build foundaon data ulizing both internal agency resources and coordinaon with external partners. Invesgate Commercial Data. Negoate with private data providers to determine whether data purchase may be more cost effecve than in-house collecon and maintenance. Assess and Improve Quality. Develop and report data quality metrics for core geospaal data sets including road centerlines, jurisdicon boundaries, district or region boundaries, and road inventory. Implement Standard Update and QA Processes. Define roles and responsibilies for updang road centerline and LRS informaon as the road network changes. Make use of field-collected data for asset management to check and improve road network data quality. • • • • • • • • • • •

57 | P a g e Incorporate Technology.• • • • • • • • • Ulize new technology to automate exisng data collecon processes and ensure accuracy. Ingredient 5: Consistent Data Standards Enabling Spatial Data Integration Essentials Core data sets required for asset management such as asset inventory, asset condion, traffic, crash, capital projects, and maintenance work records need to include consistent locaon referencing that allows them to be spaally integrated. This is a major hurdle to overcome in many agencies. Tools for combining linear event data (e.g., pavement secons, traffic links, projects) based on different segmentaons must be easily accessible to analysts supporng asset management units. Common Challenges Variaons in the locaon referencing methods across data sets that prevent data sets from being mapped or placed on the established LRS. Foundaonal GIS and LRS data may be in place, but this problem can be faced if LRS standards are not followed. Existence of data sets with varying levels of accuracy—collected by different organizaonal units using varying techniques at different scales and with different aributes. Programs for asset inventory or inspecon may have been established prior to the development of agency-wide locaon referencing standards. The agency’s central LRS is less accurate or less up to date than other LRSs, making business units unwilling to use the central system unl data quality issues are corrected. A lack of automated tools for combining data sets based on different segmentaons of the network. A lack of consistency in data collecon processes, creang discrepancies in data collected at different mes and on different versions of the network—data collected at different points in me may reference locaons that have undergone changes in route designaons. GPS data collected without following standard protocols to ensure an acceptable level of accuracy or precision. A lack of tools and methods to match up GPS-located data with the agency’s road network data. Ohio DOT: Benefits from Common Spaal Referencing “By analyzing business processes, the Ohio DOT realized that users at different levels were repeatedly making business decisions that required asset informaon that was stored in disparate systems. There were problems in decision making and delays in answering quesons. The GIS area was geng an increasing number of requests for project maps that required tedious manipulaon of data from different systems and the resulng data accuracy was quesonable. The Ohio DOT recognized that having a common locaon referencing system is crical for integrang systems. The various systems all had elements of referencing systems, but all had problems with data integrity, domains, and consistency. The Base Transportaon Referencing System (BTRS) was designed to address this data quality and integraon problem. BTRS integrates applicaon systems through a common idenfier. The BTRS framework is the basis for consolidang the different inventories to a single linear referencing system.” Source: reference [8]

58 | P a g e • • • • • • • • • • Data collected without precise referencing (e.g., just a county and route) or using informal locaon referencing—e.g., with text references to mile markers. Data collected using street names rather than official route designaons or referencing overlap routes as opposed to the master or primary route designaons. Data referenced to jurisdicon boundaries based on signage that doesn’t match with official boundary locaons in GIS data sets. Lack of tools and procedures for QA and translaon from coordinates to linear referencing. The agency lacks a designated funcon to perform proacve planning and coordinaon to idenfy business needs for data integraon. Strategies for Success Standardize. Develop policies and standards for new data collecon, contractor-supplied data sets, and system development to ensure consistency with enterprise LRS. Define Data Integra on Requirements. Review specific business requirements for integrang mulple data sets and establish necessary protocols for quality assurance, ming of updates, and geospaal level of precision. Define Trend Analysis Requirements. Review business requirements for locaon-specific trend analysis and other uses of historical data sets to ensure that requirements related to temporality are met. Convert Legacy Data. Undertake efforts to aach consistent geospaal referencing to exisng data sets, using automated or semi-automated processes where possible. Provide Tools. Develop/acquire tools for converng across different referencing methods, dynamic segmentaon, and paroning across mulple linearly referenced data sets. Provide access to these tools to both GIS/IT staff and business users. Ingredient 6: Management Systems Linked with GIS Essentials Asset and maintenance management systems—which serve as the focal point for review of asset condions, needs, development of work candidates, and program/project management systems that maintain informaon about proposed and programmed projects—should be spaally-enabled to allow for convenient analysis. Each management system should be linked to the agency’s core geospaal data, including its LRS. This allows for informaon from each system to be brought together for analysis and presentaon, using the full array of GIS tools and applicaons that the agency has available. Today’s commercial asset and maintenance management systems include integrated GIS funconality or can be configured to integrate with an agency’s GIS data and tools. Assuming that each management system uses one (or more) of the agency’s standard locaon referencing method(s), the key challenge in making this integraon work is keeping the management systems in sync with the agency’s LRS as the road network changes. This is relavely straighorward for agencies that have a single integrated GIS-centric asset management system. However, when an agency has several different management systems (as most state DOTs do)—for pavement, bridge, road inventory, safety, traffic, signs, signals, etc.—keeping networks in sync can require considerable effort. Some agencies use a snapshot approach, refreshing spaal data across systems on an periodic (e.g., annual) basis. Live spaal integraon across systems has been implemented, but involves greater complexity and must be carefully planned and orchestrated.

59 | P a g e Common Challenges • • • • • • • • • • Asset and maintenance management systems were built with their own internal methods for locaon referencing and management, and are inconsistent with the agency’s GIS/LRS maintenance systems. Data from different asset management systems cannot be easily integrated due to inconsistencies in locaon referencing and/or lack of tools to convert across referencing methods. Projects and maintenance acvies are not spaally located in a standard way, making it difficult to overlay this important informaon with asset inventory and condion data. Locaon referencing for data within asset management systems gets out of sync with the agency’s master network as updates are made. Strategies for Success Target Architecture. Develop a target system architecture that integrates GIS/LRS, asset management, maintenance management, and program/project management systems. Develop a strategy for moving toward the target architecture as legacy systems are replaced or upgraded. So ware-Neutral Design. Implement a database-centric, soware neutral approach that maintains agency flexibility to ulize a variety of off-the-shelf tools and takes advantage of new products as they come available. Standard Interfaces. Develop standard interfaces to synchronize locaon referencing and to enable the management of asset and work locaons within the central GIS/LRS while managing business data within the asset management system maintenance management system (MMS). Standardize Pracces for Locang Construcon Projects and Maintenance Acvies. Integrate GIS-based interfaces into program and maintenance management systems that allow end users to specify locaons for projects and maintenance acvies on the agency’s LRS. Simplify. Consider consolidaon of asset management soware packages to minimize the number of interfaces and simplify data integraon processes. Benefits from simplificaon need to be weighed against costs of system transion, the need to meet specialized requirements, and the desire to avoid risks that may be associated with over reliance on a single vendor. Leverage ERP Iniaves. If an agency is undertaking an ERP implementaon, use this as an opportunity to standardize interfaces between management systems for asset inventory, maintenance, and project/program management and the agency’s GIS/LRS. Ingredient 7: Coordinated Data Collection Across the Agency Essentials A coordinated approach to data collecon across business units responsible for different assets can save the agency money and make it easier to ensure that data are collected using consistent and compable spaal referencing methods. There may be opportunies to collect informaon for mulple assets at once (e.g., through use of video and remote sensing techniques) or to use the same field equipment and data collecon soware for several different assets. There may also be

60 | P a g e opportunies to update inventory and condion data based on work accomplished in a consistent manner across mulple assets. • • • • • • • • • • • • • • • Common Challenges Resistance on the part of individual business units to change longstanding data collecon programs that meet their specific needs and feed decision support systems. A lack of incenves to coordinate data collecon efforts across business units. Variaons in requirements for data collecon frequency, accuracy, and precision across business units. A lack of a one-size-fits-all data collecon soluon to meet diverse requirements for accuracy and precision. Inability to coordinate funding or ming for mulple special purposes or one-shot efforts that are not planned well in advance. A lack of coordinaon between business units planning data collecon and central IT units to provide storage and access for new data sets, contribung to data silos. Network and telecommunicaons limitaons prevenng reliable communicaon between field devices and source or target databases. Costs associated with new data collecon hardware and soware acquision. Strategies for Success Data Business Plan. Develop a data business plan that reviews the cost, efficiency, and scope of data collecon efforts and that idenfies opportunies for consolidaon and applicaon of new technology while recognizing a need for mulple approaches to meet business requirements. Standardize. Develop centralized data collecon standards, processes, and training along with consistent approaches to locaon referencing and links to exisng asset inventory data across data collecon efforts. Data Collecon Review Process. Develop criteria for undertaking new data collecon efforts and a phased approach for adding new data sets. Consolidate. Build on a single exisng data collecon program (e.g., video logging) to meet mulple needs. Pilot New Technologies. Pilot test new data collecon technologies [e.g., light imaging detecon and ranging (LiDAR)] with mulple business units. Outsource. Consider outsourcing development of data collecon apps and/or data collecon and quality assurance processes. Cloud Storage. Consider cloud-based data storage and access to reduce hardware demands.

61 | P a g e Case Studies The following case studies demonstrate how the ingredients for success have been ulized to advance asset management pracces in several states. Each case study focus on a different aspect of GIS implementaon and applicaon. West Virginia DOT: Integrating Leveraging ERP Implementation for Advances in Asset Management and GIS West Virginia DOT (WVDOT) is responsible for maintaining almost 39,000 miles of roads, which represent the majority of the state’s public roads. Unl 2005, WVDOT did not have a GIS unit or any geospaal applicaons. The agency had purchased GIS soware, but had not really begun to use GIS to manage its infrastructure or any of its assets. In 2007, WVDOT developed a geospaal strategic plan to guide implementaon of GIS both within the planning division and across the agency. Part of the plan was to adopt a consistent route ID format to be used as a unique idenfier for each state-maintained route. This standard route ID was then required to be used in all of the DOT’s business data systems, allowing for integrated viewing of assets and events in geospaal applicaons. In 2012, the state of West Virginia began a major ERP project called wvOASIS. The goal of the project as stated in the mission statement is to “gain operaonal efficiencies and seamless integraon across administrave business funcons by fundamentally transforming how the State manages its financial, human resources, procurement and other administrave business processes.” For WVDOT, the ERP project focuses on implemenng several modules of a commercial asset management suite for maintenance, fleet, and safety. While the wvOASIS project has been underway, WVDOT has made great strides on the geospaal front. The agency has developed a number of geospaal applicaons that allow for viewing, mining, reporng, and mapping of asset and associated business data. These geospaal applicaons include a straight-line diagram (SLD) tool with integrated mapping and video log components and a highway performance monitoring system (HPMS) console. The SLD allows the DOT to view point assets (e.g., culverts, bridges, highway signs, and intersecons) and linear assets (e.g., speed limit, funconal classificaon, surface type, and guard rails) along its network. The SLD includes an integrated map that can display themac informaon (such as color coding routes based on pavement condion), charng capabilies (pie charts, graphs), asset display and reporng, and redlining capabilies. WVDOT’s video log images can also be displayed through the SLD. The HPMS console provides WVDOT with the tools to track the processes associated with gathering and validang the informaon needed for the annual FHWA submission. The HPMS fields are displayed as a component of the integrated SLD. The introducon of GIS has had a very posive impact on WVDOT's ability to visualize and combine data in ways not possible before the agency adopted a geospaal foundaon for data integraon. GIS has provided the agency with large financial benefits resulng in the savings of several million dollars in tax payer dollars due to more efficient reporng and analysis. In addion, WVDOT is now working on integrang its geospaal technologies with the agency’s asset management systems through the state wvOASIS project. This ERP project will result in the DOT's ability to be more proacve in addressing safety and highway improvement needs. - Hussein Elkhansa, Geospaal Transportaon Informaon Secon Head

62 | P a g e Recently, WVDOT made the decision to implement a commercial off-the-shelf soluon for managing its underlying LRS and associated business data. The SLD has been developed to integrate with this soluon and will allow for eding data through the SLD format. With all the advances on both the GIS and asset management fronts at WVDOT, GIS and asset management processes have remained fairly separate. WVDOT has therefore iniated a project to integrate their LRS soluon with their commercial asset management systems, which includes packages from two leading vendors. WVDOT is part of a mul-state consorum that is working with leading GIS and Asset Management vendors to set standards that will allow for the exchange of data using modern technologies. WVDOT made the decision eight years ago to become a leader in the geospaal industry by developing and deploying applicaons that integrate GIS and asset management technologies. Today the agency has set an excellent example for other DOT’s for how to advance an agency’s decision- making capabilies in a relavely short period of me. Washington State DOT: Strong GIS Foundation for Decision Support WSDOT has developed a mature GIS program that meets mulple business needs throughout the agency, including project planning, programming, design, construcon, and maintenance. Key elements of this program include: Standard locaon referencing methods used for road-related GIS datasets• • • • • —based on state route ID + milepoint—with translaon tools for converng across accumulated mileage, milepost marker locaons, and GPS coordinates. These translaon tools are viewed as a major success factor for the GIS program since they allow for flexibility in data collecon method while ensuring a straighorward integraon path for data sets collected using different methods. A GIS Roadway Datamart containing geospaal data on roadways (lanes, widths, surface types), shoulders, medians, alignments, curves, intersecons, speed limits, bridges, rest areas, weigh staons, and other elements. Because WSDOT’s core highway inventory system is mainframe-based, the agency uses a data warehousing approach to facilitate access to pre- packaged data sets. The GeoData Distribuon Catalog which provides web-based access for viewing and downloading spaal data sets, including those in the Roadway Datamart. The GeoPortal Map for viewing selected data layers in a web browser, including funconal classificaon, jurisdicon boundaries, interchange drawing diagrams, and WSDOT region and maintenance boundaries. The Roadside Features Inventory Program (RFIP) for collecng, storing, and reporng roadside features such as guardrails, culverts, signs, and others in or near the clear zones of highways. This effort consolidated previous efforts within individual business units to collect data and provided a uniform approach that standardized and centralized collecon and storage. This approach allowed WSDOT to improve data collecon efficiency, data accuracy and consistency, and enhance data access and reporng. The data are used for a variety of purposes, including priorizaon of maintenance and safety funds, and environmental regulatory compliance. Currently WSDOT is exploring cost-effecve ways to collect and update roadside feature data by capturing informaon using GPS-enabled mobile devices as part of construcon and maintenance processes. For example, maintenance crews update informaon on culverts while performing roung cleaning.

63 | P a g e The GIS Workbench that brings together an extensive set of GIS data layers in an ArcGIS (thick • • • • client) environment (including the roadside features data, collision data, traffic data, environmental data, etc.) and provides specialized tools for spaal analysis and access to as- built plans and imagery, and impact risk screening. This applicaon was originally developed to support environmental analysis, but currently is used more broadly across the DOT and can be configured to meet specific needs. Standard processes have been developed for adding new data layers—including establishment of data owners and update cycles. The applicaon is supported by GIS staff who update the data layers and associated metadata, provide training and support, and conduct periodic outreach to idenfy enhancement needs. WSDOT collects and displays real-me data from maintenance vehicles, including plow locaon, applicaon of sand and de-icing chemicals, temperature, and surface condion. This informaon is used to manage winter maintenance acvies and deploy trucks to where they are most needed. Recent examples of how WSDOT has used GIS for decision support related to asset management include: Used GIS to analyze a proposal to lower the threshold for triggering pavement treatments to address rung from 12 to 10 millimeters. Spaal data was assembled on fatalies (six years of data), paving projects with rut depth prior to paving, and rainfall intensity. An analysis of these data indicated that there was no evidence that shiing to the 10 millimeter trigger would have any significant impacts on fatality reducon. While the movaon for considering the threshold change was to reduce fatality risk, the analysis helped to show a negligible level of risk reducon for a change that would require a higher allocaon of funds for paving. Used GIS to assess Americans with Disabilies Act (ADA) needs for development of a transion plan and targeted program. Spaal data on idenfied ADA needs idenfied in 2009 were overlaid with completed paving projects since 2009 in order to assist with idenficaon of remaining needs. Utah DOT: GIS as a Transformative Technology for Asset Management Utah DOT (UDOT) provides an example of an agency that transformed itself from GIS skepc to GIS proponent over a relavely short span of me. This transformaon has changed the pracce of asset management—enabling the agency to use available informaon to beer target its resources. Initial Efforts The agency started with an applicaon in the environmental area— creaon of categorical exclusion documents. They succeeded in reducing the process from months to a few days by pulling together available data within a common GIS plaorm and automang standard processing and display tasks. A second successful effort involved presenng the STIP on a GIS plaorm. While this was costly to achieve since the project data were not spaally referenced in a consistent manner, the result provided a highly useable tool that allowed legislators to understand the program—and represented a major improvement over the somewhat daunng 400 page STIP document providing tabular lisngs of each project. The format allowed UDOT to effecvely tell GIS has really changed the way we do business at UDOT. - Stan Burns, UDOT Director of Asset Management

64 | P a g e the story in a way that they had never been able to before. Through this pracce, Utah DOT was able to portray the agency as capable, forward thinking, pro-acve, and worthy of consideraon for revenue enhancements. GIS was not the single soluon that helped to build public confidence in the agency, but it played an essenal role in this process. Lawmakers responded extremely favorably to the GIS informaon provided—they asked “Why haven’t you shown us this before?” UDOT Today Aer demonstrang inial success by leveraging exisng data, UDOT worked to establish consistent locaon referencing across data sets. The agency’s efforts to establish a disciplined approach to maintaining construcon project locaons paid off, when before it inially took weeks of effort to map the construcon program, now an accurate program map can be created at the click of a buon. At the same me, UDOT pursued development of two applicaons: UGATE and UPLAN, providing centralized GIS data access and display capabilies. It also invested in obtaining a rich base of high- quality roadway and asset data ulizing LiDAR technologies. The LiDAR data collecon effort has included: • Pavement surface area and width. • Shoulders. • Horizontal and vercal curves. • • Intersecons (signalized and unsignalized). Bridges (including vercal clearances). • Retaining walls. • Bike lanes. • Medians and barriers. • Signs (inventory and condion). • Culverts. • • • • • • • • Drop inlets. Guardrails. Pavement markings and messages. Rumble strips. UDOT’s UGate portal allows users to find and download data derived from the LiDAR collecon and other sources in different GIS formats. In addion to the LiDAR elements listed above, data available in UGate includes pavement condion, pavement deflecon, HPMS inventory informaon, jurisdicon boundaries, AADT, crash rates, annual planned paving projects, construcon program projects, and long-range plan projects. UDOT’s UPlan provides an interacve mapping plaorm hosted in the cloud. UPlan features a series of special purpose map views, including: A STIP workshop map, providing access to informaon about proposed projects; A pavement management map showing historical and current pavement condion for Utah state roads as well as current, past, and forecasted pavement treatment projects; A culvert map showing culvert locaon, type, size, condion, and maintenance acon recommendaons; and A map supporng data quality assurance for sign retroreflecvity informaon.

65 | P a g e Map 6 illustrates a GIS capability for providing access to informaon about proposed transportaon projects. Map 6. Provide Informa on About Proposed Projects UPlan maps are interacve and customizable, and APIs are provided for development of mobile applicaons. Currently, GIS at UDOT is an essenal tool not just for displaying the end result of the program development process, but also for developing the program itself—and telling the story of how it was developed: • • UDOT is now able to make use of integrated AADT, crash, geometric, elevaon, and asset condion informaon to target resources where they will have the greatest payoff considering needs for safety, mobility, and preservaon. Using integrated GIS data, UDOT is able to idenfy specific locaons where asset replacement, rehabilitaon, and preservaon acvies can be coordinated. As an example, the agency created a sign and culvert management program that provides funding for sign and culvert

66 | P a g e replacement or repairs that are linked to paving projects. Tailored GIS views are provided to assist in targeng locaons based on condion of pavements, culverts, and signs. • • • • GIS applicaons are used to assemble data for developing project concept plans considering mulple assets. These applicaons are used interacvely at program development workshops with the Transportaon Commission to provide an overview of each candidate project and to zoom in to show road imagery, current condions, and project details. DOT staff have also used UPlan to distribute maps before meengs, cung down significantly on me spent reviewing project plan elements and other details. Use at the Regional Level Although the technology and tools are sll new, UDOT regional offices are already finding GIS to be a valuable tool in conduct of their day-to-day acvies. Region 4, in parcular, has championed GIS usage for a range of applicaons and found that it has really supported their ability to do more with less (in terms of resources and staff). Because this region covers a very large area spanning the enre southern half of the state, planning, scoping, and coordinang work is a significant challenge. GIS has helped staff to reduce me spent in the field. They have deployed smartphone apps that allow staff to easily geo-reference informaon. This informaon is then made available for statewide access. Some of the ways Region 4 is using GIS include: Tracking rumble strips—the region has been a leader in applicaon and installaon of rumble strips to improve traffic safety. They have compiled GIS data on current rumble strip locaons and types (shoulder or center line), locaons that have been evaluated for potenal applicaon with condions that preclude installaon (e.g., bike route or no shoulder), and locaons not yet evaluated. This informaon is shared widely and used for safety analysis and project planning. Idenfying wildlife crossing locaons—Region 4 is engaged in an ongoing effort to reduce the number of wildlife–vehicle collisions on its roadways through the addion of wildlife roadway crossings. They use their smartphone app to geo-reference sites where animal carcasses are picked up. They use UPlan to display these data along with data on locaon and characteriscs of exisng culverts and bridges. This analysis helps them to quickly hone in on candidate locaons for new crossings. Prior to availability of easy-to-use GIS tools, this type of analysis was outsourced—now it can be done in-house. This results in an esmated cost savings of roughly $30,000 per analysis. Preparing for project scoping visits—Region 4 engineers, designers, and surveyors use UDOT’s Linear Bench SLD tool to review exisng asset data in preparaon for site visits. They have found that this allows them to reduce the amount of me spent in the field and avoid the need for repeat visits. This is extremely helpful given the large size of the region—it may take three or more hours of travel me to reach a project site. Rather than spending on-site me collecng new data, they simply confirm the accuracy of data and assumpons that will be used for scoping and design. Correcons and updates are recorded ulizing smartphone apps. Like most DOTs, we have a finite number of employees. We can’t do more with less if we keep doing things the same way—it is necessary to embrace new technologies like GIS. That is the only way to be more efficient. - Monte Aldridge, Preconstrucon Engineer, UDOT Region 4

67 | P a g e Reducing project delays and permit approvals—Region 4 has already seen examples of approvals moving much more quickly through the perming process because the locaons of concern (e.g., environmentally sensive areas) can be accurately mapped and easily shared with partner agencies. In a recent case the U.S. Fish and Wildlife Service approved a request for a project in one day because of the display of GIS data; prior to having this in GIS, the approval process could have taken up to two months. In another case, staff were able to ulize data derived from design files for a project to see that a planned guardrail was located within a known cultural site. Based on mapping informaon, they were able to adjust the guardrail locaon by a few hundred feet and avoid the need to conduct a costly and me consuming (months long) environmental review. Designing projects—Region 4 designers are finding that the GIS data is accurate enough for use in preliminary design work. Without much work, the DOT can have an accurate esmate of a potenal project. Availability of accessible, high-quality data has allowed staff to reduce the number of trips to the field, resulng in substanal cost savings for the agency. Sharing notes from the field—as surveyors, inspectors, or engineers are in the field, they are able to upload their notes about condion, etc. directly to the GIS database using a smart phone or other mobile device. These notes are then accessible to anyone else working on the project. In Region 4, a pre-construcon engineer serves as a strong champion for GIS adopon, and technical support is provided by a GIS specialist housed within the regional office. These two individuals were crucial to the success of GIS adopon and realizaon of associated business benefits. Once inial capabilies were introduced, region staff idenfied many other ways in which GIS could add value. Payoff from GIS and Open Data UDOT was recently selected by the Naonal Associaon of State Chief Informaon Officers (NASCIO) as a finalist for the State IT Recognion Award in the Open Government Iniaves category.1 They were honored for their efforts related to open transportaon data with UGate and UPLAN. Per NASCIO’s project descripon, UDOT esmates the following cost benefits relevant to this project: Improved asset inventory using LiDAR Point Cloud: $250,000/year. Improved workflow and data visualizaon in the planning process in FY2012: $300,000. Streamlined NEPA data collecon and categorical exclusion documentaon: $100,000 in first year. Eliminaon of need for (state) redundant or similar systems and data through effecve sharing: $5 million one-me and $1,600,000 ongoing. Success Factors The following elements have been instrumental in the agency’s success to date in applying GIS for asset management: A common LRS – like many agencies, UDOT houses business data in separate systems. A common LRS is crical for pulling it all together for display and analysis in UPlan. Five or six years ago, there were several different ways of locang informaon on the road network. It took senior leadership and management to get everyone on the same page. 1 hp://www.nascio.org/awards/nominaons2013/2013/2013UT9-NASCIOOpenGovernment2013uGate(2).pdf • • • • • • • •

68 | P a g e Emphasis on collaboraon and sharing data across the agency, and with partner agencies – this was a “mantra” used to help break down the tendency for each business unit to want to collect and manage data sets tailored for its own specific uses. UDOT is currently sharing data layers with many agencies throughout the state, and they look forward to expanding data partnerships. GIS leadership and technical capabilies—UDOT was one of the last DOTs to establish an agency-wide GIS manager posion, and a strong business case analysis was required before the agency moved forward with that hire. This person is in charge of managing the quality of the data, maintaining the server, and the process of using it and sharing it. Now leadership understands the importance of not only centralized GIS management to provide a coordinang funcon, but also of establishing strong in-house GIS experse throughout the agency. For example, when the agency recently filled a vacancy in the HPMS team, leadership established GIS skills as a prerequisite for candidates for this posion. Understanding of the importance of GIS skills has grown over the past two years, coinciding with the agency’s ability to demonstrate value added through GIS/TAM applicaons. Recognion of the importance of data management, including disciplined planning for updang and linking data sets aer inial collecon. Training and communicaon on GIS. It is important to get the word out and establish two-way communicaon with staff across the agency. UDOT has conducted focus groups with regional staff to educate them about the capabilies of GIS and discuss potenal uses. Mentality and atude—a posive atude is essenal, with the ability to approach issues as challenges to be overcome rather than roadblocks to acon. Maryland State Highway Administration: Enterprise GIS for Better Decision Making and Communication The Maryland State Highway Administraon (SHA) is working toward a vision of a fully integrated, GIS-enabled asset management process. They have put in place the foundaon building blocks— including data, applicaons, and change management elements—and have a framework for filling out the rest of the picture over me. The agency is already reaping the benefits of what they have accomplished to date in the form of improved collaboraon, efficient informaon sharing and disseminaon both internally and externally, and high-quality decision support. SHA has geospaal inventory data for pavements (including mainline, ramps, turn lanes, and shoulders), bridges, retaining walls, culverts, noise walls, stormwater facilies, highway lighng, and signs. The agency is in the process of building inventory for several addional assets. SHA uses either latude/longitude or the county-route-milepoint LRS to locate each asset. These locaons are used to build spaal data layers that can be shared and integrated into a variety of applicaons. Data are collected using a combinaon of methods—some asset informaon is extracted from videologs; other asset informaon is collected in the field using mobile devices. SHA’s enterprise program (eGIS) has established a GIS technology-based data architecture that serves informaon needs of mulple business purposes—addressing both execuve and operaonal funcons. eGIS is managed by the planning office and provides an standard applicaon framework for management, display, and analysis of spaal informaon. The system provides access to all of the agency’s spaal data layers, as well as several external data layers from other agencies. eGIS • • • • •

69 | P a g e integrates over 61 spaal data themes, including asset data, construcon project data, unstable slopes, and outputs from the statewide model. In order to improve the quality of construcon project locaon data, SHA recently put in place a requirement that all projects must have a GIS locaon entered in order to receive funding approval. This requirement was implemented as a business rule within the agency’s electronic funding approval form. eGIS includes an asset data warehouse (ADW) used to manage data on highway lighng, line striping, signs, traffic barriers, and rumble strips—with web-based eding and reporng features. For example: • • For rumble strip planning, districts view a map showing where there are qualified roads for rumble strips and where there are already exisng rumble strips. They can add planned or excepon records (where rumble strips are not recommended). This informaon goes to the office of traffic safety for approval, and is used to plan contracts for new rumble strip installaon. Reports are available showing the total qualified rumble strip mileage without exisng treatments by route prefix. “Canned” reports show total assets by district and asset type; custom reports allow for queries of asset quanes by type on specific routes. Map 7 illustrates a GIS capability for using asset informaon to serve both execuve and operaonal funcons. Map 7. Maryland SHA eGIS—Highway Lighng Inventory SHA plans to add traffic signals and park-and-ride lots to the ADW next. The agency is also planning a new data collecon effort for sign retro-reflecvity and will build in requirements for the data collecon contractor that will ensure that new data can be integrated with the ADW. SHA has developed an “Asset Management Matrix” that tracks implementaon progress for 13 different asset categories. Progress steps include establishing a documented asset management process, a plan for collecng and managing inventory data, and housing the data in the ADW. Data for some assets (e.g., pavements and bridges) are housed in specialized management systems; these data are currently integrated with eGIS through a combinaon of batch processes and live database

70 | P a g e linkages. As older applicaons are replaced, SHA will consider transioning inventory data into the ADW. One of the eGIS applicaons allows staff to assess and track ADA compliance—e.g., missing sidewalks—and idenfy paving projects to address deficiencies. Another allows SHA staff to idenfy asset vulnerabilies related to climate change—e.g., based on erosion potenal and flooding risk. As part of an FHWA-sponsored pilot project, SHA is conducng outreach with field staff and geng input on areas where frequent flooding occurs and the resulng impacts on assets (e.g., buildup of sedimentaon, loss of drainage funconality, pipe deterioraon due to salt exposure). This informaon is being located on GIS and combined with other available data (floodplains, FEMA flood depth risk groups, weather-related road closures from the incident management program, road elevaons from the pavement condion assessment vans, and available asset locaon and characteriscs data). This collecon of spaal data will be used to evaluate opons to reduce risks through asset replacement/retrofit, changes in asset sing and design criteria and standards, and changes in maintenance pracces. SHA is working to develop a routable network in order to beer understand and priorize risks and support emergency evacuaon planning. GIS has been used as an instrument for changing the culture of SHA toward more data driven decision making. The eGIS program has been able to break down the silos across program and project managers. GIS is also viewed as essenal for performance-based planning and programming, bringing together safety, congeson, and asset condion data. GIS provides the necessary integraon plaorm to tell the story of what is needed to meet agency goals—and of the gap between current needs and planned investments. Examples include: • • • • SHA conducts an annual analysis of safety corridors using GIS to idenfy what projects have been completed, which are planned, and what else is needed. GIS is used to assess the adequacy of exisng corridor planning efforts based on current bolenecks and areas of unreliability (derived from real-me traffic data). GIS has been used to link corridor planning, asset management, and NEPA acvies. For the Capital Beltway project, the eGIS provided a central base of informaon that could be used by representaves of planning, construcon, and design; as well as by individual asset owners to idenfy issues and needs to be addressed and help determine how to phase NEPA acvies. GIS is used to idenfy where work on different assets can be scheduled together in order to minimize traffic disrupon on high-volume facilies. GIS has been used to enhance the efficiency of decision support for key management meengs at SHA. For example, at system preservaon meengs, staff used to prepare presentaon slides for each candidate project based on compilaon of data from mulple sources. This preparaon was very me consuming. Now, with eGIS, advance preparaon needs are minimal—staff zoom to the project locaon and use aerial photos and safety and asset data to establish priories. GIS is also now used at bi-annual administrave project reviews to address execuve quesons on specific projects. Before this tool was available, about 25% of the projects would require staff research, adding effort and delay to the review process. GIS is also being used as an external communicaon tool. SHA is using ArcGIS online to create a map showing projects to be funded with the newly passed 7% gas tax increase. A map service is also being created indicang the status of all public roads (open, closed, under construcon) for emergency management purposes. The agency plans to build on its one-stop-shop model within eGIS to develop

71 | P a g e addional targeted GIS applicaons that are tailored to meet specific business needs and/or user communies. SHA has developed a strategic plan for further integrang the eGIS program into SHA business processes, adding value through the analycal assessment of business data in a geospaal context. For example, one new “widget” candidate would be used to analyze crash data hotspots in relaonship to roadway projects to determine whether crash-prone locaons are improving or decreasing incidents due to modificaons applied to these locaons. SHA is also beginning to use GIS to assess geographic balance in the pavement program. This has been valuable for assessing potenal impacts of a purely data-driven pavement priorizaon approach on local economies in rural porons of the state where paving contractors are major employers. With the spaal asset inventory as a foundaon, SHA is turning its aenon to the asset work tracking funcon. The agency recently deployed 160 tablets to maintenance crews, who will be using these devices in the field to record completed work. These data will enable tracking of expenditures by asset, acvity, and route locaon. Future goals include implementaon of a more complete GIS- based maintenance management funcon. The ability to link work history informaon to asset condion data is essenal to establishing relaonships between maintenance acvity and asset life extension, which is a key criterion for determining federal eligibility. While the focus to date has been on implemenng asset management processes for individual assets, the intent is to develop capabilies for balancing investments across assets based on risk. This would involve establishing minimum condion or performance thresholds for each asset class. GIS tools could be used to visualize which assets are meeng (or exceeding) these thresholds and idenfy opportunies for adjusng the balance of investment. Key success factors in SHA’s GIS/TAM efforts include: • Management support for GIS at mulple levels of the agency. Extensive GIS training across the agency, including in district offices to build familiarity with GIS tools and applicaons. Recognion of the value of GIS for helping asset managers to look across programs—both statewide and in the context of major corridors, and for leng the public know that the agency is pung the available dollars where the needs are greatest. Commitment to strengthening data-driven decision making—with a focus on safety, mobility/economy, and system preservaon/asset management—and understanding of how GIS can help in this process. Business-driven planning and priorizaon of GIS investments—with close coordinaon between planning and IT units to coordinate project requests and integrate business and spaal data components. GIS-centric data collecon, storage, presentaon, and analysis technologies, architected so that one system can serve mulple business purposes within the agency, from strategic to operaonal funcons. Phased approach to building a core plaorm that can be extended to meet a variety of business needs. Illinois DOT: Building a GIS Foundation with an Outsourced Approach The Illinois Department of Transportaon (IDOT) experience provides an example of an outsourced approach to building a GIS foundaon for asset management and other DOT applicaons. An inial • • • • • •

72 | P a g e network design provided a flexible basis for migraon to the outsourced approach and integration with a variety of exisng systems for asset management. In 1996, IDOT completed development of a digital link/node base for its road network, with integraon to their completely redesigned legacy mainframe roadway inventory systems. Scanned county maps (to approximately 1:64,000 scale) provided the basis for the network, which encompassed 224,000 digized link segments represenng over 107,000 miles. The network included centerline coverage of all state, county, and township jurisdicon roadways and federal-aid municipal jurisdicon routes. However, approximately 35,000 miles of the municipal street network were not included due to the high level of effort for idenficaon. Over me, IDOT gradually improved the accuracy of the digized links and integrated the link/node base with addional databases to support asset management–related applicaons as follows: • • • • • • • Roadway, structure, rail/highway crossing inventories. Traffic data collecon and management. Operaons and maintenance acvies. Annual and mul-year planning and programming acvies Individual and high crash locaon idenficaon. Video inventory and condion assessment. Project management. One recent example of IDOT’s applicaon of GIS for asset management is shown below in Map 8. This map was prepared to idenfy structures for improvement to accommodate overweight truck acvity due to new "fracking" acvies. They display the deficient structures and identy by program year those that will be improved. The map view provided the ability to link structures and the program with travel need corridors. Map 8. IDOT District 9—Deficient Structures by Program Year of Upgrade

73 | P a g e A valuable characterisc of IDOT’s spaal informaon systems infrastructure is the direct linkage of data to the underlying LRS using a variety of system idenfiers including differing milepost referencing and project numbering schemes. This direct linkage enables the complex integraon of asset management–related data files across the enterprise and also provides access to historical asset informaon. Changes to the route referencing systems are readily accommodated without loss of integrave capabilies. Newly available internal and external spaal informaon layers can be accommodated when referenced to IDOT’s LRS or to state plane coordinates. Outputs include a variety of user-developed asset management idenficaon and analysis products. IDOT uses data warehouse funconality to provide access to historical data through the creaon of year-end archives for the roadway inventory files and the LRS. These archived files can be accessed for historical informaon on traffic levels, pavement condion, and roadway rehabilitaon projects in support of pavement network analysis and research acvies. Thus, comparisons can be made over the same secon of roadway by using the LRS reference, even if the route name or milepost convenon has changed. Upgrading the LRS In 2005, IDOT made the decision to reference road network informaon from an outside source in order to fill gaps in the exisng roadway geometry and network capabilies. Primary movang factors were: • • • • Recognion that beer accuracy was needed for mulple purposes including federal reporng, external communicaons, safety analysis, and truck permit roung; Increasing demand and use for IDOT all-public-roadway–GIS layer for sharing with other state agencies and local agencies for funcons such as crash locaon; Insufficient internal staff resources to perform full county-by-county or city-by-city analysis to verify exisng routes and locate missing roads; and Lack of a mely and accurate resource to verify roadway data—parcularly for local roads. Video inventory informaon was available primarily for state-maintained roads. Aerial photography was up to seven years old and missing in some locaons. Field verificaon of the extensive local road network was cost prohibive. Illinois entered into an intergovernmental agreement for sharing NAVTEQ roadway informaon in collaboraon with GIS Soluons and ESRI to provide a statewide comprehensive digital road network database. Under this agreement, NAVTEQ delivered quarterly updates of the map database to GIS Soluons, which was responsible for integraon and deployment of the data within the IDOT environment. The original plan was to “convert” the NAVTEQ geometry and make it the underlying spaal linear reference. However, during the conversion process, constraints were discovered that forced an alternave path. Instead, IDOT staff conflated various characteriscs of their roadway inventory with the NAVTEQ data, allowing the dynamic segmentaon of event data onto the new roadway geometry, when applicable. In 2010, IDOT migrated to a roadway inventory system fully maintained in a relaonal database environment, both events and geometry, implemenng a route system in polyline-M. Taking advantage of the versioning and storing capabilies offered by ArcSDE, mulple editors were able to work on versions of the data, which were subsequently reconciled, creang a producon dataset stored and accessed in ArcSDE on an IDOT server. IDOT has used the NAVTEQ roadway base for a variety of applicaons. For QA, IDOT was able to locate and verify over 5,000 miles of addional local roads, which had not previously been included in

74 | P a g e the Illinois roadway inventory. The roadway base also provided a QA check on the roadway inventory network and served as a reliable source for idenfying and/or verifying new roadway segments. The intergovernmental agreement also supported sharing of the NAVTEQ roadway base with state and local units of government for roadway management and crash locaon acvies. The roadway base also enabled roadway roung applicaons by adding dual carriageway centerline informaon for divided roadways. IDOT used this base for the development of its recently completed truck permit roung system for oversize and overweight trucks on the enre 15,000 mile plus state roadway network. Achieving a comprehensive, navigable GIS roadway base represents a significant milestone in terms of GIS deployment and use in Illinois. The robustness of the data enables the development of mulple applicaons, all based on a common set of features, allowing for a common display and analysis base for all of the state’s governmental agencies. Benefits of the outsourced approach were: More efficient QA for enre public roadway network (>145,000 miles); • • • • • • Easier idenficaon of new public roadway segments; New base for permit and access roung applicaons; More reliable roadway network for integraon with external datasets, providing addional valuable input for asset management analysis; More accurate, precise, and complete local agency roadway informaon for data sharing and communicaon; and Improved locaon-addressing capabilies.

75 | P a g e References 1. Even Keel Strategies, Introducing a Maturity Model for Enterprise GIS, 2008. 2. Sonnen, David, J. Moeller, and D. LeBranche, Geospa al Enterprise Integra on Maturity Model. Northrup Grumman, June 24, 2009. 3. URISA GIS Management Instute. GIS Capability Maturity Model, April 2013, Public Review Dra. 4. Maguire, David J., Ross Smith, and Victoria Kouyoumjian. The Business Benefits of GIS: An ROI Approach. ESRI, Inc., 2008. 5. Dye Management Group. Transporta on Asset Management Feasibility Study. Prepared for the Washington State Department of Transportaon, 2009. 6. Oregon Department of Transportaon, Asset Management Strategic Plan, November 2011. 7. Ford, Mark, Robb Kirkman, Jim Cox, and David Ringeisen. Benefits of GIS to Manage a Major Transportaon Program: Evaluaon and Lessons Learned. In Transporta on Research Record: Journal of the Transporta on Research Board, No. 2291. Transportaon Research Board of the Naonal Academies, Washington, D.C., 2012, pp. 1–7. 8. Adams, Teresa M. Synthesis of Best Prac ces for the Development of an Integrated Data and Informa on Management Approach. Midwest Regional University Transportaon Center, No. MRUTC 03-02. 2008, page 14.

76 | P a g e Appendix A: Applications Catalog TAM Business Process Agency Applica on Manage and Track Work Rhode Island DOT The Rhode Island DOT is implemenng a CMMS to manage its roads and highways asset base. The DOT is leveraging its statewide GIS data to allow work orders to be aached to assets spaally, allowing the DOT’s maintenance programs to be tracked as they would be in any other work order management/CMMS system but with the crical addional ability to track where the work is happening by asset type. The project involves integraon of the new ESRI linear referencing GIS data model and work flow for roads and highways. Understand the State of the Assets Assess and Manage Risks Ohio DOT A single data collecon vehicle collects highway data on the enre network. Data types include super HD videolog (nave resoluon of the roadway at 7500 X 2000 pixels, as well as an addional rear-facing camera), internaonal roughness index (IRI) smoothness data, transverse profile for rung, surface macrotexture, GIS, vercal and horizontal curvature, grade, cross slope, and many others. All data is collected in a single pass and shared over a local network or Internet browser. Recently, the state spearheaded a project to extract asset data from the high-resoluon images to locate, assess, and deploy a statewide database of all asset types of interest. Using the very same desktop applicaon they use for pavement management decisions, they were able to measure, locate, and store any asset that can be seen from the images (and display those that can’t, such as culverts and subgrade). More importantly, that data is now ghtly integrated with all state data through the use of GIS tools. The result is that all data collected by the state in the past 100 years (of any kind) is available in a GIS environment, complete with up-to-date photos of the roadway and condion informaon.

77 | P a g e TAM Business Process Agency Applica on Understand the State of the Assets Assess and Manage Risks Iden fy Needs and Work Candidates Develop Programs Manage and Track Work Kentucky Transportaon Cabinet In 1999, the Kentucky Transportaon Cabinet (KYTC) implemented soware that enabled it to integrate spaal and tabular road data for the first me. Since then KYTC has made constant improvements to the data, which incorporates all roads in Kentucky and interfaces to other systems to enable it to provide a foundaon for enterprise asset management. Data are integrated from the bridge, pavement, traffic, accounng, operaons and maintenance six-year plan; highway design project archive; and construcon management systems. All data are linkable through the county route and milepoint LRS. The ghtly integrated network, asset, and spaal data mean that any records, regardless of where they are maintained, can be mapped and analyzed spaally based on LRS locaon. KYTC has built a sophiscated network update process using their spaal data management and asset eding soware. Network changes needed by mulple state agencies, including the transportaon cabinet and public safety, are captured at the local level then added to the statewide highway database by the transportaon cabinet. KYTC recently acquired high speed data collecon vans to collect pavement condion and images that can be used to capture other asset data. Images are captured every 26 feet in both direcons. KYTC worked with its soware and data collecon vendors to update the milepoint locaons of images and pavement data. This allowed for images to be used together with any other data located using the KYTC LRS. New asset records can be added to the highway informaon system (HIS) based on the images. KYTC uses a range of powerful tools to analyze and extract data based on network locaons. This ranges from simple internal strip map views and reports to spaal data extracts for complex data sets like the HPMS report and SUPERLOAD vehicle roung networks.

78 | P a g e TAM Business Process Agency Applica on Understand the State of the Assets Assess and Manage Risks Iden fy Needs and Work Candidates Develop Programs Manage and Track Work Oregon DOT The TransInfo project was jointly sponsored and led by the planning, maintenance, and IT offices at ODOT and was designed to support both the planning and maintenance business funcons, significantly reducing duplicaon of asset records. This project replaced legacy mainframe roadway asset inventory databases with a consolidated modern GIS- enabled relaonal database with built-in map as well as form-based data maintenance applicaons. Three crical data sets were integrated: the state highway milepoint locaon control database, the features inventory database used for maintenance acvity budgeng, and the GIS state highway network database. The project enabled ODOT to update its network asset data and linear referencing data model as it migrated data from the legacy system to the new database. The new data model supports mulple LRSs, temporality (history), and data validaon based on network locaons. The system includes a thin client with an interacve map interface, and a GIS-based desktop applicaon providing funconality for map-based network asset maintenance as well as GIS display and analysis. All of the network and asset data eding applicaons make use of network locaon for data validaon during eding, based on user- configurable rules. While the quality of ODOT’s network asset data was good to begin with, this transaconal validaon, as well as the map display, has significantly improved the quality of ODOT network asset data, without the need for constant data quality reporng and checking. Historically, this has consumed significant staff resources. The TransInfo system tools provide a foundaon for integrang addional data sets in the future. Integraon of small yet important data sets like bicycle and pedestrian facilies and barriers were included in the scope of the project, but the ODOT team was also able to add other data types like pipe oualls, to meet urgent needs that arose aer the project started.

79 | P a g e TAM Business Process Agency Applica on Understand the State of the Assets Iden fy Needs and Work Candidates Develop Programs Oregon DOT The agency developed the FACS-STIP Tool to provide easy access to useful asset informaon (locaon, aributes, and condion) and communicaon of new or updated asset informaon with one easy-to- use applicaon. This web-based tool allows users throughout the agency a single site to compare over 60 datasets to aide in project planning, inventory, and project delivery. Users can create custom reports and spreadsheets for field inventory updates and verificaon. Addional funconality allows users the opon to upload field collected data to the site along with project specific comments. FACS-STIP is designed to enable ODOT to effecvely move toward a series of business systems that will integrate and store GPS/GIS-based field data inventories using GIS applicaons while being supported by spaal interoperability data management tools for the extracon, translaon, and loading (ETL) of GPS field data back into ODOT environment databases. Understand the State of the Assets Iden fy Needs and Work Candidates North Carolina DOT The agency uses GIS-enabled soware on tablets to collect statewide maintenance condion data at a stascally significant level within each county. Sampling is accomplished by subdividing the LRS and selecng appropriate samples within each region/county for each road system. This data is collected throughout the year and feeds a department performance dashboard for maintenance. Data collected includes the inventory and condion of ditches, shoulders, pipes, vegetaon control, pavement markers and markings, etc. Understand the State of the Assets Iden fy needs and Work Candidates Develop Programs North Carolina DOT The North Carolina DOT (NCDOT) implemented an integrated asset management system that included an MMS, PMS, and bridge management system (BMS) as well as an asset trade-off analysis module. Data from each asset group is leveraged to priorize maintenance needs and to define performance thresholds. The system features an integrated GIS framework with the ability to publish maps to enhance analysis, reporng, and decision opmizaon. For example, GIS reporng can be used to view esmated remaining life for bridges on a map, idenfy a specific bridge and its structural details on a map, or view current pavement rangs on a map.

80 | P a g e TAM Business Process Agency Applica on Iden fy State of the Assets Utah DOT The agency contracted for a comprehensive asset data set, including photolog, GPS, pavement, and LiDAR for over 14,000 lane miles plus ramps. The asset inventory included signs, walls, shoulders, paint stripes, pavement messages, intersecons, rumble strips, and bridges, as well as lane area and pavement width measurements. The effort included deployment of desktop asset processing soware and web-enabled viewing soware that allows each department to access the data. Users are able to filter the data to find individual asset types, add new assets to the inventory, and make measurements on those new assets that are instantly updated for other users to see. At the heart of the data collecon vehicle is a robust posional system that is used to synchronize all of the other datasets. The real-me differenal system was able to handle a wide variety of terrain found in Utah, including mountainous regions with sub-opmal satellite coverage. 100% of the posional data was post-processed to achieve the best accuracies possible. The processed data was then synchronized with the imaging, LiDAR, and pavement datasets, allowing for the precise measurement of clearances and roadway assets. Iden fy Needs and Work Candidates Manage and Track Work Somerset County Council (UK) A GIS-enabled mobile infrastructure management system is used to facilitate the process of reporng, responding to, and tracking maintenance work. With 30,000 road defects reported each year, the GIS-based soluon has enabled the agency to respond more efficiently to faults. This has resulted in 98% of all highway defects being repaired within their target response me. Inspectors report maintenance issues in the field and send the exact locaon of the fault back to the infrastructure management system. The informaon is automacally relayed to the agency’s safety defect controllers, who are then able to allocate the most appropriate work group to deal with the problem. A before and aer photograph of the work is taken and uploaded to a secure shared website, where the highway team can virtually inspect the repair and sign off on the job. The system enables highway works to be programmed and planned in advance rather than being purely reacve, and provides real-me visibility into the state of the highway network. Improved understanding of the condion of highway assets also means Somerset can more accurately allocate budgets to the right areas.

81 | P a g e TAM Business Process Agency Applica on Understand the State of the Assets Iden fy Needs and Work Candidates Westlink Services—M7 Motorway in Sydney, Australia Westlink Services deployed a GIS-based asset management system to track the condion of all the assets along the 40 km stretch of motorway, including the road surface, barriers, embankments, bridges, lighng points, and the systems for toll collecon. The asset inspectors use the soware on laptops and tablets. They use the integrated mapping funcon to quickly locate any asset at any point along the motorway. This visual aspect speeds the inventory and inspecon process. Another benefit of the system has been the capability to collect and organize data to produce very accurate historical records of maintenance work. For example, bridge inspectors are able to cross check all the elements using the historical data. Westlink notes that they have used the system to speed up decision making, which assists with planning and reporng processes. Understand the State of the Assets Manage and Track Work St. Johns County Public Works Department, Florida The agency deployed a GIS-based enterprise asset management system, built around a geodatabase containing an inventory of assets within the county-maintained right of way. The geodatabase was designed to facilitate improved informaon management across mulple departments. The inventory was built from a combinaon of extracon from orthophotography, new field data collecon using real-me differenal GPS technology, and migraon from exisng databases. A van equipped with video cameras created a visual inventory of traffic signs, traffic barriers, sidewalks, and street lighng. The vans were configured with six cameras to collect a complete panoramic view of all assets as technicians drove the vans down the roadway. Wide angle cameras faced the front and back to capture complete right-of-way views. Technicians then extracted the data using the best camera view and made the video and sll photos accessible through the GIS interface. The inventory is integrated with an MMS, which is configured to track cost-to-work performed on transportaon-related assets, which include the integraon to a pavement management interface. Understand the State of the Assets Assess and Manage Risks City of Indianapolis, IN The city used mobile LiDAR and imagery from a mobile mapping system to create an inventory of all regulatory signs within the city’s 400 square miles. Automated feature recognion and extracon rounes were used to rapidly compile informaon about each sign required for Manual on Uniform Traffic Control Devices compliance.

82 | P a g e TAM Business Process Agency Applica on Manage and Track Work St. Louis County Public Works Faced with an aging transportaon infrastructure, St. Louis County Public Works was constantly making repairs and performing construcon projects involving mulple cies to ensure the safety and reliability of the county’s road and bridge systems across a 6,741 square mile area. Its staff managed several projects in tandem using a string of different systems, which caused confusion and inefficiencies. With growing budget constraints, the department needed a more efficient way to manage its transportaon infrastructure assets—from construcon projects to ongoing maintenance. St. Louis County Public Works gained improved control of its transportaon infrastructure, including work orders and assets, by using a geospaally-enabled linear asset management soluon. The system has a single interface for all phases of project acvies and is alerted if a project is approaching its purchase order limit. Any me during the course of a project, the staff can visualize the assets and access informaon to determine what work is in process, how much me and money has been spent, and what has been paid for and to whom. They can even divide the cost out for each segment of a road project based on its locaon. With a near real-me, comprehensive view of more than 3,682 transportaon assets, from graders to air compressors, the staff uses the new level of visibility to proacvely schedule prevenve maintenance and predict equipment breakdowns, significantly improving asset reliability while reducing costs. Key benefits realized: Advanced by 100 percent the ability to accurately split project costs by using linear reference points for roads and bridges. Boosted organizaonal efficiency by using a single interface for all phases of a project. Improved budgeng and planning through the ability to accurately track costs. Enhanced asset reliability through increased prevenve maintenance.

83 | P a g e TAM Business Process Agency Applica on Understand the State of the Assets Assess and Manage Risks Iden fy Needs and Work Candidates Manage and Track Work Sacramento Area Sewer District The district’s wastewater collecon system relies on more than 400,000 assets including 52 miles of forced mains and pressure systems, 3,000 miles of gravity sewers, and 279,000 service-level connecons. The district is implemenng a new asset management system, integrang informaon from its GIS and observaons from live video footage of the pipes themselves. The soluon will enable the sharing of data across agency departments, including maintenance and operaons, regulatory compliance, business planning, and capacity planning to improve forecasng. When problems do arise, the soware will allow engineers to understand how the asset failed, why it failed, and when so they can develop the necessary maintenance strategies to prevent future asset failures. The system will also track all costs associated with operang and maintaining each asset, enabling staff to idenfy opportunies for cost savings.

84 | P a g e TAM Business Process Agency Applica on Understand the State of the Assets Assess and Manage Risks Iden fy Needs and Work Candidates Manage and Track Work City of Corpus Chris, TX The city lacked a centralized system to manage its separate water, wastewater, ulity, and storm-water services departments. Despite the city’s established GIS, keeping operang costs low while sll providing excellent service to cizens remains difficult, because work requests were not interfaced with the GIS system and thus could not be spaally analyzed. Corpus Chris implemented a work and asset management system to improve management of its public works and ulity departments, along with other areas of city administraon, including park management, airport operaons, and traffic engineering. The soluon integrated asset informaon, work orders, accounng informaon, and geographical data for tens of thousands of physical assets such as water mains, traffic lights, bridges, park lawns, fire hydrants, garbage trucks, and storm- water ditches. Cizen calls, which used to be handled and recorded manually, are now routed to a city-wide call center so that staff can deploy resources based on urgency and service level requirements. The system also enables the locaons of problems to be visualized geographically, so that trends (e.g., frequent water main breaks in a parcular area) can be idenfied and addressed much faster than in the past. Standardized locaon and priority codes in the system help staff deploy resources based on urgency and service-level requirements (for example, maintenance crews must respond to gas leaks within 30 minutes). Because the soware is integrated with the city’s geographic informaon system, city staff can spaally view problem areas and planned work, as well as proacvely idenfy areas with serious infrastructure problems. For example, the wastewater department found that many wastewater backups were not caused by rain, signaling an issue with the pipes themselves. Staff members then used the spaal analysis capabilies to pinpoint which areas experienced problems in dry weather and implement a repair strategy.

85 | P a g e Appendix B: Resources GPS Data Collection Standards State of North Carolina: hp://www.ncgicc.com/Portals/3/documents/ GNSS_Standard_Version4_Adopted2014.pdf Kentucky Transportaon Cabinet: hp://transportaon.ky.gov/Planning/Documents/GPSMaintenanceStandardsall_rev.pdf New York State DOT: hp://gis.ny.gov/coordinaonprogram/workgroups/wg_1/related/standards/documents/GPS_Guide lines_FINAL.pdf New Jersey DOT: hp://www.state.nj.us/dep/gis/GPSStandards_2011.pdf Oregon DOT: hp://onlinepubs.trb.org/onlinepubs/nchrp/nchrp_syn_301.pdf (Appendix C) Geospatial Data Policies West Virginia DOT: hp://www.transportaon.wv.gov/highways/programplanning/planning/ grant_administraon/wvtrails/Pages/gps.aspx Maryland: hp://imap.maryland.gov/Documents/Data/MDiMap_DataSubmissionPolicy.pdf Oregon DOT (Road Centerlines): hp://www.oregon.gov/DAS/CIO/GEO/docs/transportaon/roadcenterlinedatastandardv5.pdf

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TRB’s National Cooperative Highway Research Program (NCHRP) Report 800: Successful Practices in GIS-Based Asset Management provides guidance for state transportation agencies on using geographic information system (GIS) technologies in transportation asset management (TAM).

In addition to the report, the Executive Guide, the Implementation Guide, and PowerPoint Slides are available online.

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