TRANSIT COOPERATIVE RESEARCH PROGRAM

SPONSORED BY

The Federal Transit Administration

TCRP Synthesis 5

Management Information Systems

A Synthesis of Transit Practice

Transportation Research Board

National Research Council
TCRP OVERSIGHT AND PROJECT TRANSPORTATION RESEARCH BOARD EXECUTIVE COMMITTEE 1994
SELECTION COMMITTEE

CHAIRMAN OFFICERS
WILLIAM W. MILLAR
Port Authority of Allegheny County Chair: Joseph M. Sussman, JR East Professor and Professor of Civil and Environmental Engineering.
Massachusetts Institute of Technology
MEMBERS Vice Chair: Lillian C. Liburdi, Director, Port Authority, The Port Authority of New York and New
SHARON D. BANKS Jersey
AC Transit Executive Director: Robert E. Skinner, Jr., Transportation Research Board, National Research Council
LEE BARNES
Barwood, Inc
GERALD L. BLAIR MEMBERS
Indiana County Transit Authority
MICHAEL BOLTON BRIAN J. L. BERRY, Lloyd Viel Berkner Regental Professor & Chair, Bruton Center for Development
Capital Metro Studies, University of Texas at Dallas
SHIRLEY A. DELIBERO DWIGHT M. BOWER, Director, Idaho Department of Transportation
New Jersey Transit Corporation JOHN E. BREEN, The Nasser I Al-Rashid Chair in Civil Engineering, The University of Texas at Austin
ROD DIRIDON KIRK BROWN, Secretary, Illinois Department of Transportation
Santa Clara County Transit District DAVID BURWELL, President, Rails-to-Trails Conservancy
SANDRA DRAGGOO L. GARY BYRD, Consulting Engineer, Alexandria, Virginia
CATA A. RAY CHAMBERLAIN, Executive Director, Colorado Department of Transportation (Past Chair,
LOUIS J. GAMBACCINI 1993)
SEPTA RAY W. CLOUGH, Nishkian Professor of Structural Engineering, Emeritus, University of California,
DELON HAMPTON Berkeley
Delon Hampton & Associates RICHARD K. DAVIDSON, Chairman and CEO, Union Pacific Railroad
RICHARD R. KELLY JAMES C. DELONG, Director of Aviation, Stapleton International Airport, Denver, Colorado
Port Authority Trans-Hudson Corp DELON HAMPTON, Chairman and CEO, Delon Hampton & Associates
ALAN F. KIEPPER DON C. KELLY, Secretary and Commissioner of Highways, Transportation Cabinet, Kentucky
New York City Transit Authority ROBERT KOCHANOWSKI, Executive Director, Southwestern Pennsylvania Regional Planning
EDWARD N. KRAVITZ Commission
The Flxible Corporation JAMES L. LAMMIE, President and CEO, Parsons Brinckerhoff, Inc.
ROBERT G. LINGWOOD WILLIAM W. MILLAR, Executive Director, Port Authority of Allegheny County, Pennsylvania (Past
BC Transit Chair, 1992)
MIKE MOBEY CHARLES P. O'LEARY, JR, Commissioner, New Hampshire Department of Transportation
Isabella County Transportation Comm JUDE W. P. PATIN, Secretary, Louisiana Department of Transportation and Development
DON S. MONROE NEIL PETERSON, former Executive Director, Los Angeles County Transportation Commission
Pierce Transit DARREL RENSINK, Director, Iowa Department of Transportation
PATRICIA S. NETTLESHIP JAMES W. VAN LOBEN SELS, Director, California Department of Transportation
The Nettleship Group, Inc. C. MICHAEL WALTON, Ernest H. Cockrell Centennial Chair in Engineering and Chairman,
ROBERT E. PAASWELL Department of Civil Engineering, The University of Texas at Austin
The City College of New York DAVID N. WORMLEY, Dean of Engineering, Pennsylvania State University
JAMES P. REICHERT HOWARD YERUSALIM, Secretary of Transportation, Pennsylvania Department of Transportation
Transportation Management Services ROBERT A. YOUNG III, President, ABF Freight Systems, Inc.
LAWRENCE G. REUTER
WMATA
VICKIE SHAFFER EX OFFICIO MEMBERS
The Tri-State Transit Authority
JAMES H. SLAKEY MIKE ACOTT, President, National Asphalt Pavement Association
Washington DOT ROY A. ALLEN, Vice President, Research and Test Department, Association of American Railroads
B. R. STOKES ANDREW H. CARD, JR., President and CEO, American Automobile Manufacturers Association
ATE Management & Service Co THOMAS J. DONOHUE, President and CEO, American Trucking Associations
MICHAEL S. TOWNES FRANCIS B. FRANCOIS, Executive Director, American Association of State Highway and
Peninsula Transportation Dist. Comm Transportation Officials
JACK R. GILSTRAP, Executive Vice President, American Public Transit Association
EX OFFICIO MEMBERS ALBERT J. HERBERGER, Maritime Administrator, U.S.Department of Transportation
ROBERT E. SKINNER, JR. DAVID R. HINSON, Federal Aviation Administrator, U.S.Department of Transportation
TRB GORDON J. LINTON, Federal Transit Administrator, U.S.Department of Transportation
FRANCIS B. FRANCOIS RICARDO MARTINEZ, National Highway Traffic Safety Administrator, U.S.Department of
AASHTO Transportation
JACK R. GILSTRAP JOLENE M. MOLITORIS, Federal Railroad Administrator, U.S.Department of Transportation
APTA DAVE SHARMA, Research and Special Programs Administrator, U.S.Department of Transportation
GORDON J. LINTON RODNEY E. SLATER, Federal Highway Administrator, U.S.Department of Transportation
FTA ARTHUR E. WILLIAMS, Chief of Engineers and Commander, U.S.Army Corps of Engineers
RODNEY E. SLATER
FHWA
TRANSIT COOPERATIVE RESEARCH PROGRAM
TDC EXECUTIVE DIRECTOR
FRANK J. CIHAK Transportation Research Board Executive Committee Subcommittee for TCRP
APTA A. RAY CHAMBERLAIN, Colorado Department of Transportation
LILLIAN C. LIBURDI, Port Authority of New York and New Jersey
SECRETARY GORDON J. LINTON, U.S.Department of Transportation
ROBERT J. REILLY WILLIAM W. MILLAR, Port Authority of Allegheny County
TRB JOSEPH M. SUSSMAN, Massachusetts Institute of Technology, (Chair)
L. GARY BYRD, Consulting Engineer
ROBERT E. SKINNER, JR., Transportation Research Board
TRANSIT COOPERATIVE RESEARCH PROGRAM

Synthesis of Transit Practice 5

Management Information Systems

ROGER BOLDT
Consultant
Kalona, Iowa

Topic Panel
RONALD E. BOENAU, Federal Transit Administration
GORMAN GILBERT, University of North Carolina
HOWARD G. EISENSTADT, MTA New York City Transit
LORA G. MAYO, Washington Metropolitan Area Transit Authority
PATRICIA "TISH" S. NETTLESHIP, The Nettleship Group, Inc
JAMES A. SCOTT, Transportation Research Board
RAYMOND M. WRIGHT, Mass Transit Administration
SAM YAGAR, University of Waterloo

TRANSPORTATION RESEARCH BOARD

NATIONAL RESEARCH COUNCIL

Research Sponsored by the Federal Transit Administration in

Cooperation With the Transit Development Corporation

NATIONAL ACADEMY PRESS

Washington, D.C. 1994
TRANSIT COOPERATIVE RESEARCH PROGRAM

The nation's growth and the need to meet mobility, TCRP SYNTHESIS 5
environmental, and energy objectives place demands on public
transit systems. Current systems, some of which are old and in need Project SG-3
of upgrading, must expand service area, increase service frequency, ISSN 1073-4880
and improve efficiency to serve these demands Research is necessary ISBN 0-309-05658-6
to solve operating problems, to adapt appropriate new technologies Library of Congress Catalog Card No 94-61136
from other industries, and to introduce innovations into the transit
industry. The Transit Cooperative Research Program (TCRP) serves
as one of the principal means by which the transit industry can Price $19 00
develop innovative near-term solutions to meet demands placed on it.
The need for TCRP was originally identified in TRB Special
Report 213-Research for Public Transit: New Directions, published
in 1987 and based on a study sponsored by the Urban Mass NOTICE
Transportation Administration-now the Federal Transit
Administration (FTA). A report by the American Public Transit The project that is the subject of this report was a part of the Transit
Association (APTA), Transportation 2000, also recognized the need Cooperative Research Program conducted by the Transportation
for local, problem-solving research. TCRP, modeled after the Research Board with the approval of the Governing Board of the
longstanding and successful National Cooperative Highway Research National Research Council Such approval reflects the Governing
Program, undertakes research and other technical activities in Board's judgment that the project concerned is appropriate with
response to the needs of transit service providers. The scope of TCRP respect to both the purposes and resources of the National Research
includes a variety of transit research fields including planning, Council
service configuration, equipment, facilities, operations, human The members of the technical advisory panel selected to
resources, maintenance, policy, and administrative practices. monitor this project and to review this report were chosen for
TCRP was established under FTA sponsorship in July 1992. recognized scholarly competence and with due consideration for the
Proposed by the U.S. Department of Transportation, TCRP was balance of disciplines appropriate to the project The opinions and
authorized as part of the Intermodal Surface Transportation conclusions expressed or implied are those of the research agency
Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum that performed the research, and while they have been accepted as
agreement outlining TCRP operating procedures was executed by the appropriate by the technical panel, they are not necessarily those of
three cooperating organizations: FTA, the National Academy of the Transportation Research Board, the Transit Development
Sciences, acting through the Transportation Research Board (TRB), Corporation, the National Research Council, or the Federal Transit
and the Transit Development Corporation, Inc. (TDC), a nonprofit Administration of the U S Department of Transportation
educational and research organization established by APTA. TDC is Each report is reviewed and accepted for publication by the
responsible for forming the independent governing board, designated technical panel according to procedures established and monitored by
as the TCRP Oversight and Project Selection (TOPS) Committee the Transportation Research Board Executive Committee and the
Research problem statements for TCRP are solicited Governing Board of the National Research Council
periodically but may be submitted to TRB by anyone at any time. It
is the responsibility of the TOPS Committee to formulate the
research program by identifying the highest priority projects. As part Special Notice
of the evaluation, the TOPS Committee defines funding levels and
expected products. The Transportation Research Board, the Transit Development
Once selected, each project is assigned to an expert panel, Corporation, the National Research Council, and the Federal Transit
appointed by the Transportation Research Board. The panels prepare Administration (sponsor of the Transit Cooperative Research
project statements (requests for proposals), select contractors, and Program) do not endorse products or manufacturers. Trade or
provide technical guidance and counsel throughout the life of the manufacturers' names appear herein solely because they are
project. The process for developing research problem statements and considered essential to the clarity and completeness of the project
selecting research agencies has been used by TRB in managing reporting
cooperative research programs since 1962 As in other TRB activities,
TCRP project panels serve voluntarily without compensation.
Because research cannot have the desired impact if products
fail to reach the intended audience, special emphasis is placed on Published reports of the
disseminating TCRP results to the intended endusers of the research:
transit agencies, service providers, and suppliers. TRB provides a
series of research reports, syntheses of transit practice, and other
TRANSIT COOPERATIVE RESEARCH PROGRAM
supporting material developed by TCRP research. APTA will
are available from:
arrange for workshops, training aids, field visits, and other activities
to ensure that results are implemented by urban and rural transit
Transportation Research Board
industry practitioners.
National Research Council
The TCRP provides a forum where transit agencies can
2101 Constitution Avenue, NW
cooperatively address common operational problems. TCRP results
Washington, DC 20418
support and complement other ongoing transit research and training
programs.
Printed in the United States of America
 PREFACE A vast storehouse of information exists on many subjects of concern to the transit
industry. This information has resulted from research and from the successful application of
solutions to problems by individuals or organizations. There is a continuing need to provide a
systematic means for compiling this information and making it available to the entire transit
community in a usable format. The Transit Cooperative Research Program includes a
synthesis series designed to search for and synthesize useful knowledge from all available
sources and to prepare documented reports on current practices in subject areas of concern to
the transit industry.
This synthesis series reports on various practices, making specific recommendations
where appropriate but without the detailed directions usually found in handbooks or design
manuals. Nonetheless, these documents can serve similar purposes, for each is a
compendium of the best knowledge available on measures found to be successful in
resolving specific problems. The extent to which these reports are useful will be tempered by
the user's knowledge and experience in the particular problem area.

FOREWORD This synthesis will be of interest to general managers of transit agencies, managers of
By Staff management information systems (MIS) departments, and information systems personnel, as
Transportation well as operations, scheduling, maintenance, finance, and other management personnel
Research Board concerned with improving information flow and data base development. The synthesis
identifies the current direction and key factors of selected transit agencies that have
successfully implemented MIS. The synthesis documents the range, variety, and benefits
derived from the current information and examines how effectively information from special-
purpose systems is integrated into the overall information systems environment and used
across departmental boundaries.
Administrators, practitioners, and researchers are continually faced with problems on
which there is much information, either in the form of reports or in terms of undocumented
experience and practice. Unfortunately, this information often is scattered and or not readily
available in the literature, and, as a consequence, in seeking solutions, full information on
what has been learned about a problem frequently is not assembled. Costly research findings
may go unused, valuable experience may be overlooked, and full consideration may not be
given to the available methods of solving or alleviating the problem. In an effort to correct
this situation, the Transit Cooperative Research Program (TCRP) Synthesis Project, carried
out by the Transportation Research Board as the research agency, has the objective of
reporting on common transit problems and synthesizing available information. The synthesis
reports from this endeavor constitute a TCRP publication series in which various forms of
relevant information are assembled into single, concise documents pertaining to a specific
problem or closely related problems.
The application and level of sophistication of MIS used by transit agencies in North America
vary widely. This report of the Transportation Research Board focuses on the general
direction of change in transit MIS and on specific integration efforts that are
applicable and transferable to the transit industry as a whole. Based on a comprehensive
review of MIS functions and environments of the surveyed agencies and on discussions
carried out during site visits with key staff at seven major transit agencies, critical success
factors are identified. Several general barriers that apply to most transit agencies are
discussed, as well as a pronounced need to create an effective, broadly based user group to
assist in making the appropriate investment in information technology.
To develop this synthesis in a comprehensive manner and to ensure inclusion of
significant knowledge, available information was assembled from numerous sources,
including selected public transportation agencies. A topic panel of experts in the subject area
was established to guide the researchers in organizing and evaluating the collected data, and
to review the final synthesis report.
This synthesis is an immediately useful document that records practices that were
acceptable within the limitations of the knowledge available at the time of its preparation. As
the processes of advancement continue, new knowledge can be expected to be added to that
now on hand.
 CONTENTS

1 SUMMARY

4 CHAPTER ONE INTRODUCTION

Purpose of Project, 4
Background, 4

5 CHAPTER TWO TRANSIT INDUSTRY STATE OF THE PRACTICE IN INFORMATION SYSTEMS

Survey/Interview Tools and Site Visits, 5
Current Industry Condition, 5
Degree of Systems Integration, 10
Barriers to Adoption of New Information Systems Technology, 12
User Group Framework, 13

16 CHAPTER THREE INTEGRATED SOLUTIONS: EXAMPLES FROM THE SITE VISITS

Bay Area Rapid Transit District (BART): Financial Management System, 16
MTA New York City Transit: Integrated Maintenance Management System, 17
Seattle Metro: Distribution Data Base, 18
Toronto Transit Commission (TTC): Automated Transit Operators System, 19
Metropolitan Atlanta Rapid Transit Authority (MARTA): Maintenance Planning and Control, 21
Metro-Dade Transit Agency (MDTA): Countywide Applications Environment, 21
Metropolitan Rail (Metra): Information Systems Environment, 23

27 CHAPTER FOUR CONCLUSIONS AND RECOMMENDATIONS

33 GLOSSARY

36 REFERENCES

37 BIBLIOGRAPHY

38 APPENDIX A PROJECT DESCRIPTIONS FROM THE SITE VISITS

66 APPENDIX B QUESTIONNAIRE

70 APPENDIX C INTERVIEW GUIDE

71 APPENDIX D TRANSIT AGENCIES VISITED

72 APPENDIX E OAHU TRANSIT SERVICES QUESTIONNAIRE SUMMARY

75 APPENDIX F ORANGE COUNTY TRANSPORTATION AUTHORITY QUESTIONNAIRE SUMMARY

TCRP COMMITTEE FOR PROJECT J-7

CHAIR COOPERATIVE RESEARCH PROGRAMS STAFF

JACK REILLY ROBERT J. REILLY, Director, Cooperative Research Program
Capital District Transit Authority STEPHEN J. ANDRLE, Manager, TCRP
GWEN CHISHOLM SMITH, Project Manager, TCRP
MEMBERS
GERALD BLAIR TCRP SYNTHESIS STAFF
Indiana County Transit Authority STEPHEN R. GODWIN, Director for Studies and Information Services
KENNETH J. DUEKER SALLY D. LIFF, Manager, Synthesis Studies
Center for Urban Studies DONNA L. VLASAK, Senior Program Officer
ALAN J. GIBBS LINDA S. MASON, Editor
National Transit Institute
HENRY HIDE
Cole Sherman & Associates Ltd.
MAXINE MARSHALL
ATE/Ryder Management
PATRICIA V. McLAUGHLIN
Los Angeles County Metropolitan
Transportation Authority
BEVERLY G. WARD
Center for Urban Transportation Research

TRB LIAISON
ROBERT SPICHER
Transportation Research Board

ACKNOWLEDGMENTS

Roger Boldt, Kalona, Iowa was responsible for Group, Inc; James A. Scott, Senior Program Officer,
collection of the data and preparation of the report Transportation Research Board; Raymond M. Wright, Senior
Valuable assistance in the preparation of this synthesis Systems Engineer, Mass Transit Administration; and Sam
was provided by the Topic Panel, consisting of Ronald E. Yagar, Professor, Civil Engineering Department, University
Boenau, Transportation Management Specialist, Federal of Waterloo, Ontario.
Transit Administration; Howard Eisenstadt, Director, Human The Principal Investigators responsible for the conduct
Resource Systems, MTA New York City Transit; Gorman of the synthesis were Sally D. Liff, Manager, Synthesis
Gilbert, Director, Institute for Transportation Research and Studies, and Donna L. Vlasak, Senior Program Officer. This
Education, University of North Carolina; Lora G. Mayo, synthesis was edited by Linda S. Mason.
Programmer/Analyst, Office of Management Information Valuable assistance was provided by Gwen Chisholm
Systems, Washington Metropolitan Area Transit Authority; Smith, Senior Program Officer, Transit Cooperative Research
Patricia "Tish" S. Nettleship, Chairman and CEO, The Program, Transportation Research Board.
Nettleship
 MANAGEMENT INFORMATION
SYSTEMS: STATE OF THE PRACTICE

SUMMARY The applications and sophistication of management information systems (MIS) used by transit
agencies in North America vary widely. The transit industry clearly lags behind the private sector in
acquiring and deploying information systems technology. This synthesis identifies the barriers that
inhibit implementation of technology, the direction of current thinking, and the key success factors of
those transit agencies that are involved in the best practices of the industry.
Seven transit agencies were selected for site visits, based on several fundamental criteria:
(1) the agency has developed or acquired sophisticated applications in at least one of four management
and operational areas under consideration; (2) the agency has achieved some level of integration of its
information systems; (3) the agency has reasonable documentation of its activities with expansion plans;
and (4) the agency embodies information systems and technologies applicable to the transit industry as a
whole.
The seven site visits were conducted over several days, not only to determine the condition of the
agencies' overall MIS environments but, more importantly, to assess the extent of integration in four
critical areas: administration, planning and operations, materials management, and advanced technology
systems. An interview guide was created to help identify specific areas of integration that have been
achieved using the most current approaches and technologies and the critical success factors most
essential to developing and maintaining effective and efficient MIS in the transit industry. The seven
transit agencies and their specific integration projects are as follows:

• Bay Area Rapid Transit (BART): Financial Management System

• MTA New York City Transit: Integrated Maintenance Management System
• Seattle Metro: Distribution Database, Geographical Information System, and Operation Support
System
• Toronto Transit Commission (TTC): Automated Transit Operators System
• Metropolitan Atlanta Rapid Transit Authority (MARTA): Maintenance Planning and Control
• Metro-Dade Transit Agency (MDTA): Transit Operations System
• Metropolitan Rail (Metra): Information Systems for Revenue Ticket Distribution and Sales Status

In addition to the seven primary site visits, a questionnaire was developed to acquire additional
information from a broader range of transit agencies. The 20 questionnaire responses were further
supplemented by six additional site visits to small urban bus and paratransit operations. Two of the
questionnaire responses (Oahu Transit Services, Inc., under contract to Honolulu Public Transit
Authority (city-owned vehicles) and Orange
2

County Transportation Authority) were used in conjunction with supplemental planning documents to outline key transit issues
related to MIS.
Perhaps the single greatest barrier to the effective acquisition and deployment of MIS resources in transit is the tradition of
automating existing manual processes. Although transit agencies are more alike than different, a multitude of unique manual
processes have grown up at individual agencies over time. The practice of automating these varying procedures represents a
major barrier to standardizing software to support primary functions and impedes transferability across transit agencies of similar
size, despite significant commonality.
Organizational structures that isolate resources or combine functions can also create barriers to implementing and improving
MIS technology. In small agencies, it is often difficult to access MIS staff and/or technical resources from the broader
governmental entity. The agency usually must rely on its own limited resources to identify someone who is interested in the
problem but not necessarily appropriately trained to provide MIS direction and support.
In larger transit agencies, the older data processing model of a mainframe environment primarily supporting financial
systems has persisted. MIS resources frequently are organized under the finance department rather than under an administrative
group with agencywide responsibility and oversight. This type of model has led to the emergence of pockets of MIS resources
outside of the primary computing environment.
Lack of training and funding are two critical barriers to success. Training is required at two levels in transit agencies:
training and development of MIS staff, and training and education of user department personnel. Funding also is a problem in
two areas of transit: lack of funding to acquire, update, and maintain critical MIS and new technologies; and specific funding
opportunities through capital grants that create uneven or inappropriate investment in particular technologies.
Based on the large investment of federal, state, and local funds, and commonality in the industry, there is enormous value in
creating a new framework to facilitate communication and to assist decision making in the acquisition and deployment of
information systems technology. It seems appropriate to develop a public framework to facilitate this investment process, which
(at a minimum) can provide the following benefits:

• Up-to-date information,
• Simple and objective description of information,
• Standardized evaluation method,
• Easy and inexpensive method of accessing information,
• A single point of access in the industry, and
• An automated as well as manual process for acquiring information.

Eighteen critical success factors were identified and prioritized from a comprehensive review of the MIS functions and
environments of all the surveyed transit agencies and discussions with key staff involved in MIS project activities. The following
activities were considered most important by transit agencies to enhance their overall MIS environments:

• Support key strategic business purposes of the transit agency,

• Establish appropriate organizational structure for MIS,
• Institute an agencywide planning process,
• Employ systems development methodology (SDM),
• Decentralize access to management tools,
• Centralize control over the MIS function,
• Use automation to facilitate future expansion,
• Initiate an automation/reengineering process,
 3
• Perform cost/benefit analysis,
• Move toward software packages rather than custom development,
• Avoid prototype solutions,
• Use computer-aided system engineering (CASE),
• Migrate toward open architecture,
• Migrate to client/server architecture,
• Maximize integrated solutions,
• Facilitate the use of data as a resource,
• Establish a PC help desk, and
• Implement a disaster recovery plan.
4

CHAPTER ONE

INTRODUCTION

PURPOSE OF PROJECT BACKGROUND

This synthesis examines the range of applications used

and the benefits derived from the current information systems The scope and objectives of TCRP Synthesis Project
in place in the transit industry. Of particular importance is the SG-3 "Management Information Systems" emerged out of
level of integration of special-purpose software and advanced discussions by the Project Panel for Transportation Research
technology into the overall information systems environment. Board (TRB) Project G-1 "Information Systems: State-of-the-
How effectively this information from special-purpose Art Applications for Transit Properties." Project G-1 is to
systems crosses departmental boundaries is as important to identify information system applications that could benefit
this study as the state of the applications themselves. the transit industry but that have not been used significantly
Specifically, the objectives of this project are to (1) to date. The project's emphasis is on emerging, real-time
document the transit industry's state of the practice of technologies, and not those in general use Specifically, the
information systems; (2) identify key issues facing objectives of this research are to (1) review and critique
information systems, particularly the level of integration of state-of-the-art technologies and evolving real-time transit
special-purpose systems into the overall information systems; information systems, which can benefit transit properties or
and 3) recommend a cooperative framework for a user group patrons; (2) establish criteria and develop evaluation
to assist transit agencies in taking cost-effective advantage of procedures for use by transit agencies to indicate the value of
information systems technology. Because a number of terms each information system under consideration; and (3)
are specific to information systems used throughout the text, demonstrate the usefulness of these procedures by evaluating
a glossary of terms has been included. several examples of applications drawn from categories such
State-of-the-practice information was gathered primarily as:
through agency site visits (described in Appendix A) and was
supplemented by a detailed questionnaire (Appendix B). The • Data acquisition/handling,
most efficient way to acquire detailed data on MIS activities • Communications,
in transit was to conduct detailed interviews during site visits • Display mechanisms,
of major agencies that exhibited good practices and • Storage/retrieval,
significant integration of systems. Appendix C is the • Analysis/action generating, and
interview guide. Although larger agencies would offer more • Systems integration.
opportunity to assess current practices than smaller agencies,
additional limited site visits were established for six smaller
systems (urban, regional, and paratransit operations, Synthesis Project SG-3 is a companion project that is
Appendix D) and 20 questionnaires were sent out to a mix of intended to provide essential background on the general state
small, mid-sized, and large agencies to assess the state of the of the practice of information systems in transit and to lay the
practice across the whole spectrum of transit activity in North foundation for Project G-1.
America.
 5

CHAPTER TWO

TRANSIT INDUSTRY STATE OF THE PRACTICE IN INFORMATION SYSTEMS

SURVEY/INTERVIEW TOOLS AND SITE VISITS • San Francisco Bay Area Rapid Transit District--Oakland,
California
Information system (IS) environments vary dramatically • Metra (Metropolitan Rail)--Chicago, Illinois
among transit agencies. It was difficult to design a single survey tool • MTA New York City Transit--Brooklyn, New York
that was appropriately balanced due to variances in the agencies'size
of operation, external organizational structure (freestanding authority A second tier of interviews was included that both
or part of another governmental entity), internal organizational supplemented the questionnaire process and expanded the site visit
structure (extent of control over information systems and list with smaller fixed-route transit and paratransit agencies. These
technology), and extent of the hardware platform. The questionnaire agencies consisted of three small, urban fixed-route bus systems, one
that was finally developed (see Appendix B) was designed primarily university-based fixed-route and paratransit operation, and two
for midrange and small systems, and was to be supplemented and demand-responsive paratransit van systems.
supported by existing planning documents and internal descriptive
information. • Five Seasons Transportation--Cedar Rapids, Iowa
Large transit agencies were too complex to detail on a single, • LIFTS--Linn County Transportation-Cedar Rapids, Iowa
uniform survey form. Instead, information was gathered from the • Des Moines Metropolitan Authority--Des Moines, Iowa
large agencies through interviews during site visits (see Appendix C). • Iowa City Transit--Iowa City, Iowa
This site visit interview process identified areas in which significant, • Cambus, University of Iowa Transit--Iowa City, Iowa
successful efforts were made to integrate a special software system or • Johnson County SEATS--Iowa City, Iowa.
advanced technology into the overall MIS. By focusing on a
particular operational area of the transit system, it was possible to
Because of the complexity and depth of the IS technology
identify at some depth a particular special-purpose system and the
environments at the seven primary tier sites, the interviews focused
level of integration achieved. Such a focus allowed for a more
on only one or two areas that met the interview guide criteria (see
thorough understanding of a specific operation than would a broad
Appendix B). Each agency was asked to identify a specific area in
overview of the IS environment. This approach added greater insight
which sophisticated applications or major IS activities were
and value to other transit agencies than a simple high-level overview
developed that exemplified the integration of special-purpose
of all existing systems. In the process of gathering information on a
software into general MIS. It was felt that this concentration on select
particular area of integration, an attempt was made to identify key
areas would provide applicable information to the transit industry as
success factors from the site visit. A prioritized discussion of those
a whole. After these areas were identified, discussions were pursued
critical success factors is included in Chapter 4: Conclusions and
with project staff, and in some cases a user group, to determine the
Recommendations.
degree of integration and applicability. Detailed project information
The sites visited for this project included two categories of
was then gathered on the selected area or areas, excerpted, edited,
transit agencies. (For the size and full address of the two tiers of
and summarized in a consistent form for this report.
transit agencies, see Appendix D.) Seven transit agencies were
chosen for the first tier because they met the following criteria: (1)
they have developed or acquired sophisticated applications in at least
one of the four management and operational areas under CURRENT INDUSTRY CONDITION
consideration (i.e., administration, planning and operations, materials
management, and advanced technology systems); (2) they have This assessment of the current transit industry condition of MIS
achieved some level of integration of special-purpose software into is based on a small sample size of 7 large agency site visits, 6 small
their overall information system; (3) they have reasonable transit and paratransit operations site visits, and 20 small, midrange,
documentation of their activities and expansion plans; and (4) they and large surveyed agencies. Although this assessment represents
have information systems and technologies that are applicable to the various sizes and types of transit agencies (bus and rail), no attempt
entire industry. The list consisted of transit agencies from various has been made to comprehensively survey the industry. Rather, this
regional areas of the United States and one from Canada. small sample, through in-depth surveying and detailed site visits,
provides sufficient information and insight on the types of IS
environments being used at transit agencies today. There are
• Municipality of Metropolitan Seattle--Seattle,
probably as many differences in transit agencies as there are in the
Washington
general business community of comparably sized organizations.
• Toronto Transit Commission--Toronto, Ontario, Canada
Agencies were not divided along American Public Transit
• Metropolitan Atlanta Rapid Transit Authority--Atlanta, Association (APTA) guidelines but were instead divided into three
Georgia
• Metro-Dade Transit Agency--Miami, Florida
6

basic categories; surveyed small agencies under 50 buses without for management, technology, applications, and data; and (2)
professional MIS staffing; surveyed midsize to large agencies with specifically recommended projects. The following is a brief summary
MIS staffing; and large agency site visits (see Chapter 3). of the progress and accomplishments made in addressing the LRISP.
LRISP architecture/recommendations:
(1) Implement cost/benefit methodology. OTS needs to
Small Agencies establish a full cost/benefit methodology as part of the creation of a
committee structure within OTS and the broader transportation
requirements of Honolulu.
For the purpose of this assessment, small systems are transit (2) Hire MIS director and additional staff. A new Director
agencies that have fewer than 50 buses and no professional MIS has been hired (1991) and the staff has been increased to five,
staff, and that are largely personal computer (PC)-based, although including a help desk coordinator. Three staff members support the
they may use some program (usually finance and payroll) of a microcomputer platform and two staff members support the
midrange or mainframe through a city or county entire. Most small mainframe platform. OTS still remains below the industry norm for
systems are stand-alone IBM-compatible or Macintosh systems that MIS staffing. As MIS assumes greater responsibility in the area of
run DOS or Mac and use standard word processing and spread-sheet technology deployment, additional staffing will be required.
packages. Usually these small agencies use one or more specialized (3) Locate MIS within the organization to better serve users.
packages to support finance, scheduling, and/or MIS needs to be repositioned to better serve all of OTS and to
maintenance/inventory. (See Table 1: Summary of Small Agencies’ assume responsibility for the oversight of technology investment.
MIS Environments.) (4) Establish the organization and management process for
managing data and communications resources. OTS has developed
Agencies with MIS Staffing specific procedural manuals, user manuals, and systems
documentation. The agency has also established a request for
services (RFS) system to analyze, manage, and monitor resources.
Transit agencies in the second-tier survey (midsize to large Standards have been developed for data structures, hardware
agencies with MIS staffing) vary dramatically in hardware platform, specifications, network specifications, and applications development.
software environment, MIS organization, and ability to significantly (5) Evaluate, select, and implement a standard systems
change or enhance their existing systems. Staffing itself varies from development methodology. A standard systems development
one full-time professional to departments that include systems methodology is in place and is currently being used. This is a proven
analysts, programmers, operators, and administrators. Rather than methodology that has been used for several significant projects.
simply list the specific environmental components from all the (6) Increase project management capabilities internally to
questionnaries, some of which were far more complete two specific uniformly manage all new projects. Currently, a proven project
systems that provided sufficient support information in addition to management methodology has been adopted and has been used in
the questionnaire to better explain their practices. Both Oahu Transit several projects. In conjunction with this method, OTS uses an
Services, Inc. (OTS) and Orange County Transportation Authority automated tool called Timeline, which is a highly rated PC-based
(OCTA) provided background materials that complemented their project management system. Timeline has been used in both the local
questionnaries. A profile of these two systems may provide insight area network (LAN) installation and in the current general ledger
into the state of the practice of representative transit agencies. The reorganization.
questionnaries are included in this synthesis as Appendixes E and F (7) Acquire a database management system to assist overall
after an edited description of the agencies’ current IS environments. data integration. The standard for a relational database at the
microcomputer platform is dBASE III+. Several systems have been
Oahu Transit Services, Inc. (OTS) (1) developed and are currently in production using this database.
(8) Review current project priorities and compare against
OTS recently (1992) conducted a diagnostic review of its MIS strategic business plan. This has been performed systematically as
environments as part of a broader organizational analysis. The reflected in the MIS department's 6-month goals and objectives.
diagnostic review was to assess the current state of the MIS Priority review is an ongoing process that will occur several times as
environment as OTS, compare those findings with the Long-Range the strategic planning environment changes.
Information Systems Plan (LRISP) of October 1990 (2), and make (9) Provide training and support for end-users. The MIS staff
recommendations for future improvements. Based on the diagnostic coordinates training with several sources and assists in the
review process and the high-level management discussions, it is clear appropriate selection of training on PCs, PC programs, and
that there has been recent progress on the LRISP. However, a mainframe applications. Also, one-on-one training is done when the
number of significant opportunities remain that confront both OTS need exists. The increased staff in MIS provides better support for all
and the Honolulu Public Transportation Authority (HPTA) in the end-users. A help desk has been established to provide a single focal
arena of MIS and technology investment. OTS, Inc. is under contract point for end-user support, problem analysis, and training needs
to HPTA and operates city-owned vehicles. assessment.
The 1990 LRISP was developed to ensure effective (10) Institute project management tools to be used for all
management and growth of the technical infrastructure to support enhancements and new systems. A product called Timeline is being
OTS’ business objectives. The LRISP addressed two areas: (1) used in conjunction with a project management methodology in
architectural structures current projects. Timeline is a highly rated project management
system.
 7
TABLE 1
SUMMARY OF SMALL AGENCIES' MIS ENVIRONMENTS
Small Agency Features Number of Agencies (12)

Hardware Platform
IBM-compatible PCs 9
Macintosh 3

Database
Paradox 2
dBASE III, IV 1
FileMaker Pro 1

Operating System
MS DOS 8
Mac 3
Windows 2
UNIX 1

Network
Novell 3
UNIX 1
Ethernet 1
Tops 1

Administration
WordPerfect 3
MS Word 3
Enable 1

Accounting
Done through city/country 3
Lotus 4.0 2
Excel 4.0 2
Quick Books 1
Solomon 3 1
Enable 1
Pentamatran Enterprises 1
FileMaker 1

Scheduling
TeleRide Sage Minischeduler, Runcutter 2
Trapeze 1
Comisis 1

Materials Management
RTA Fleet Maintenance 2
Turly Maintenance/Inventory 1

Future Plans
GPS AVL/AVM 4
Upgrade scheduling package 2
Training programs 1
Improve maintenance system 1
Improve inventory system 1

Problems/Obstacles
Lack of cooperation from city/county 3
Redundancy of input with city/county 2
8

Strategic MIS/Technology Issues Orange County Transportation Authority (OCTA)

Based on conversations with key management personnel at OCTA completed a long-range information systems plan in
OTS and HPTA and the diagnostic review discussion, a number of June 1991 (3). The following section describes the plan and its
key strategic issues were raised. These issues need to be addressed by findings:
top management at both OTS and HPTA to ensure the proper
investment and deployment of information technology. Management Architecture
Organization: Consistent with the original LRISP, the MIS
Department needs to be positioned in the OTS organization to better • Defines 16 management issues identified through
facilitate organizationwide communication and end-user support. interviews with the Project Advisory Committee,
Because the finance department is part of a major MIS user group, • Develops a functional organization chart that defines a
access to and support for the rest of the organization is frequently new information systems functional organization, and
limited; existing statistics appear to support that conclusion. • Envisions and defines a role for the top management
The information technology requirements of the broader steering committee--the Technology Investment
transportation environment are as important as the internal Committee.
organizational issue and need to be considered. A fully coordinated
information technology infrastructure could more effectively and Technical Architecture
efficiently support the needs of all modes of transit and the several
transportation organizations (OTS, HPTA, Rail) than multiple, • Defines a conceptual technology architecture, including
separate infrastructures. Because both HPTA and Rail are still very hardware, network, operating systems, and data
much in their organizational infancy and the provision of rail service management to facilitate data sharing among several
is in the feasibility study stage at HPTA, it is not appropriate to departments; and
resolve this structural issue now. • Recommends a move to an open architecture, technical
environment, which implies interconnectivity among
Centralization and Control: The responsibilities of the MIS information systems from different vendors and allows
department need to be expanded to include oversight of information for the access, transfer, and manipulation of data by
technology as well as what has been considered the conventional authorized users throughout the organization.
purview of MIS. A new definition for information technology would
include all those technologies that are information-based, that cross Data Architecture
department boundaries, and that support management decision
making. Specific technologies are listed below. • Develops a foundation for recognizing common data and
reducing duplication of stored data, and
Computer Systems
• Defines data entities, interrelationships among data
entities, and logical data groups.
• Management information systems
• Administrative computing Application Architecture
• End-user computing
• Central control systems: databases, operating systems, • Assesses current application systems support for
application software information needs to support the following functions:
• PCs and LANs: operating systems, applications, software,
and hardware --Facility management
--Marketing
--Financial/accounting
Communication Technology --Operations
--Planning/budgeting
• Telephones --Planning
• Telecommunications architecture --General administration
• Data communications architecture --Project management
• Radio technologies --Human resources
--Vehicle management;

Other Technologies • Defines application and technology infrastructure projects

including estimated timeline, personnel resources, and the
one-time and ongoing costs of each project; and
• Bar coding • Costs approximately $9 million over the next 3 years for
• Automated bus identification onetime expenses including both internal and external
• Farebox technology resources.
• Cash-handling technology systems
• Materials management technical systems. Implementation of the recommended architectures is seen as critical
to accomplishing OCTA's strategic business plans. The four
The current MIS environment of OTS is contained in the architectures and the specific application projects identified in the
questionnaire summary (Appendix E). plan directly support the information needs associated with one or
more of the following goals of the OCTA:

• Improve operational and financial efficiency.

 9
• Improve service effectiveness. TABLE 2
• Continue to develop support strategies that maximize the RESOURCE AND COST ESTIMATES FOR CURRENT
effectiveness and efficiency of OCTA operations. PROJECTS IN THE APPLICATION ARCHITECTURE (3)
• Improve customer information services.
• Ensure effective, efficient use of OCTA funds. Resource Person Years One-time Cost

The following steps are required to make the MIS plan effective at Internal labor 32.4 $3,363,000
OCTA External labor 15.6 $3,250,000
Hardware and software N/A $2,575,000

Implementation Steps Total 48.0 $9,188,000

The long-range information systems plan defines major

changes in the MIS function. These changes are not just technical in range computers to handle specific functions (i.e., ridesharing and
nature. The MIS function needs fundamental changes in its Dial-A-Ride). Additional microcomputers have also been slated for
relationship to other departments, its internal staffing, and purchase.
organization. Current PC configurations have allowed for the expansion of
The successful implementation of these changes will, to a these systems as required. Future PC considerations need to allow for
significant degree, determine how successful OCTA is in moving to the capabilities and recognized needs (based on operating systems
the target architectures and supporting its strategic direction. To and networking) of OCTA over the next 5 years. An important
assist in starting this transition process, OCTA has identified the consideration for the microcomputer area is the use of LANs to link
following activities: micros with one another and the main network. Another important
(1) Establish a technology investment committee: To key is the compatibility and use of operating systems other than
establish the proper linkage between management and MIS, create a DOS.
single focal point for decision making in the acquisition and The development of an open architecture will enable the
deployment of information technology, and set policy throughout the existing computers to communicate with one another. At OCTA, this
agency for information technology, a technology investment communication will involve one midrange computer talking to
committee should be created. This committee should be composed of another, midrange computers talking to microcomputers and their
executive management, chaired by the chief executive officer, and associated networks, and microcomputers talking to microcomputers
should include representation of MIS. The principal duties of the within LANs or to midrange computers. In some instances, this open
technology investment committee include the following: architecture will require dedicated hardware to handle
communications and transaction processing between the various
• Establish the mission, goals, and objectives for MIS. platforms. A dedicated processor may be required to act as a terminal
• Set policy for information systems and information server to coordinate network access and data communications for the
technology deployment. existing computer terminals on the PRIME computers.
• Oversee the planning, acquisition, and implementation of Developing this open architecture will require coordination of
information technology. hardware platforms, operating systems, and network management to
• Establish a cost/benefit methodology and standards for develop an effective and efficient combination of resources.
information technology investments. (2) Network Capabilities: Current PRIME network
capabilities are approaching maximum utilization. A limited number
(2) Develop an MIS staffing plan: To move from the recently of ports are available for use on the current PRIME systems. The
consolidated MIS organization consistent with the management implementation of the maintenance, accounts payable, and
architecture, an MIS staffing plan should be developed. The staffing purchasing system (MAPS) has placed additional requirements on
plan will define new job responsibilities, skills, and the number of the current network system. In addition, there have been reports of
staff needed. Compensation ranges will be developed to support poor data integrity and parity checking. The current cabling hookups
OCTA's need to recruit MIS personnel in several key positions. required for the network are bulky and space consuming. There are
(3) Commit the internal and financial resources identified in also limited capabilities to bring PCs into the network using the
the plan: Resource and cost estimates for the current projects in the current system.
application architecture for the next 3 years are shown in Table 2. OCTA has examined the possibility of switching to an Ethernet
network for the midrange systems, which is an important first step in
Technology Architecture developing the necessary networking capabilities. An Ethernet
network will make expansion of the current system much easier, will
To provide a backdrop for the questionnaire information (see provide better data integrity, and will simplify the linking of PC
Appendix F) and identify the basic components of the OCTA workstations and LANs into the network. In addition, the amount of
technical architecture, the following details are provided for the cabling required for hookups will be significantly reduced.
hardware, network capabilities, operating systems, and data At the microcomputer level, OCTA's current LANs are being
management. evaluated for possible replacement with Novell networks. An
(1) Hardware: The current environment at OCTA consists of important consideration in the selection of LAN technology is
three PRIME midrange computers and approximately 135 whether or not the LANs have the capability to access the main
microcomputers. Current plans call for the purchase of additional network and systems.
mid-
10

(3) Operating Systems: The operating system controls the physical resources. The ability to access, change, update, add,
computer hardware, manages system resources, runs programs in or delete must be closely monitored and managed.
response to user commands, and supervises interaction between the • Ease of use: To the extent possible, data must be reasonably
system and its users. The operating system also forms a foundation easy to maintain and access. A database management system
on which applications software is developed and executed. The key should provide a structured query language (SQL) capability.
components of a successful operating system in an open architecture SQL provides an application-level standard method for data
include the following: exchange between different computing platforms. Much
progress has been made in the development of fourth-
• Compatibility: To develop a true open architecture, the generation languages that use SQL and allow the user to
interfaces between the systems must be as transparent as structure and access data.
possible. Whenever possible, different computers must have
the same operating systems so that similar commands are used
to utilize system resources across various systems. DEGREE OF SYSTEMS INTEGRATION
• Multiuser environment: The capability must exist to support a
variety of users at the same time. The system must allow for The degree of systems integration varies widely across the
the efficient sharing of processing and information storage transit industry. Generally, there is less integration in smaller
while maintaining the necessary security needed to separate agencies with limited information systems resources and more in
each user from the activities of the other users. larger agencies, which have professional staffing, better tools, and
• Availability of applications: The operating system must be planning/systems development methods. However, some
established to the degree that applications software is sophisticated smaller agencies have created significant integration
commercially available and software development tools are through microcomputer LAN technologies, and some larger agencies
available to develop any custom applications needed. have considerable difficulty integrating systems across multiple
• User interaction: Users must be able to use the operating hardware environments.
system with a minimum amount of training. As mentioned Based on the site visits, questionnaire results, and support
previously, the operating system must be similar across documentation, it is clear that the effective integration of computer
different platforms to provide for ease of use. One method of and communication systems to meet transit agency requirements is of
accomplishing this objective is through the use of a graphical paramount strategic importance. Tight fiscal constraints have further
user interface (GUI). GUIs are programs that simplify user underscored the need to eliminate redundant data entry and
interactions with systems typically through the use of a mouse duplicative systems throughout the organization. Long-range
and screen icons (instead of technically-oriented strings of information system plans and strategic plans for transit agencies have
commands). reflected the need to reorganize and retrain staff to improve the
• Communications: The operating system must be able to support for and use of systems integration, client/server architecture,
support a wide variety of network and data communications and related new technologies such as GUIs, multimedia, and
utilities. A true open architecture is defined by its ability to imaging.
access applications and data throughout the network. It is difficult to generalize about the state of the practice of
• Maturity: The operations system must be well-established and integration since the industry varies greatly and the continuum of
recognized. A strong user community is necessary to provide practices ranges from very little to quite considerable. For the
support and to keep abreast of new developments. In addition, purposes of this report, it is most useful to identify the general
vendor support must be readily available to install, maintain, direction articulated by most agencies (e.g., support for open
and troubleshoot the operating system. architecture), identify the area in which the greatest integration is
currently occurring (e.g., office information systems), and provide
An example of an operating system that meets these criteria is the some key examples of specific integration projects in the operational
UNIX system. UNIX operating systems run on a variety of hardware areas (see Appendix A).
platforms including micros, midrange, and mainframe computers. In
addition, the UNIX system is well established and supported by a
variety of vendors. A relatively strong user community is connected Support for Open Architecture
with the UNIX operating environment.
(4) Data management: Because an open architecture implies More than half of the surveyed agencies have articulated a movement
user access to a wide range of data, some guidelines for the toward or adoption of policies supporting open systems architecture
management of these data should be established. These guidelines (OSA). To maintain maximum flexibility, while being able to take
include the following: advantage of new technology, many transit agencies have adopted
the new MIS industry standards that facilitate connectivity between
• Compatibility: A key concept of an open architecture is the various computer systems. At a minimum, these standards include
ability to share data and information from a variety of the following features:
databases across different platforms. A significant amount of
effort must be applied to establishing data standards so that • The interconnectivity among systems must be maximized
data can be exchanged or easily converted to the proper format regardless of the platform (PC communicating with midrange
for exchange. and/or mainframe systems).
• Security and access: Another major concern of data • The interfaces between systems must function for the user as
management is data integrity. Data must be managed just like transparent. Simplicity and commonality of user interface are
other essential ingredients.
 11

• The capability must exist to support a variety of users TABLE 3

simultaneously while maintaining necessary security. INTERNATIONAL STANDARDS FOR OIS (4)
• The operating system must be established for commercially
available application software. Data Model Approximate
• The operating system must be able to support a variety of Third Generation Standard Established Year
network and data communication utilities.
Electronic Mail Standards (X.400) 1991
Office Information Systems (0IS) Open Systems Interconnect (OSI) 1992
Office Document Architecture (ODA) 1991
A number of transit agencies have produced OIS plans in the Office Document Interchange Format (ODIF) 1991
last several years. Two detailed OIS plans were acquired during the Compound Document Architecture (CDA) 1992
site visits: Metra's Directions and Recommendations for Metra's Remote Database Access (RDA) 1993
Computing Environment-Micro vs. Mainframe Computers and MTA Directory Standards (X.500) 1994
New York City Transit's Third Generation Office Information Remote Procedure Call (RPC) 1995
Systems (OIS) Plan, 1991-1995. The greatest integration and use of Portable Operating System Interface (POSIX) 1995
client/server technology has been generally applied in this area of the
industry. What began primarily as word processing and electronic
mail (E-mail) systems has expanded to include image processing, International standards for OIS are evolving in a number of areas
creation of compound documents, and application processing (see Table 3). Adherence to these standards is critical to the
supported by tools such as GUI, distributed relational databases, and achievement of MTA's goal of seamless access, through the desktop
object-oriented computing. Representative of these OIS plans is the workstation, to any application or office function.
plan produced by the Information Systems Development (ISD) group After reviewing the options, MTA concluded that vendor
of New York. compliance to industry standards is essential to the success of OSA.
Focusing on this main point, various alternatives were considered,
including the following:
MTA New York City Transit's Third Generation OIS Plan (4)
• Move off the Wang platform completely, selecting one of the
The 1990 OIS Plan defined MTA's strategic direction to current leading OIS proprietary vendors that provides a clear
effectively support business requirements while incorporating the functional advantage (i.e., DEC with All-In-One, HP with
commitment to eventual two-tier processing and the need to reduce New Wave);
dependency on sole-source, single-vendor procurements. The efforts • Stay with Wang and limit OIS support only to that platform,
for this plan have resulted in the following: waiting until standards are in place and fully integrated, and
functional software is available; and
• Documentation of existing OIS (hardware and software) within • Migrate toward a client/server environment. Meet requests for
MTA; new OIS installations with a PC LAN solution. Provide
• Identification and research of the functional features of the bridging to Wang office as necessary. Ultimately redefine and
emerging third-generation OIS, including evolving standards, convert the role of Wang VS hardware to perhaps function as
providing a data model to focus the search for effective file servers for the client/server platform.
solutions;
• Identification of the major vendors' approaches to delivering The last alternative was recommended. Such a phased transition
this new functionality; will protect the Wang investment in hardware and training and will
• Cataloging of the extent of Wang-based (MTA's current allow MTA to gradually introduce office functions in the desired
hardware) application systems to further delineate the client/server environment. In the near term, MTA will continue to
complexity of migration; and support the existing Wang office base and assess the requirements for
• Assessment of alternative migration strategies with emphasis phased migration of the extensive data processing portfolios resident
on investment return. on the Wang VSs.
MTA views this phased transition as essential in limiting the
The study was to identify a cost-efficient transition path to the OIS proliferation of product lines. All major vendors offer similar
platform of the future while keeping in mind the following goals: increased functionality but do not commit fully to the standards
described previously. Vendors will, under the guise of an open
• Establishment of the desktop workstation as the complete system, be what is termed compliant-retaining proprietary technology
information tool and gateway, providing access to data (hardware/software) and accomplishing interconnection via
processing applications as well as OIS functionality; gateways, which is an expensive solution.
• Support of current environment and functionality; The basis for appropriately limiting future product installations
• Phased migration to client/server LAN platform, adhering to and effectively positioning MTA to take maximum advantage of
software and communication standards; market delineation is the establishment of internal standards in the
• Interface between current and new OIS solutions; and areas of word processing, spreadsheet, and graphics software;
• Implementation of additional functionality and tools through imaging technology; GUI; bridges and gateways; etc.
the medium of the workstation. These standards are determined by undertaking research and
limited pilots to gain a working familiarity with the proposed
architecture and specific hardware and software solutions. Certain
12

standards have already been determined on the basis of required without professional information systems personnel), problems often
functionality (i.e., word processing software-WordPerfect, Microsoft exist in the relationship with the broader governmental entity. At
Word; GUIs--Windows, Presentation Manager). their most minimal level, these problems often mean that the transit
This process of study, test, and standard solidification will agency cannot access MIS staff and/or technical resources from the
continue through 1992 in conjunction with ISD Operations, PC broader governmental entity. In these cases, the agency usually must
Technical advisory committee, and client departments, with perhaps rely on its own limited resources to identify someone who is
some limited production installations based on an assessment of interested in the problem but not necessarily appropriately trained to
critical need. provide MIS direction and support. Based on discussions with transit
MTA will make every effort to curtail Wang VS expansion and staff, this approach sometimes works effectively because a growing
prohibit the development of new applications on any minicomputer number of managers are computer literate and understand many of
unless the immediate, short-term benefit is overwhelmingly the basic hardware/software requirements of smaller agencies. More
compelling. Therefore, a production solution will include an in-depth often this approach is unsuccessful and can result in poor investment
analysis and recommendation for conformity to MTA's standards and poor deployment of technology. In some cases, agencies rely on
model on any approved new initiatives. Any technology selected, vendor support. This can result in some effective installations, but
including the expansion of existing minicomputer components or because the vendor is interested primarily in promoting a particular
applications, must be transferable to the next generation of OIS. system, it can mean an uneven or unbalanced investment.
In 1992, MTA created an OIS task force, which consists of In many cases, both small and large agencies have difficulty
members from ISD's planning areas and member(s) from individual communicating or interfacing with their umbrella government
client departments, to develop a master migration plan. In 1993, agencies. This appears to be particularly true in the case of some key
MTA began to see, on a case-by-case basis, the more widespread financial systems but can also apply to maintenance, materials
deployment of alternative OIS solutions. The agency also began to management, and inventory Part of this problem is technical in
pilot migration strategies for Wang VS applications. nature and part is procedural. On the technical side, there is
In 1994, vendor performance should be clearly indicated in frequently an inadequate communications link between these entities.
relation to both functionality and standards, allowing for selection of Transit is often not part of the larger communications architecture
a vendor(s) to support the integrated workstation for the next and is expected to communicate in a less sophisticated way. An
generation. Upon availability of a fiber network, MTA will also additional problem is software or hardware compatibility. Unless a
begin designs of corporatewide E-mail and imaging networks. In specific interface is created, information such as payroll is frequently
1994-96, MTA will try to actively migrate to the new platform. transmitted by hard copy and re-entered at the city/county level.
Many of these problems can be described as procedural because the
technology and expertise are not used in these instances, even though
Overall Information Strategy they are present in other parts of the operating systems. Past practices
or signatory requirements are often cited as the reason for
Beyond the office information systems environment, it is far duplicative, manual interfaces and redundant procedures.
more difficult to meaningfully identify the transit industry's state of Finally, there are significant problems with the way MIS are
the practice for systems integration because of its inherent diversity. organized in larger agencies that have professional staff. The older
More appropriately, it is felt that state of the practice can be data processing model of a mainframe environment that primarily
articulated best by discussing specific efforts in particular operational supports financial systems has persisted in many transit agencies.
areas by transit agencies assessed during the site visits. Appendix A MIS organizations are frequently organized under the finance
contains detailed discussion of specific integration efforts in department rather than under an administrative group that has
operational areas applicable and transferable to other transit agencies. agencywide responsibility and oversight. This same kind of model
An effort has been made to identify different operational areas and/or has frequently led to the emergence of pockets of MIS resources
different approaches to integration that will add value to the industry. outside of the primary computing environment. Although there is a
Chapter 4 contains a discussion of the conclusions arrived at from the need to decentralize access to management tools (see Chapter 4),
overall site visits, the specific integration projects, questionnaire centralized control in the following critical areas of MIS investment
data, and support documentation. and deployment is also important:

• Maintain minimum standards for hardware/software.

BARRIERS TO ADOPTION OF NEW INFORMATION • Support agencywide policies and procedures.
SYSTEMS TECHNOLOGY • Protect the integrity of agencywide data.
• Prevent duplication of hardware/software.
Although many specific barriers can be identified for particular • Provide maintenance and support for hardware/software.
transit agencies surveyed in this study, several general barriers apply • Provide user training.
to most transit agencies as identified through discussions with MIS
management.
Past Practices
Organizational Barriers Perhaps the single greatest barrier to the effective acquisition
and deployment of MIS resources in the transit industry is the
Organizational barriers appear in different ways for different condition of current practices being wedded to past practices. From
sized agencies. In the very small agencies (under 50 buses and
 13

small agencies to large ones, the primary mechanism for moving to wise impoverished agency. The availability and timing of particular
computerization has been to automate existing manual processes. capital funding can create an unbalanced and unequal information
Although transit agencies are more alike than different, a multitude technology environment. Such an environment creates technical
of unique manual processes have grown up at individual agencies inequities and political problems that compromise the ability of
over time. Many of these processes have become institutionalized information technology to serve the strategic mission and business
and intransigent. This approach to doing business in the transit goals of transit agencies.
industry represents a major barrier to acquiring standard software
packages to support primary functions and makes transferability
difficult across transit agencies of similar size, despite significant USER GROUP FRAMEWORK
commonality. If a key success factor is the use of software packages
with minimum customization (see Chapter 4), then there is a A very large investment is made in information systems and
pronounced need to combine automation with reengineering and related technologies in the transit industry. Although unit prices and
training. cost per computing element are going down and will continue to
Reengineering is the systematic review of business functions to decline, the overall investment as a percentage of operating and
determine how they can be streamlined by applying automation capital budgets will rise as new and better technologies become
technology. The process of reengineering is time consuming and available to the industry. Because this is such a large investment
requires the full cooperation and support of the affected user made through federal, state, and local funds, there is a very
departments. Candidate areas are those business functions that are pronounced need to create an effective, broad-based user group that
based on feasibility analysis and that appear to have the potential for can help the industry make the appropriate investment in information
generating significant savings if they are properly reengineered and if technology.
appropriate automation technology is available (see Chapter 4).

History
Training
A wide variety of industry initiatives have been started over the
Lack of training in existing hardware/software and related years from the original UMTA microcomputer user group to the most
technologies and inadequate education regarding new developments recent APTA software guide (5). Additionally, a number of
in MIS are critical barriers to success. Training needs to occur at two committees and subcommittees have been established principally
levels in transit agencies: training and development of MIS staff through APTA and TRB and have periodically met to discuss and
where they exist, and training and education of user department share information on information systems and new technology. At
personnel in appropriate technologies. The training effort needs to be their best, these committees have established an effective forum for
seen as an integrated component of the total the collection and dissemination of information, and have used new
automation/reengineering process. and effective tools of communication such as Internet (as in the case
of the Advanced Public Transportation Systems (APTS) Committee).
At their worst, they are committees that are "on the books" but have
Funding not met in years.

Funding is a problem in two areas of transit: lack of funding to

acquire, update, and maintain critical MISs and new technologies; New Conditions/New Requirements
and specific funding opportunities that create uneven or inappropriate
investment in particular technologies. As the federal commitment to transit has diminished and transit
With reduced state and local revenues due to economic agencies' budgets have tightened, travel has become far more
downturn, growing competition for local resources, and limited restrictive and access to decision-making resources has become more
federal support, most transit agencies need to exercise a program of difficult. Because of these new fiscal constraints, it is difficult for
cost containment. If information technology is viewed as part of the management to visit appropriate information systems installations or
overall transportation delivery infrastructure, then that technology to acquire all the information necessary to make good acquisition and
should be assessed, as other infrastructure components are, on its investment decisions. As a result, new tools are needed to facilitate
ability to contribute to delivering transportation services. To be the acquisition and deployment of new information systems
successful, information technology must effectively demonstrate that technology.
it has a significant impact on business issues confronting transit. The current condition of information systems technology and
Information technology must become strategically positioned to be products is growing more difficult to assess rather than less.
seen as a critical factor in the cost-effective, safe, and reliable Examples include the accelerating pace of innovation and new
delivery of transportation services (see Chapter 4). product releases, emerging new vendors (particularly from abroad),
Lack of appropriate information technology investment raises and defense and other industries entering the transit marketplace.
questions about the overall value and effectiveness this technology Under these circumstances, deciding who has the best product and
brings to the organization. Since most information technology is who can provide long-term support becomes more challenging, and
acquired through capital grant funding, which is often dictated by the integration of systems and subsystems becomes more difficult
particular events and timing, projects in this area do not always and more critical.
conform to strategic need. It is not uncommon to see a significant Based on discussions with site visit managers and the surveys,
investment in a particular exotic, advanced technology in an other- it would seem that the primary mechanism of gathering information
is the informal network supplemented by vendor promotional
14

materials. Calling other transit agencies that have particular products on IS products is available in a dizzying array via informal
has always been the primary means of acquiring initial information. networking, articles in trade magazines, vendor brochures, computer
Though this process builds important relationships and provides and advanced technology publications, and popular media. Because
information, it is a hit-or-miss approach that is often more subjective of the sheer amount of information, it is often difficult to distinguish
than objective. Middle management in transit, those who are the objectively true from the hyperbole.
primarily charged with making the IS investments, are more isolated It is already difficult for those managers in transit agencies who
than ever. The complexity of the current IS environment coupled are responsible for making IS investment decisions to acquire
with this isolation has resulted in some poor yet expensive appropriate information. The method of accessing information in this
investments in a number of transit agencies. However, it must be new framework must be relatively easy and inexpensive. With fiscal
noted that some good investments have been made, but the decision- constraints affecting the ability to travel, to acquire training, and to
making process has grown more difficult and resources have shrunk access expert support systems, an inexpensive mechanism is critical
in recent years. to the institution of a new framework.
A single point of access in the industry is important for creating
Transit Agencies are More Alike than Different a clear avenue of communication and focus of overall effort.
Organizations that have an interest in this user group framework
Because there is so much similarity in the basic business include the Federal Transit Administration (FTA), APTA, and TRB.
functions and strategic direction of the transit industry, the Finally, because this whole framework is about information
opportunity to share common solutions has always been great. systems and related technologies, it is important to use the
Current conditions, new requirements of the IS technology appropriate technical means available as well as a manual process for
environment, and significant cost seem to provide even stronger those without access. A number of transit agencies are already using
arguments than before for developing mechanisms for sharing up-to- Internet, which has become the standard for communication for
date knowledge and experience of IS products and approaches. It is groups like the APTS committee. Agencies should consider
essential to determine what similarly sized transit agencies are doing establishing or reestablishing an electronic resource center for transit
with the information systems technology investment to learn from information systems, like the project started by Indiana University in
each other, to adapt existing systems to better approaches, and to 1991.
participate in joint ventures to reduce risk. The development of an electronic resource center for the transit
industry was inspired by the industry's need and motivated by the
New Framework frustration of transit personnel in finding even basic up-to-date
information easily and quickly. The transit industry comprises
Based on the preceding discussion, there appears to be hundreds of agencies, and the communication between them is
enormous value in creating a new framework to facilitate awkward, inefficient, and infrequent. An on-line, computer-based
communication and assist decision making in the acquisition and system-which would include multiple databases, a bulletin board, E-
deployment of information systems technology. Because this capital mail, chat or forum-type services, and other capabilities--was seen as
investment is so large and likely to grow as the dependence on the answer to the problem. No such information source currently
technology increases and because this is a public investment made exists, although this system was proposed by Indiana University in
with federal, state, and local monies, it seems appropriate to develop 1991 and an initial prototype was developed (6).
a public framework to facilitate this investment process. At a The opportunity to take advantage of the similarities among
minimum, this mechanism needs to provide the following: transit agencies and share common solutions is even more
pronounced now because of tight budgets, the accelerating pace of
• Up-to-date information, new product innovation, and emerging new vendors. In addition to
• Simple and objective description of information, sharing up-to-date knowledge and experience of IS products and
• Standardized evaluation method, approaches, the user group could facilitate the use of common
software and re-engineering of business functions. Historically, the
• Easy and inexpensive method of accessing information,
approach to developing transit-specific software that could be used
• A single point of access in the industry, and
by multiple agencies, (e.g., Transmis I & II) has been largely
• An automated as well as manual process for acquiring unsuccessful. However, with new tools (open and client/server
information. architecture), new technologies (computer-aided systems engineering
and state-of-the-art networking), and improved database
Because the information systems and related technology environment management, the opportunity for industrywide IS solutions has never
is so dynamic, with change and innovation transforming the been greater. Bay Area Rapid Transit's financial management
landscape at a dramatic pace, it is fundamental that the new systems software is being demonstrated as an industry solution and
framework provide information that is current and fully up-to-date. It Seattle Metro's approach to distribution database represents an
has been argued (Chapter 4) that transit as a public infrastructure integration strategy approach for other agencies. These systems are
needs to make a conservative investment in technology and not be profiled in Chapter 3.
primarily involved in prototypical technologies; however, it is critical
that the transit industry be able to judge whether or not new
information systems technologies are proven, available, and
Sponsorship
supportable in transit applications.
The success of a user group for information technology may
depend on the willingness of transit industry groups to provide
Up-to-date information on IS products needs to be presented
sponsorship. Based on discussions with the surveyed transit agencies,
and made available in a simple and objective format. Information
 15

there would appear to be enormous value in the creation of a Institute at Rutgers, the state university in New Jersey, or
formal, fully operational user group that could provide McTrans in Florida; from the FTA; or from a group within
information that is consistent with the previously discussed APTA. These are suggestions, of course, not meant to place
criteria. responsibility on any group; but these and similar ideas could
The necessary sponsorship might come from university provide the entry for interested parties to organize the user
research centers, such as the University of Indiana, the group.
National Transit
16

CHAPTER THREE

INTEGRATED SOLUTIONS: EXAMPLES FROM THE

SITE VISITS
The transit agencies among the first-tier site visits were chosen The team also chose to develop all applications using GUI-based
based on several general criteria, including sophisticated applications microcomputer software. An application programming software
in at least one of four management or operational areas, a high level package called Powerbuilder was selected to help with the
of integration, good documentation, and applicable technology. The development of the applications. In November 1993, a corporate
site visit process was designed to identify well-documented activities relational database that exists outside the framework of the
at those agencies that exemplified the integration of special-purpose mainframe computer, called INFORMIX, was established to capture
software or advanced technology into their overall MIS. The and hold the FMS information.
following overviews were drawn from discussion with key staff as BART's FMS plan focused on the following basic requirements:
supplemented by project-specific documentation. This discussion is
intended to highlight current projects that exemplify the integration • A subsystem that provides for the transfer of funds from one
process within selected agencies and that also have maximum project to another.
applicability or transferability to other transit agencies. The full • Controls to ensure that expenses already realized are properly
detailed descriptions of each of these projects are contained in accounted for before transferring information.
Appendix A. The conclusions and recommendations made in Chapter • Direct interface of funding information
4 highlight the critical success factors most essential to developing • Automated recording of pertinent information such as
and maintaining effective and efficient MIS in the transit industry. payroll, purchase order, and contract data.
• Agreements made accessible through the use of on-line
viewing capabilities.
BAY AREA RAPID TRANSIT DISTRICT (BART): • Capture of labor costs and verification against valid cost
FINANCIAL MANAGEMENT SYSTEM (7,8) centers.
• Review of projects, assignment of FMS numbers, funds, etc,
remaining under centralized control.
BART has been through several iterations of its long-range • Automated entry of project information into FMS upon
information technology plan (LRITP): BART's first LRITP was approval and release.
initiated in August 1990 and completed in May 1992; the FY '93 • Capture and reporting of expenses in a timely manner.
update was completed in March 1993; and the third update is • Centralized grant databases with interfaces to FMS and
currently in progress. project management.
BART's executive management has been primarily concerned
• Automated fund and grant application entry, drastically
with the need to promote accountability and budget ownership within
expanded validations.
district management. BART's financial management system (FMS)
• Development of one method for tracking all projects.
consisted of numerous stand-alone systems and subsystems.
Although direct interface existed between several of these systems, • Development of the new method as the central focus for all
other systems, such as grant funding in government and community project and financial information passed to BART's
relations, had no direct automated tie to any computerized system. microcomputer-based systems.
Users obtained information manually or through spreadsheets. Other • Load leveling, scheduling, and interface resourced to BART's
systems, which appeared to have no tie-in to FMS, had an impact on standard project scheduling software packages.
financial system modifications. In May 1992, senior staff • Development of automated uploads of project information to
commissioned a project to develop and implement a fully automated a centralized holding database for review by a controlling
system to capture, develop, and report capital and operating department, assignment of funding, and automatic update of
information specific to program budgeting. the central FMS database. Project life and yearly budgets
The new FMS of BART uses state-of-the-art technology to would be included.
display, process, retrieve, and update financial information. For the • Development of controls for receiving and downloading FMS
first time at BART, FMS application information is available to all information in sufficient detail to ensure financial reporting
users through network access in a production environment. As of integrity outside of the FMS framework.
September 1993, no other transit agency has systems that contain the • Development of systems and procedures to verify report
range of capabilities of FMS. Integration of current practices into the results.
new system, coupled with databases containing manually
interpretable information, has introduced processing complexities
requiring extensive testing and verification.
Texas Instruments' IEF CASE tool was selected by BART's
project team to help define and document business requirements. Figure 1 shows sources of data for BART's new FMS.
 17

• Reviewed the significant business processes in each

functional area;
• Evaluated previous systems support needs and assessed
actions taken;
• Outlined specific systems improvement initiatives to
serve as a guide for focusing MTA's decisions regarding
deployment of systems-oriented resources over the next
5-year period;
• Considered strategic options, costs, benefits, and risks for
the following:

--Business processes to be supported

--Overall systems architecture
--Hardware options for computing and office automation
--Software alternatives
--Network design
--Organization and staffing issues; and

• Developed findings and recommendations.

After reviewing several ongoing projects with the Information

Systems Development staff, MTA decided that the Integrated
Maintenance Management System (IMMS) project best suited the
integration of a special-purpose software system into the overall MIS
environment of MTA (10).
The IMMS is a joint Car Equipment/Information Services
project designed to address Car Equipment's information needs and
functions as an integrated whole. This whole-system approach differs
significantly from the previous systems development approach in
which specific applications had been developed for specific user
processes. The previous approach resulted in a proliferation of
reports, redundant data entry, incompatible and often conflicting data
files, and ultimately, a general dissatisfaction with overall usefulness
of the applications, hardware, and communications.
IMMS Phase I, a yearlong planning phase, was to define the
information requirements, develop a conceptual system design, and
perform a feasibility study for an information system that supports
Car Equipment in the effective management of all of its resources
while reducing overall cost and improving the performance of its
mission. A context diagram for IMMS is provided in Figure 2.
The IMMS Phase I Team consisted of eight Car Equipment
Figure 1 Data sources for BART's FMS. (8)
participants and nine Information Services participants. These
participants received an intensive, 1-week training course in modern
MTA NEW YORK CITY TRANSIT: INTEGRATED structured analysis, a state-of-the-art information engineering
MAINTENANCE MANAGEMENT SYSTEM technique. The team interviewed 100 Car Equipment operating and
support staff to identify the interviewees' activities and information
MTA New York City Transit (MTA) carefully detailed its usage. From these activities, the team identified 44 functions (groups
information systems planning process in a series of internal of related activities) performed by Car Equipment. In addition, 58
documents, including a Five Year Systems and Telecommunications entities (items about which data must be collected) were identified
Plan, 1991 Update (9) (a new 5-year update was being prepared at and defined as used within the division.
the time of this study), Five Year Data Communications Plan, and A The information needs and functions were presented to 56 Car
Third Generation Office Information System Plan (4). (See Chapter 2 Equipment participants in 7 validation meetings designed to obtain
for a discussion of office information technology.) interim comments on the work performed up to the midpoint of the
Based on interviews with MTA executives and senior project. The team used these comments to further develop
managers, and other data gathering and analysis tasks, the 1991 information requirements for an ideal integrated maintenance MIS.
update contained the following: The conceptual system design identified eight subsystems, four
internal and four external data groups, that meet the information
• Updated the critical success factors (CSFs) of MTA; needs and serve the functions of Car Equipment's maintenance and
support operations. Each of these subsystems supports a
18

Implementation of advanced technologies is central to the

overall goals of the organization. With an emphasis on technology,
several of Metro's projects meet the criteria for inclusion in the
assessment of the state of the practice, including their geographic
information system (GIS) and operation support system (OSS). Both
of these projects represent a high-level of integration within the
Metro environment and are examples of a new approach to database
management-distribution data base (DDB) (12).
In 1993, Metro established a project team to investigate,
purchase, and/or design, implement, and maintain a data integration
strategy. This group was charged with the overall integration of data
across the separate business components at Metro. The integration
strategy uses a DDB, which is accessed and controlled through a
process manager. The design provides an integrated, seamless overall
computing environment for users.
From a business standpoint, this integration model is
transparent to the user. A browsing mechanism enables the user to
perform complex business analyses using data from different
business component systems. The user does not have to know where
the information resides to access it. The user performs queries that
include data from different business component systems in a
consolidated reporting environment.
From a system architecture standpoint, the DDB is a logical
database design that connects (integrates) business component
systems on a database level in a controlled and standardized fashion.
The DDB concept allows each business component system to
maintain its own databases, while providing distributed and logically
consistent data that can be accessed and shared by all business
component systems and users, regardless of the actual location of the
data. A critical factor in the success of the integration strategy is the
Figure 2 New York's IMMS context diagram. (10) scheduling and synchronization of data exchange. The scheduling is
primarily time-driven; for example, process X must be run nightly
specific area of the division's needs. By integrating these subsystems, but only after 6 p.m. Synchronizing events involves process
data can be recorded once and used universally. This integration of prioritizing, process chaining, and system balancing to ensure both
the total functionality and information needs of Car Equipment data and system integrity.
separates this proposal from the previous system applications. Figure 3 describes the data integration strategy, which is as
The estimated tangible benefit resulting from the full follows:
implementation of the integrated maintenance management system
was $22.5 million per year. Several intangible and unquantifiable • Controlled and standardized access to information across
benefits could also be derived from such a system. These additional disparate systems,
benefits included faster and more informed decisions, better • Control of process scheduling,
identification of costs, and more businesslike operations.
• Synchronization of the process of data exchange, and
• Ensured integrity of data throughout the DDB.

SEATTLE METRO: DISTRIBUTION DATA BASE

As the data repository required to support the data integration
Seattle Metro is a countywide department of King County strategy, the DDB does the following:
government that is responsible for both public transit and water
pollution control. Under the leadership of its transit director, Metro
has created an aggressive vision for the role of technology. In the • Allows systems to share data so that the data do not have
department's strategic mission, technology is viewed as facilitating to be duplicated elsewhere,
the operation of an easy-to-understand and easy-to-use, • Allows user to access data that come from different parts
interconnected, multimodal transportation system operated by of DMS' data universe (e.g., different business
multiple agencies in the region. This vision includes the view that components), and
"customers will have convenient and user friendly access to up-to- • Gives users the data platform to combine information in
date and accurate information about transit and other shared-ride new ways spanning multiple, heterogeneous systems.
services whether through their personal computers, TV screens,
telephones, personal communication devices, and interactive kiosks.
This information in conjunction with timely and accurate freeway The logical model of the DDB provides a shared concept of the
and arterial congestion information will provide people with the business that is arranged by subject area, not necessarily by business
information they need to choose when, how, and even if to travel" component system. The first version of this logical model was
(11). This vision of a technology-based, information-rich transit completed in September 1993. Although this first version of the
system has suffused the entire management environment at Metro model defines all entities, attributes, and relations, the revisions
and helped empower those who are deploying these new tools.
 19

User-Accessible Systems

Transparent Integration System

Figure 3 Seattle Metro DMS integration strategy: conceptual representation. (12)

of the logical model and implementation of the physical DDB are exemplify an integration approach that included full cost/benefit
ongoing. analyses. The ATOS project was chosen for description because it
Figure 4 represents the implementation of the integration was believed to have greater overall applicability to other transit
strategy using three examples of business component systems. The agencies.
systems represented are GIS, scheduling, and financials including TTC recognized a need to streamline its divisional offices in
inventory, general ledger, and accounts payable/purchase orders. workforce and performance measurements, while standardizing
These three different business component systems selected represent administrative procedures to create consistency and improve the
direct and potentially indirect connection to the DMS DDB. control, quality, accuracy, and timeliness of information. To
The DDB conceptual model is the foundation for several accomplish this objective, major improvements to existing databased
integration projects undertaken by Seattle Metro. The two specific systems were required and several key manual systems needed to be
integration projects included in Appendix A are the GIS and OSS. computerized.
With the exception of some on-line subsystems, the majority of
information records at the divisions-such as schedules, operators'
TORONTO TRANSIT COMMISSION (TTC): work selections, and employee general information-were maintained
on paper and stored in binders or filing cabinets for daily reference.
AUTOMATED TRANSIT OPERATORS SYSTEM
Information pertaining to employee absence, substitute operator work
(13,14) assignments, and payroll data was collected daily and processed
manually.
TTC is currently developing a new long-range information Consequently, the lack of automated databases relative to
technology plan. However, in its 1992 commissionwide long-range schedules, general information, absence, and payroll inhibited the
plan, TTC identified the need to improve the process of researching productive use of divisional personnel and allowed some preventable
and developing new applications and acquiring new technologies. In problems to go unchecked.
the discussions with the MIS department, two current projects were To achieve benefits and improvements within the
identified as meeting the criteria for this study: an automated transit Transportation Branch, an ATOS was proposed. A pilot project at
operators system (ATOS) and a new information system to support Roncesvalles
Wheel-Trans, TTC's paratransit operation. Both projects
20

Figure 4 Seattle Metro DMS integration strategy: physical model. (12)

 21

Division estimated the cost/benefits of the ATOS to be $100,000. to maintenance, which traditionally represents close to 50 percent of
Based on this estimate, the total cost of the ATOS project was MARTA's total operating budget. When the system is completely
projected to be approximately $4.9 million. functional, an estimated 1,000 MARTA employees will eventually
Successful implementation of this full project was expected to use MPAC in their daily work. The MPAC system is designed to
yield an annual savings of approximately $1.35 million with expand with MARTA's bus and rail network, which currently serves
additional benefits relative to the use of human resources, reduced 70 million riders each year via 29 rail stations and 150 bus routes.
cancellations, and other administrative benefits. The pilot project and A high-level graphical representation of MARTA's
evaluation results were completed in the fall of 1993, and citywide computerized MMIS is represented in Figure 6. The MPAC
implementation is expected in mid 1995. system includes the following primary components:
Based on these assumptions and the pilot project, an ATOS
committee made the following recommendations: 1. Maintenance planning and control (MPAC)
1.1 Work orders
• Proceed with systems requirement definition 1.2 Materials management
• Issue request for proposal to qualified firms. 1.3 Occurrence reporting
• Purchase and test a developed product for 6 months. 1.4 Curator imaging system
• Evaluate product and make final recommendation. 2. S&A fuel/fluid tracking
3. Timeware
Due to the magnitude of the Transportation Branch operation 3.1 Automated time and attendance tracking
and the potential for automation, this project was considered to be 3.2 Work order labor distribution
very important by the Transportation Branch and was given high 3.3 Job board assessment
priority
TSW developed a maintenance and materials management system
specifically for a relational database operating system. MPAC is an
extension of a planned maintenance and stores management concept
Scope of Project and has an interactive, end-user operated system. Timeware is an
automated program for collecting employee work hours and
The ATOS project was to improve the availability and use of distributing labor costs. Relational database technology makes
information by interfacing and automating current systems in the Timeware adaptable to most transit environments.
Transportation Branch. The main objectives for the ATOS project
were as follows:

• Automate the slip administration functions. METRO-DADE TRANSIT AGENCY (MDTA):

• Interface with current schedule, payroll, and personnel COUNTYWIDE APPLICATIONS ENVIRONMENT
systems. (17)
• Streamline administrative practices to ensure uniformity
among divisions. Because MDTA is a department of county government, some
• Improve activity levels. of the agency's information system components are supported by the
countywide information technology department (ITD) and some are
By meeting the above objectives, the project was expected to do the supported directly by MDTA's own management and information
following: services division (MISD).
ITD is a mainframe environment that supports several
• Ensure uniform application of contractual regulations. countywide applications used by MDTA, including the systems
• Provide accurate and uniform payroll practices. described in the following paragraphs.
• Provide detailed analysis of labor costs and workforce.
• Maintain accurate and current employee information.
• Ensure accurate and timely flow of information. Equipment Management System (EMS)
• Eliminate duplication of activities/reports
The EMS is a countywide, multiuser, on-line maintenance
The ATOS context diagram provided in Figure 5 shows the process management system developed by ITD with representation from
whereby information is received and processed. General Services Administration (GSA) Fleet Management, MDTA,
Parks and Recreation, Aviation, Sea Port, Solid Waste, GSA Agency
Management, and Public Works. The system provides information to
METROPOLITAN ATLANTA RAPID TRANSIT of all types of equipment, vehicular or stationary, planning
AUTHORITY (MARTA): MAINTENANCE PLANNING utilization; and cost analysis.
AND CONTROL (15,16)

MARTA identified an integrated maintenance management

information system (MMIS) as its highest MIS need in its 1990 Materials Management System (MMS)
longrange information systems plan. Following an extensive
evaluation process, MARTA selected the maintenance planning and The MMS was purchased in 1985 from TRES Systems, Inc.
control (MPAC) system of The System Works, Inc. (TSW). The MMS is an on-line system used for the control of materials. The
MPAC system tracks and schedules all equipment, parts, and labor materials database is updated and maintained by menu-driven
related
22

Figure 5 TTC's ATOS context diagram. (13)

screens, which also provide inquiry on the status of stock items, controls and procedures establish accountability and budgetary
purchase orders, and supplying vendors. controls to monitor the overall system.

Financial Accounting Management Information System (FAMIS)

Geographic Information System (GIS)
FAMIS, originally implemented by Dade County in 1977, is an
integrated financial system that was designed to meet the needs of The use of GIS to manage the fast-paced growth occurring in
government and other organizations that use fund-accounting urban areas of Dade County has become an absolute necessity, as it
principles. has in most large counties. Metropolitan Dade County has taken a
leadership role in this technological area and is using GIS to support
the management of its infrastructure.
Agency Management Control System

The Agency Management Control System is designed to Automated Budget Development System (ABDS)
operate as a subsystem of FAMIS. The system provides detailed
subsidiary financial accountability for fixed assets accounts carried in ABDS helps departments within the county prepare their
FAMIS and detailed physical identification of these assets. budget requests for the upcoming fiscal year. The system allows for
online inquiry and updates by both departments and budget office
personnel of appropriation requests, current and future salary
Payroll/Personnel System projections, performance planning, and predefined reporting.
MDTA's MISD is a VAX cluster configuration with a
The overall objective of the payroll/personnel system is to pay microcomputer LAN environment supporting transit-specific
an employee for services performed while working for metropolitan applications. Because of the organizational separation of the two MIS
Dade County. As a result, a number of controls and procedures are in functions in Dade County, it is particularly important to identify the
place to administer the union contracts and administrative procedures following strategic focus of the MISD:
to which employees are subject; at the same time, these
• Continue to take advantage of developing technologies in the
disciplines of information systems and data processing.
 23

Figure 6 MARTA's computerized MMIS. (15)

• Continue to implement effective distributed processing to integrated information systems environment. As Metra's applications
improve information accessibility. systems integration chart (Figure 8) demonstrates, over the past
• Continue to support and encourage adherence to standard decade and a half the agency has moved progressively toward
architectures and communications protocols to address the integration of all its primary packages. Metra's Information Systems
requirements of interoperability with other county Division is a highly centralized, conservative organization that has
departments. had great continuity of MIS leadership since the origin of the
organization in the early 1980s. Although the agency does not
The MISD plan calls for an investment of $9.4 million over the next maintain a formal long-range information systems plan, it has
5 years. The largest shares will go toward the replacement of the developed and maintained a focused vision based on a family of
Metrorail computer system, estimated at $3 million, and the packages and a commitment to the mainframe environment.
implementation of the transit planning management system, Metra has recently created a small end-user computing group to
estimated at $1.5 million. As of this synthesis, three minicomputers support its microcomputer and LAN environments, while committing
have been installed and are operating in a cluster environment. The most of its staff resources to the mainframe. Metra has been able to
computer communications network has been extended to all attract and maintain a strong professional MIS workforce by
operating divisions throughout the agency. remaining competitive with private-sector salaries, providing
Figure 7 shows the existing and proposed connectivity among excellent training, and maintaining a challenging environment for its
systems. The figure illustrates how data are shared from mainframe programmers and analysts. The agency has organized its user
applications such as personnel, payroll, leave history, equipment community involvement effectively with a strong information
management, materials management, FAMIS, and ARC INFO/GIS. systems executive committee chaired by the chief executive and his
Figure 7 also illustrates the existing and proposed connectivity direct reports. Metra does not abuse its mandatory access to these
among systems in the VAX cluster. Currently, the system with the managers by meeting only on an as-needed basis. This committee
most connectivity with other systems is the transit operations system structure helps ensure the alignment of key strategic business needs
(TOS). See Appendix A for a detailed discussion of TOS. with the MIS investment and guarantees top-down support for all
projects. User group involvement is strong in all aspects of the
METROPOLITAN RAIL (METRA): INFORMATION project life cycles, and all projects are pursued with a fully rigorous
systems methodology and full cost/benefit analysis.
SYSTEMS ENVIRONMENT (18) To demonstrate the approach Metra has taken in one area of
advanced technology, a status report on revenue accounting ticket
Metropolitan Rail (Metra), the commuter rail system for distribution and sales has been included in Appendix A. This report
northeastern Illinois, has developed a long-term vision of a fully
24

Figure 7 MDTA's countywide applications environment. (17)

 25

Figure 8 Metra's Information Systems Division application systems integration chart. (Source: Metra)

highlights the alignment of information systems with a key business (4) Completed capital projects are split into assets and transferred
purpose (e.g., because "increased ridership and market share" are from the capital projects system with an asset value and a
critical strategic goals, Metra's marketing group's needs are always service date as well as other identifying and descriptive
promptly met by the Information Systems Division.) information.
(5) The general ledger chart of accounts is used to validate
account and project numbers for projects being set up in the
capital projects system. Journals are extracted from the general
Application Systems Integration Chart: Interface Cross- ledger voucher file for internal labor and materials used on
Reference capital projects.
(6) Accounts payable vouchers for goods and services purchased
(1) Material requests are automatically generated in the inventory for capital projects are extracted and converted to capital
system for items in inspection and standard repair kits (bills of projects transactions.
material). Material costs are retrieved from the inventory files (7) The general ledger chart of accounts is used to validate
and posted to work orders in labor and maintenance tracking. account numbers on incoming vouchers in the accounts
(2) Train consist data are exchanged with TOPS so that payable system. In the monthly closing cycle, a file
maintenance foremen know the location of rolling stock to be representing about 50 percent of the entire set of general
maintained and are able to substitute operational units for ledger journals is passed to the general ledger system.
those being repaired. Repair history is sent to TOPS to drive Accruals, reverse accruals, and encumbrances are included in
the inspection forecast. the set of journals.
(3) Payroll positions to be worked and employees expected to fill (8) Vendor names and addresses are shared by the accounts
those positions are downloaded to the time-clock subsystem payable vendor master file and the DBE system that tracks
on local shop networks at the beginning of each pay period. minority vendor participation in Metra projects.
Time-clock data are collected each day, summarized, and (9) Vendor masters are established by purchasing. Payee
forwarded to the mainframe payroll time-entry subsystem for addresses and 1099 eligibility are updated by accounts
gross up. payable; both systems share a common vendor file.
(10) The general ledger chart of accounts is used to validate
26

account and project numbers on incoming requisitions (18) The revenue and ticket accounting system will supply
and purchase orders. cash journals to the general ledger system at the end of
(11) Items received in the purchase order system are passed the accounting cycle.
to rail materials Inventory to update the perpetual (19) The risk (insurance claims processing) system provides
inventory file. a payment and reserves journal in report format to the
(12) Ticket purchase orders are extracted and sent to the general ledger system.
ticket inventory subsystem of the revenue and ticket (20) Crew scheduling provides TOPS with a list of the crew
accounting system. manning each train trip.
(13) The general ledger chart of accounts is used to validate (21) TOPS shares descriptive table entries with the safety
account numbers on incoming payroll transactions. testing system and provides equipment number
Payroll journal vouchers are generated and passed to validation for safety test transactions.
the general ledger voucher file at the end of each pay (22) Historical data resident in the revenue and ticket
period. accounting system control the volume of laser ticket
(14) Positions expected to be worked are downloaded from printing for each ticket-selling location.
the mainframe payroll system to a PC time-entry (23) Completed billing is transferred to the accounts
system at each site at the beginning of a pay period. receivable system for collection.
Summarized time card data are uploaded at the end of (24) Contracts provide the input for setting up recurring
each pay period. contact billing.
(15) Pay data are sent to the payroll system each day for (25) Material usage journals are passed to the general ledger
operating employees scheduled by the crew calling system at the end of each accounting cycle.
system.
(16) Accounts receivable provides a cash receipts journal to
the general ledger system.
(17) The billing system provides a sales journal to the
general ledger system.
 27

CHAPTER FOUR

CONCLUSIONS AND RECOMMENDATIONS

BARRIERS TO ADOPTION OF NEW MIS large investment made through federal, state, and local funds, there is
TECHNOLOGY a pronounced need to create an effective, broad-based user group that
can help the industry make the appropriate investment in information
Several general barriers that apply to most transit agencies were technology.
identified: Based on the size of the investment and commonality in the
industry, there is enormous value in creating a new framework to
• Organizational barriers: In small agencies, it is often facilitate communication and assist decision making in the
acquisition and deployment of information systems technology. At a
difficult to access MIS staff and/or technical resources
minimum, development of a public framework to facilitate this
from the broader governmental entity. Usually the agency
investment process could provide the following:
must rely on its own limited resources to identify someone
who is interested in the problem but not necessarily
appropriately trained to provide MIS direction and support.
In larger agencies, the older data processing model of a • Up-to-date information,
mainframe environment primarily supporting financial • Simple and objective description of information,
systems has persisted in the transit industry. MIS • Standardized evaluation method,
organizations are frequently organized under the finance • Easy and inexpensive method of accessing information,
department rather than under an administrative group that • A single point of access in the industry, and
has agencywide responsibility and oversight. This same • An automated as well as manual process for acquiring
kind of model has frequently led to the emergence of information.
"pockets" of MIS resources outside of the primary
computing environment.
• Past practices: Perhaps the single greatest barrier to the
effective acquisition and deployment of MIS resources in CRITICAL SUCCESS FACTORS
transit is the condition of current practices being wedded to
past practices. The primary mechanism for moving to
computerization has been to automate existing manual A set of critical success factors was developed from a
processes. Although transit agencies are more alike than comprehensive review of the MIS environments of all the surveyed
different, a multitude of unique manual processes have transit agencies and discussions with key staff involved in MIS
grown up at individual agencies over time. This approach project activities during the site visits. These factors were viewed as
to doing business in the transit industry represents a major the most important conditions necessary to position MIS within the
barrier to acquiring standard software packages to support agency and have been deemed essential to the long-term success of
primary functions and makes transferability across transit MIS activities. The following 18 factors were ranked in order of
agencies of similar size difficult despite significant importance by the seven agencies visited.
commonality.
• Training: Lack of training in existing hardware/software
and related technologies and inadequate education (1) Support key strategic business purposes of the transit
regarding new developments in MIS are critical barriers to agency
success. Training needs to occur at two levels in transit (2) Establish appropriate organizational structure for MIS
agencies: (1) training and development of MIS staff where (3) Institute an agencywide planning process
they exist, and (2) training and education of user (4) Employ systems development methods
department personnel in appropriate technologies. (5) Decentralize access to management tools
• Funding: Funding is a problem in two areas of transit: (6) Centralize control over the MIS function
(1)lack of funding to acquire, update, and maintain critical (7) Use automation to facilitate future expansion
MIS and new technologies; and (2) specific funding (8) Initiate an automation/reengineering process
opportunities that create uneven or inappropriate (9) Perform cost/benefit analysis
investment in particular technologies. Because most (10) Move toward software packages rather than custom
information technology is acquired through capital grant development
funding, which is often dictated by particular events and (11) Avoid prototype solutions
timing, projects in this area do not always conform to (12) Use computer-aided system engineering (CASE)
strategic need. It is not uncommon to see a significant (13) Migrate toward open architecture
investment in a particular exotic advanced technology in an (14) Migrate to client/server architecture
otherwise impoverished agency. (15) Maximize integrated solutions
(16) Facilitate the use of data as a resource
User Group Framework (17) Establish a PC help desk
(18) Implement a disaster recovery plan.
In the transit industry, a very large investment is made in
information systems and related technologies. Because this is such a
28

Support Key Strategic Business Purposes of the Transit Establish an Appropriate Organizational Structure for
Agency MIS

Most fundamental to the overall success of the MIS department Although the pendulum continues to swing back and forth
is the ability to link its activities and efforts to the broader strategic between proponents of centralization and decentralization of MIS
purposes of the organization. Supporting the organization' s strategic organizations, some organizational fundamental issues remain that
business functions and involving key user groups is critical to the seriously constrain the acquisition and deployment of MIS services
overall success of the MIS effort. Although strategic purposes vary and technology. There is no one right way to organize-multiple
from agency to agency, the following are some recurring, primary examples of different organizational structures all work very
issues that have significant MIS implications: effectively in the transit industry. However, several factors should be
considered in evaluating or altering existing organizational
• Cost containment: With reduced local and state revenues structures.
due to economic downturn, growing competition for local Broadest possible access to and support of the user community-
resources, and limited federal support, most transit -With the expansion of computerization into all aspects of the
agencies need to exercise a program of cost containment. organization, the MIS department has been appropriately moved to
Programs that improve efficiency and reduce costs at all an organizational unit that has organizationwide access and
levels of the organization need to be promoted. responsibility. Even more recently, with the rise of advanced
technology that both generates data across departmental lines and is
MIS implications for cost containment include the following: microchip-based, MIS departments might be moved into more of an
-- Increase employee efficiency through the use of automated umbrella role.
tools and reengineering. Development of organizationwide standards and architectures-
-- Provide better and more timely information to management -To exercise reasonable control over the acquisition, deployment, and
decision making through seamless connectivity and maintenance of information systems hardware and software, the MIS
executive information systems. department needs to develop and enforce some level of standards and
-- Improve financial tools for accounting, budgeting, and architectures. These standards and architectures need to be well-
capital project planning. conceived and fully justifiable within the context of existing agency
investment and the mainstream evolution of hardware/software
• Employee productivity: Generally, employee productivity systems. It is also important that primary user departments are fully
in most transit agencies is perceived as being below involved in the development of these standards and support the
private-sector standards. Acquiring the right people in a concept of reasonable organizationwide control over the acquisition
timely manner, providing them with well-conceived, on- and deployment of MIS and related technologies' resources.
site training and development programs, and creating Organizationwide oversight mechanism--If organizationwide
appropriate incentives promote productivity throughout the standards and architectures exist, then appropriate mechanisms must
work force. ensure that these are respected and met. If the charter of the MIS
organization does not possess that oversight responsibility, it needs to
MIS implications for employee productivity include the be exercised in other parts of the organization such as purchasing or
following: the administrative sign-off process. Commonly, the most effective
-- Use automation and information technology to increase way to exercise oversight is through the creation and support of an
staff productivity. organizationwide committee. To be effective, this type of committee
-- Provide better management tools (performance needs appropriate representation, proper authority, and means of
measurement and executive information systems) to enforcement at its disposal. Further efficiency is achieved when this
monitor and assess the ongoing components of the agency. type of committee meets only as frequently as necessary, and its
-- Acquire better mechanisms to train staff and facilitate membership reflects the highest level of management and functions
development programs. at the proper level of oversight.
Establish a technology investment process--Several of the
• Quality of service: With changes in ridership and surveyed agencies expressed a pronounced need to establish or
continued pressure for cost containment, it is essential to reinforce a focused process for controlling and exercising balance
maintain quality of service if an agency seeks to continue over the MIS technology investment.
to improve its market share. To establish the proper linkage between specific management
needs and MIS resources, some agencies have created a single focal
MIS implications for quality of service include the following: point for decision making in the acquisition and deployment of
-- Establish and monitor standards for quality performance to information technology and for setting agencywide policy for MIS. A
include both managers and staff. technology investment committee needs to be composed of top
-- Provide employees with the best tools to complete their management and preferably chaired by the chief executive officer,
work and eliminate unnecessary manual and redundant with representation by MIS. The charter and responsibilities of this
tasks. committee need to be clearly established and distinguished from
-- Evaluate service quality as often as possible and provide other committees. This committee should have the authority to do the
immediate feedback. following:
-- Use technology to make service safer, easier, and more
reliable. • Establish mission, goals, and objectives for MIS.
 29

• Set policy for MIS and information technology in the user community environment without significant dependency
deployment. on the primary computing department of the agency.
• Oversee the planning and acquisition of information
technology.
• Establish a cost/benefit methodology and standards for all Centralize Control Over the MIS Function
information technology investments.
• Control transit agency technical specifications. As the necessary counterpart to decentralizing the tools of
computing, the MIS department needs to assume centralized control
over information technology to ensure efficient and effective delivery
Institute an Agencywide Planning Process of services. As agencies move toward greater decentralization of the
tools of computing, the need for some basic centralized control
The degree and nature of IS planning varies widely across the increases in the following areas:
site visits and survey respondents; IS ranges from none at all to
extensive, annual, long-range information system and strategic • Maintain standards for hardware and software.
planning activities. Generally the smaller the agency the less likely it • Develop consistent agencywide policies and procedures
is that a formal IS planning activity is conducted; however, some related to centralized MIS.
small agencies have excellent planning processes and plans, and • Protect the integrity of agency specific data.
some large agencies have none. Is it essential to have a formal • Prevent duplication of hardware, software, and data.
planning process? Several notable transit agencies with excellent IS • Prevent multiple platforms that achieve the same goal.
environments do not have formal long-range or strategic IS plans. • Provide maintenance and support for hardware and
However, this does not mean that these agencies have a systems software.
development planning process that all application systems go through • Provide user training for primary hardware and software
or some kind of an informal IS planning process. Generally, those systems
agencies that have formally developed planning processes have a • Evaluate technology projects for cost/benefits in relation to
better sense of prioritization and linkage to the strategic business the priorities overall technology investment profile.
goals and objectives of the broader organization than those that do
not.
The effective deployment of information technology generally Use Automation to Facilitate Future Expansion
assumes an agencywide project planning process. Such a process
helps ensure the coordination and equity of the investment by setting Given the general cost-containment environment in transit
clear, articulated priorities and presenting the best business today, many of the surveyed agencies believed that automation
solution(s) for multiple departments. should be seen as a central mechanism to facilitate growth and
expansion. If automation is to be used effectively, it needs to be
deployed across the organization in a consistent and equitable
Employ Systems Development Methodology (SDM) manner. This assumes a single point of oversight for technology
investment and an agencywide project planning process. As
To develop information systems more efficiently and technologies become increasingly integrated, information-based (i.e.,
effectively, any transit agency undertaking system development technology that is microchip-based and generates data for the
activities needs to adopt appropriate SDM tools and techniques. purposes of management decision making), and are able to
SDM is a step-by-step approach to managing and building effectively cross departmental boundaries (telephone systems,
systems including project feasibility, requirement definition, system farebox technologies, radio systems, etc.), organizations need to
design, programming activities, installation process, support exercise agencywide control over their access and deployment.
requirements, and postimplementation review. The use of a Automation and information technology decision making need to be
standardized SDM ensures that consistent, rigorous, and efficient efficiently planned and coordinated throughout the entire agency.
practices are followed in all system activities. By involving the user The logical place for that function would be a technology investment
community through program sponsorship and active program committee that would act as part of the broader management
development, good communication is maintained and there is greater architecture.
assurance that the final system design meets user requirements.
SDM, coupled with good project planning and management, helps to
monitor project timing and ensure delivery of the completed system Initiate an Automation/Reengineering Process
on time and within budget.
Automation technology, combined with the concept of
reengineering should be seen as the primary mechanism for creating
a more efficient and more effective environment at most transit
Decentralize Access to Management Tools agencies. Many agencies have already developed a formal
reengineering process and identified key candidate areas.
Managers throughout transit organizations are increasingly Even without the pressures for cost containment, most agencies have
trained and conversant with information technology tools for their excellent opportunities for reengineering. Historically, many
areas of responsibility. Managers expect to have computing devices agencies have evolved into organizations with significant pockets of
and peripherals available to them as standard components of their inefficiency that can only be remedied through the adoption of
business environments. Working within the context of reasonable contemporary business practices. Some highly visible examples of
standards and architectures, MIS needs to support management's inefficiency include areas with a high deployment of secretaries
need to acquire and use appropriate hardware and software and/or clerical people. Today, managers in the private sector perform
30

most of their own word processing on PCs and, combined with E- transportation services in a cost-effective manner. In an environment
mail and LAN technology, have moved progressively toward a more of reduced operational subsidies and rising costs, transit needs to
paperless environment. Areas like finance, purchasing, and materials critically evaluate all parts of its business with the same yardstick.
management can eliminate many of the manual processes currently
performed by clerical staff through the introduction of new,
integrated software systems. Move Toward Software Packages Rather Than Custom
This can be initiated with a systematic review of all business
functions to determine where legitimate opportunities exist and
Development
establish candidate areas that suggest stronger return on investment
than other areas. Candidate areas are those business functions that Generally, it was agreed that agencies should take advantage of
appear to have the potential for generating considerable savings if existing software packages from vendors working in the industry
they are properly reengineered and appropriate automation rather than develop custom software in-house. This move assumes
technology is applied. both that adequate packages exist in the industry and that agency
The key to being a candidate area is that the savings must applications will reasonably fit those package solutions. By using
exceed the investment (i.e., it is not enough to simply enhance the standard packages, the agency takes advantage of the research,
effectiveness or quality of a process--tangible financial savings need development, and broader user community input that has gone into
to occur). Those savings generally will involve the ability to vendor products, and avoids expensive in-house development and
significantly downsize an operation without negatively affecting its continued need for in-house enhancement. The more effectively the
products. The tradeoff can be seen as reducing manual labor through agency can use existing vendor packages and move away from
technology. In the transit industry, this tradeoff is even more customization, the more cost effectively it can support management
attractive because it can be viewed as a way of substituting capital information needs. Finally, in the current systems assessment survey,
expense for operating expense. an area of high user dissatisfaction was in-house system
The reengineering/automation process is expected to include at documentation. Software packages, in general, have better
least the following basic stages: documentation than the documentation for custom systems at almost
all transit organizations.
• Feasibility study: Determine, at a diagnostic level, the
potential for change and the consequent savings.
• Full reengineering process: Evaluate the functional areas' Avoid Prototype Solutions
business processes to determine how those processes can
be streamlined through the application of automation Where should public transit be positioned on the curve of
technology. evolving new information systems and advanced technologies? This
• Findings and recommendations: Quantify the cost savings issue was discussed at length with strong opinions being expressed
through full cost/benefit analysis, and recommend an by most MIS managers. Generally, it was agreed that new transit
appropriate course of action. applications need to be developed for emerging technology.
• Action plan: Detail the steps, resources, and time frame However, the expenditure and resource commitment to many of these
required to implement the recommendations. projects seemed to many to be disproportionate to the agency's need
• Implementation process: Align the business acquisition and and/or the overall level of information technology sophistication in
installation of the appropriate technology. many agencies. It is not unusual to see pockets of exotic technology
• Follow-up reporting: Reevaluate the business processes to that may well have some value to the particular agency or even the
verify that savings are being realized and report on industry as a whole but that exist in an otherwise impoverished
effectiveness. technological environment. Additionally, if the industrywide
monitoring and reporting on these projects is not sufficient, then the
exercise itself has reduced value. Too frequently these projects are
conducted only because there is specific funding for them, but
Perform Cost/Benefit Analysis agency-specific and industry-specific cost/benefit is neither
sufficiently developed nor being used effectively to evaluate these
From the survey it would appear that too few transit agencies projects.
have developed or use appropriate means for evaluating the value Because the transit industry is in a cost-containment
added by information systems technology investment. Though this is environment that emphasizes financial efficiency and service
not only a quantifiable process, a specific tangible evaluation process effectiveness, it is generally viewed as appropriate to acquire and
needs to be applied to identify the benefits in relation to the costs. deploy proven technologies that are well established and existent in
Even some of those agencies that have adopted cost/benefit the broader transportation and commercial marketplaces.
mechanisms use them in an entirely pro forma way. Frequently, it is
the largest and most expensive technology investments that are
exempted from the process. There appear to be two very different
and contradicting views about technology investment in transit. First, Use Computer-Aided System Engineering (CASE)
technology investment is inherently good because it represents the
latest technology; while second, it is not worth it because it will CASE is a method that defines business relationships,
disrupt the way business is conducted. Information systems activities, processes, entities, and attributes (known as data
technology must be viewed as part of the overall transportation definitions). The information is created and displayed using simple
delivery infrastructure and should be assessed, as all other graphical diagrams and is maintained in a central encyclopedia.
infrastructure components, on its ability to contribute to delivering CASE reduces duplicate information and quickly reconciles data
among subsystem
 31

models. The software maintains all documentation; as system function and assume an active process of ensuring that appropriate
engineers identify application business requirements, the system data are made available across management activities. One of the
automatically maintains actual documentation. Once analysis and primary functions of MIS is to oversee the acquisition of automation
design are complete, database structures and program source code are tools to facilitate shared and integrated usage. Departmental
automatically generated. CASE allows the rapid development of relationships should be anticipated and future usage should be
business applications and the ability to build on previous work-- planned by the MIS Department.
without the need for code generation. This technology represents a
dramatic departure from the old processes of application
development and should be considered by any agency engaged in Facilitate the Use of Data as a Resource
systems development.
Many surveyed agencies expressed the need to see all data
generated through the transit agency as a resource for all
Migrate Toward Open Architecture management. If all data are viewed as an agencywide resource, the
data's integrity and availability can be better assured, duplication and
Many agencies have begun to migrate toward open architecture. redundancy of input can be reduced, and better communication
This migration addresses user requirements for data access and across departmental lines can be fostered. The concept of data as a
computer multiplicity. An open architecture implies an resource is fundamental to decentralizing the tools of computing and
interconnectivity among information systems. This technical centralizing control over the means of computing. Data security
architecture allows for the access, transfer, and manipulation of data needs to be considered in concert with the availability of data.
to the greatest extent possible throughout the organization. An open
architecture requires the coordination of computing facilities,
operating systems, and communication abilities. As the overall Establish a PC Help Desk
guideline for developing the information resources to meet the
information needs of transit, this architecture is becoming a principle
In recent years, several transit agencies have established PC
in the migration of the process control systems.
help desks. A PC help desk provides direct, continuous software and
Four criteria are often cited for open architecture:
hardware support for PC users in the organization, regardless of
location. The establishment and maintenance of this kind of facility
(1) An open application or interface is based on technology
ensures some level of basic support and creates a valuable
standards that evolve over time.
communications link for all computer related problems.
(2) It is portable--it can run on a wide variety of platforms.
(3) It provides scalability from different vendors-as
applications grow, they can be easily remounted on a
more powerful platform. Implement a Disaster Recovery Plan
(4) Hardware and software modules freely interoperate with
each other--meaning real information sharing, not just In the event of a disaster, all transit agencies need a means of
file exchange. backing up their computers in the form of a disaster recovery plan.
As most agencies move toward LAN-distributed processing, the need
for a recovery scenario increases. A disaster recovery capability is a
Migrate to Client/Server Architecture comprehensive management, support, and action plan (a documented
plan and the physical environment in which to execute the plan) that
provides for the smooth and rapid restoration of the business and data
More and more transit agencies, like businesses in general, are
processing operations to prevent an unacceptable disruption of the
migrating to client/server architecture. This emerging technology is
services to the company.
enabling many organizations to extend the life of existing systems,
A good disaster recovery plan contains a complete set of
while providing new functionality to the user community.
components that address all phases of disaster recovery. The
Client/server technology is defined as networked computers with one
components include recovery plans for all computer platforms,
or more client computers (users) accessing a server computer, which
LANs, and PCs. The plan identifies steps to provide all the critical
acts as the primary repository of data and procedural control. An
resources needed if a disaster occurs. This plan must be
example of client/server technology is the FMS (see Chapter 3).
comprehensive enough to ease decision making immediately
Generally, the server computer operates under the UNIX operating
following a disaster. Two fundamental elements of a disaster
system, and client computers operate under any of several operating
recovery plan should be addressed: (1) a risk assessment, and (2) the
systems, most often a DOS-based network such as Novell. The server
recovery plan. Risk assessment measures and defines an agency's
uses fully relational database management systems, with a GUI in
exposure. This assessment defines potential liability in terms of cost
place for the client
for lost information, missed opportunity, and employee downtime.
The plan itself provides a method to address the appropriate areas of
risk.
Maximize Integrated Solutions

Although clear support exists for a decentralized workstation- RECOMMENDATIONS FOR FUTURE RESEARCH
based environment, there is a need for integrated solutions and
reduced duplication of data in the MIS environment. Integrated
In the process of gathering information for this report and
solutions assume sufficient centralized control over the computing
synthesizing the results of the site visits and questionnaire responses,
several additional areas for future research emerged.
32

Recommendations for future research that follow from this synthesis suggested as part of the discussion for how the industry might take
project include the following: advantage of its commonality and share current information on
information technology and new applications. Six specific conditions
• Conduct a broad-based industry survey of MIS practices. for the framework were recommended, and a model based on work
• Perform follow-up reporting on the progress of the seven done by Indiana University was referenced. Because of the size of
site visit integration projects. the capital investment, the similarity of need, the rate of change in
• Develop a fully functional framework for an industry MIS information technology, and the proliferation of vendors, the creation
user group. of a public framework appears warranted and overdue.
• Create the single focal point for the user group within the Finally, a single focal point for the user group is required if it is
organizations involved in transit MIS issues. to be effective across the whole spectrum of transit agencies. At least
three separate organizations have an interest in or some level of
The synthesis study focused on the best practices of seven involvement in information technology for the transit industry: FTA,
select transit agencies through a detailed examination of specific TRB, and APTA. A well-coordinated effort to create a single point of
integration projects and an assessment of critical success factors. sponsorship across these organizations would appear to be
Though this area of emphasis was supplemented by additional small appropriate. Based on the discussion with the surveyed transit
agency site visits and questionnaires sent to 20 transit agencies of agencies, there was substantial support for the creation of a formal,
different sizes, there is a need for a more broad-based industry fully operational user group that would provide current and accurate
survey. A larger survey effort could provide additional significant information on MIS through a single point of access. The success of
information on the state of the practice of MIS by region, mode, and a user group for information technology may depend on the
size of agency. willingness of transit industry groups to provide sponsorship. Based
Because the integration projects identified from the seven site on discussions with the surveyed transit agencies, there would appear
visits were current and in various stages of progress when the report to be enormous value in the creation of a formal, fully operational
was prepared, it would be valuable to follow up on the user group that could provide information that is consistent with the
implementation process and final cost/benefit of each of these previously discussed criteria.
specific project areas. Each of the integration projects represents The necessary sponsorship might come from university
appropriate models for activities by other similarly sized transit research centers, such as the University of Indiana, the National
agencies. Since the criteria for selection included key operational and Transit Institute at Rutgers, the state university in New Jersey, or
management application areas, following their progress over time McTrans in Florida; from the FTA; or from a group within APTA.
should help transit agencies understand the full life-cycle costs and These are suggestions, of course, not meant to place responsibility on
benefits. any group, but these and similar ideas could provide the entry for
Guidelines for an MIS user group framework in transit were interested parties to organize the user group.
 33

GLOSSARY

application software--The program that accomplishes the data base--1. A repository for stored data that are integrated and
specialized tasks of the user. Contrasts with the operating system shared. 2. A data collection that is organized for computer processing
software, which allows the computer to work. A computer-aided to optimize storage and increase the independence of the stored data
dispatch system is application software, as is each word processing structure from the processing programs. 3. A formal, computerized
program. method for storing details of interest to a business so that the stored
items may be accessed and manipulated.
AVL--Automatic Vehicle Location. A type of system using any sort
of technology to track or locate a vehicle. Data Base Management--A computerized software system for
creating, maintaining, and System (DBMS) protecting data bases.
batch processing--The technique of executing a set of computer
programs or entering a large quantity of data without human data processing--A generic term in which the computer is instructed
interaction or direction during their execution. Contrasts with on-line to sort, organize, summarize, and otherwise manipulate information.
service. Payroll check preparation is typically a batch-processing
activity. DDB--See distribution data base.

beta testing--An initial testing of application software. digital--Generally, information is expressed, stored, and transmitted
by either analog or digital means. In a digital form, this information
CAD--See computer-aided dispatch. is seen in a binary state as either a one or a zero, or as a plus or a
minus. The computer uses digital technology for the majority of its
CASE--See computer-aided systems engineering. actions.

client/server technology--Networked computers with one or more disk--Computer disks are available in a large variety of forms and
client computers (users) having access to a server computer, which sizes, and in every case, a device must be available to operate or
acts as the primary repository of data and procedural control. drive the disk. Because of their form, some of the smaller disks or
diskettes are known as floppy disks. A common device in PCs is the
Computer--An electronic device capable of accepting and so-called hard disk, sometimes referred to as a fixed disk or fixed
processing data (information) and supplying the results of such disk drive. Disks also are found in platter-shaped packs in which a
processes. Contemporary computers, combined with application number of disks are formed together.
software, permit the user to perform various tasks. In some
discussions, "computer" means only the central processor. In others, dispatcher--A generic term for the communications center
"computer" means the entire package including the central processor, controller.
input and output devices, storage, arithmetic, logic, and control units.
distribution data base--Data that are stored in more than one system
computer-aided dispatch--An automated system for processing in a network and are available to remote users and application
dispatch business and automating many of the tasks typically programs.
performed by a dispatcher. Abbreviated CAD (not to be confused
with Computer-Aided Design, which is also known as CAD), it is entity relationship model--A data model design method that
application software with numerous features and functions. A basic provides a defined, disciplined approach to organizing information.
CAD system provides the integrated capability to process calls for The data consist of entities, their descriptions (attributes), and
service, fleet management, and geographical referencing. relationships among entities and/or other relationships. A model of
the business, or an area of the business. The model contains the
computer-aided systems--A range of software products that define definitions of the business entities, and an English description of the
business relationships, engineering activities, processes, entities, and relationships between them, cardinality of the relationships and
attributes (abbreviated CASE). The information is created and identification of the unique identifiers.
displayed using simple graphical diagrams and is maintained in a
central encyclopedia. geographical information system--A computer system capable of
holding and using data describing places on earth. Like a map, a GIS
CRT--Cathode ray tube. The term is still in use, but gradually being can depict the location of things in relation to other things and can
replaced by VDT, video display terminal. provide information about those things.

CRUD--This matrix demonstrates how a function uses an entity. GIS--See geographical information system.
This acronym represents "Create, Read, Update, and Delete."
GPS--Global Positioning System, a navigational concept involving a
data--A broad term implying some quantity of information. More constellation of some 24 communications satellites orbiting
often, in a computer context, data implies automated information.
34

the earth at a very high altitude. Using signals broadcast from the office information systems--A variety of hardware and software
satellites, earth-bound vehicles and people can calculate their systems. These systems include word processing, electronic mail,
position with exceptional accuracy. image processing, creation of compound documents, application
processing tools, distributed relational data bases, and object-oriented
graphical user interface--Programs that simplify user interactions computing.
with systems typically through the use of a mouse and screen icons.
on-line--The condition in which the terminal is directly connected to
GUI--See graphical user interface. the central processor. Contrast this with batch processing, which is
not on-line.
hardware--A generic term referring to the physical components of a
computer system Reference is often made to hardware and software, open architecture--A technical architecture that allows for the
and in that context hardware consists of the computer, input and access, transfer, and manipulation of data to the greatest extent
output devices, and other peripheral equipment. possible throughout the organization.

information engineering--A formal systems development life cycle operating system software--The set of programs that allows a
that applies engineering rigor and graphic display to define business computer system to work, as well as supervise its own operations.
requirements by focusing first on data, then processes, and then on Application software cannot work on a computer unless the computer
technology. It consists of planning, analysis, design, and construction is first loaded with an operating system.
phases.
output--The product of the computer. Types of output are the
input--Any device used to enter information into the computer. This information displayed on the computer screen or printed by a printer.
includes, at a minimum, a keyboard, and disk and tape drives.
PC--Personal computer. Various definitions apply. Some consider
Interface--A shared boundary between various systems or programs. that a PC is a personal computer operating only with the MS-DOS
An interface is also the equipment or device that makes it possible to operating system. Broader definitions that include small single-user
interoperate between two systems. It is common to interface the 911 computers with a variety of operating systems are common.
telephone system with a CAD system. In such a situation, both
hardware and software are needed to provide the interface. An peripheral--Any devices or equipment that support the central
external interface implies that a local computer or processor has been processor. Peripherals include terminals, printers, disk drives, and
interfaced with some external computer or processor or system. An tape drives.
external interface might connect a self-standing CAD system and an
agency's administrative computer. pilot users--A group of end users who are involved in the testing and
installation of new software systems.
keyboard--A panel-mounted array of buttons, each with one or more
functions, connected to some device that receives signals when such Printer--Printers are found in an increasing number of styles and
buttons are depressed, resulting in some action or display. This is types. The more common printers are laser, ink jet, impact, and dot-
considered an input device. Though many styles and keyboard matrix. Users often select printers based on the quality of production
layouts exist, at this time the most common style is known as as well as the speed in which documents are printed.
"qwerty," based on the linear position of those six keys.
program--See application software.
magnetic media--Information stored in various magnetic forms such
as on a disk or tape. relational data base--A collection of relational data that are stored
in more than one system in a network and are accessible as though
mainframe computers micro- and (micro, mini)--Until recently, they were in a local system.
reference to mainframes, minicomputers were based on cost,
memory, and storage capabilities. Today we are seeing PCs with Software--Programs written for computers. The computer typically
capabilities that vastly surpass the capabilities of older mainframes, has two types of software: operating system software (to make the
together with multitasking capabilities as well. The distinctions computer work) and application software (to perform the task
among these various categories are no longer clear or necessarily required by the user).
relevant.
software, custom--Programs written specifically to meet the
network (LAN, WAN)--A variety of methods exist to interconnect requirements of an individual user. A transit agency desiring to have
small and large computers separated by short and long distances, a CAD system unlike any other would arrange for a custom software
while not experiencing the normal disadvantages of remote programs to be written to their specifications.
operations. Through the use of Local Area Networks and Wide Area
Networks, it is possible to have large numbers of integrated users software, off-the shelf--Programs written for multiple users. This
sharing information without any functional deficiencies or loss of software is typically tested and proven prior to marketing. Most off-
operational speed. the-shelf developers allow some degree of modification or
customization.
OIS--See office information systems.
 35

source code--This is the list of instructions that comprise the workstation--A workstation is a highly-sophisticated VDT (Video
software program. Most off-the-shelf software developers retain the Display Terminal) with its own processor and the ability to perform
source code or place it in escrow for the future protection of clients. multiple simultaneous tasks.
Some developers sell the source code to users, allowing them to
make their own modifications.

structured query language--An application-level standard for data

exchange between different computing platforms (SQL).
 36

REFERENCES

1. Diagnostic Review of OTS MIS Environment, Oahu 10. Integrated Maintenance Management System Information
Transit Services, Inc. Honolulu, Hawaii (1992). Requirements, Phase I, Facilities Planning, MTA New
2. Long-Range Information Systems Plan for the Bus, York City Transit, Brooklyn (March 1991).
Honolulu Public Transit Authority, Honolulu, Hawaii 11. Toliver, P., Draft 3/2/94 Speech, Seattle Metro, Seattle,
(1990). Washington (March 1994).
3. Long-Range Information Systems Plan, Orange County 12. Distribution Data Base Project Overview, Seattle Metro,
Transportation Authority, Garden Grove, California (June Seattle, Washington (April 1994).
1991). 13. Automated Transit Operators System, Toronto Transit
4. Third Generation Office Information Systems (0IS) Plan, Commission, Toronto, Ontario, Canada (1992).
1991-1995, ISD Strategic Planning, MTA New York City 14. Long-Range Plan Implementation Report, Toronto
Transit, Brooklyn (November 1990). Transit Commission, Toronto, Ontario, Canada
5. Software in Transit Handbook, American Public Transit (December 1992).
Administration, Washington, D.C. (September 1993). 15. Best and Final Proposal to Provide the MPAC
6. Continuation and Implementation of the National Transit Maintenance Management Information System for
Electronic Resource Center, proposal to FTA, Indiana MARTA, The Systems Works, Inc., Atlanta, Georgia
University, Bloomington (1991). (March 1992).
7. Long-Range Information Technology Plan, San Francisco 16. Long-Range Information Systems Plan, Metropolitan
Bay Area Rapid Transit District, Oakland, California Atlanta Rapid Transit Authority, Atlanta, Georgia (May
(May 1992). 1990).
8. Financial Management System (FMS): Project Overview 17. Information Technology Priorities, Metro-Dade Transit
and Implementation Plan, San Francisco Bay Area Rapid Agency, Miami, Florida (1994).
Transit District, Oakland, California (April 1993). 18. Revenue Accounting Ticket Distribution and Sales
9. Five Year Systems and Telecommunications Plan, Workflow, Metra (Metropolitan Rail), Chicago, Illinois
Update, ISD Advanced Technology Planning, MTA New (March 1993).
York City Transit, Brooklyn (December 1991).
 37

BIBLIOGRAPHY

Advanced Public Transportation Systems: State of the Art Office Information Systems (OIS) Task Force, Interim
Update '92, Federal Transit Administration, Standards, ISD Advanced Technology Planning, MTA
Washington, D.C., Report No. DOT-VNTSC-FTA-92-3 New York City Transit, Brooklyn, New York (July
(April 1992). 1992).
Assessment of Computer Dispatch Technology in the Operations Contract Management, Reengineering Study,
Paratransit Industry, Federal Transit Administration, Final Report, San Francisco Bay Area Rapid Transit
Washington, D.C., Report No. DOT-T-92-3 (March District, Oakland, California (March 1993).
1992). Operation Support System, Concept of Operation, Seattle
The AVL Experience at Seattle Metro, Seattle Metro, Seattle, Metro, Seattle, Washington (March 1994).
Washington (October 1993). Operation Support System Project, Proposal for Alternative
Computers in Maintenance, Metropolitan Atlanta Rapid Analysis Phase, Seattle Metro, Seattle, Washington
Transit Authority, Atlanta, Georgia (March 1993). (January 1994).
Diagnostic Review of OTS' MIS Environment, Oahu Transit Purchasing Reengineering Project, Final Report, San
Services Inc., Honolulu, Hawaii (1992). Francisco Bay Area Rapid Transit District, Oakland,
Five Year Data Communications Plan, 1991-1995, ISD California (April 1993).
Strategic Planning, MTA New York City Transit, Request For Proposal, Maintenance Management
Brooklyn, New York (1990). Information System (MMIS), Metropolitan Atlanta Rapid
The Formation and Historical Development of Metra, Metra Transit Authority, Atlanta, Georgia (December 1990).
(Metropolitan Rail), Chicago, Illinois (November 1987). Request For Proposals for Procurement and Materials
Geographic Information Systems Project, Phase I Feasibility Analysis, Metro-Dade Transit Agency, Miami, Florida
Study, Seattle Metro, Seattle, Washington (March 1993). (July 1993).
Information Master Plan, Metro-Dade Transit Agency, Strategic Business Plan, 1993-1997, Metropolitan
Miami, Florida (1991). Transportation Authority, New York, New York (June
Long-Range Information Technology Plan, FY93 Update, 1992).
San Francisco Bay Area Rapid Transit District, Oakland, Transit Operations System (TOS), Metro-Dade Transit
California (March 1993). Agency, Miami, Florida (1994).
Wheel-Trans Strategic Planning Study, Final Report, Toronto
Transit Commission, Toronto, Ontario, Canada
(February 1991).
38

APPENDIX A

PROJECT DESCRIPTIONS FROM THE SITE VISITS

BAY AREA RAPID TRANSIT (BART): FINANCIAL

MANAGEMENT SYSTEM project life and yearly budgets, to a centralized data base
for review by a controlling department, assignment of
BART's new financial management system (FMS) uses state- funding, and automatic update of the central FMS data
of-the-art technology to display, process, retrieve, and update base.
financial information. For the first time at BART, FMS application • Develop controls for receiving and downloading FMS
information will be available to all users through network access in a information detailed enough to ensure financial reporting
production environment. As of September 1993, no other transit integrity outside the FMS framework.
agency had systems that contain the range of capabilities of FMS. • Develop systems and procedures to verify report results.
Integration of current practices into the new system, coupled with
data bases containing manually interpretable information, have
introduced processing complexities requiring extensive testing and System Components
verification.
In July 1992, BART's project team selected Texas Instruments Applications
IEF CASE tool to help define and document business requirements.
The team also chose to develop all applications using graphical user Applications include the design and development of GUI
interface (GUI) based microcomputer software. An application screens, queries, and reports. Computer engineers and contractors
programming software package called Powerbuilder was selected to have used a combination of Powerbuilder and Informix
help with the development of the applications. In November 1993, a microcomputer software products to develop and test the
corporate relational data base outside the framework of the applications. Applications in FMS include project management,
mainframe computer, called Informix, was established to capture and capital funds interface, and capital fund accounting.
hold the FMS information.
The FMS plan of BART focused on the following basic
requirements: User Procedures and On-Line Help Facilities

• Provide for the transfer of funds from one project to The DOC-TO-HELP software has been used to define user
another. procedures and create the on-line help facility. WORD has been used
• Ensure that expenses already realized are properly to format the information and convert text from the IEF CASE
accounted for before transferring information. software product.
• Provide direct interface of funding information.
• Automate recording of pertinent information such as
payroll, purchase orders, and contract data. Existing System Interfaces
• Make agreements accessible through the use of on-line
viewing capabilities. Most financial information is stored on BART's mainframe
• Capture labor costs and verify against valid cost centers. computer. The general ledger stores posted financial entries, and the
• Centralize review of projects, assignment of FMS purchasing system stores both contract and purchase order data.
numbers, funds, and other functions. Labor information, vendor files containing contractors, DBE status,
• Automate entry of project information, upon approval and and other data, are maintained in separate files. Much of these data
release. will be downloaded to the new FMS system. A number of programs
• Capture and report expenses in timely manner. have been written to capture and format the data needed in FMS to
• Centralize grant data bases with interfaces to FMS and control costs.
project management.
• Automate fund and grant application entry, broadly
Network, Software Installation, Modification, and Testing
expanded validations.
• Develop one method for tracking all projects and financial
The network comprises five independent servers running
information.
Novell software. The network is connected via fiber optics cables,
• Resource load leveling, scheduling, and interface to temporary data lines, and infrared transmissions. Additional software
BART's standard project scheduling software packages.
• Develop automated uploads of project information,
including
 39

has been added to the network to allow for communication with the Capital Fund Accounting
Informix relational data base server.
Under accounting, the primary functions are to record grant
applications, resolutions, restrictions, agencies, contracts, statutes,
Microcomputer Hardware and Software and assignment to agencies; define distribution of funding sources;
identify funding by application (mixed funds eliminated); and
The new FMS system is microcomputer based. A minimal and monitor fund balance and reporting.
optimal configuration has been defined during development.
Necessary upgrades to computers were made for FMS
representatives. The FMS software operates in a Windows Capital Funds Interface
environment.
In this area of the FMS system, the following functions will be
performed: Assignment of funding uses (FTA/100 controls) by
Client/Server Installation and Testing project; recording of labor budgets by period and cost center;
separate recording of payroll, purchase orders, and contracts;
The FMS information will be stored in different data bases automated RLDS cost center/work order validations; automated
depending on the time of month and the processes required. debit/credit; transfer of monies between budget controls; reduction of
However, in general, all FMS information is stored in a centralized mixed fund requirements (unique identification); allowance of
Informix relational data base. multiple funds for a specific labor work order; reduction in the
number of system work orders; automated recording of expenses
against fund applications; reassignment of projects to different
Technical and Application Training parents; expanded accounts payable to general ledger interface to
capture purchase order and contract data; capture of vendor invoice
Training to use the new FMS system is divided into two phases. data; and capture and report of vendor DBE status, by contract.
The first phase requires technical training in the use of both the new
software and hardware. The second phase involves training in the
actual usage of the FMS system. Project team representatives will be Project Management
conducting classes to train the participants and users.
The main features under project management include unlimited
level of project/task/subtasks; separate activity recording and
Conversion tracking; separate recording of FMS work order numbers; recording
of budget by resource (budget item); separate recording of payroll,
Conversion is the process of taking information currently stored purchase order, and contract information; automated generation of
in various files and transferring the data into a new relational data summary cost estimate information; project budgeting by month;
base format. Many conversions can be automated, whereas some recording of weekly pseudo-posted expenses; and recording of
require manual interpretation and input before full conversion is deferred payment expenses.
completed. The FMS conversion is extremely complex because of
the number of files being converted along with the manual
interpretation of funds, purchase requisitions, purchase orders, and Limitations
contract data.
The following are limitations imposed on the FMS system
during development. In most cases the limitations are based on the
Deliverables inabilities of other systems to support the FMS data base
requirements.
The applications systems being delivered include many features
beyond the original scope. The initial FMS system will include
numerous application developments and enhancements over existing Purchasing
processes. The following major areas are being implemented at this
stage. Each purchase order or contract can contain one or more work
order assignments. For those with one work order, the work order
identification number is entered onto the form and eventually into the
purchase order data base. However, for those purchase orders or
General contracts containing multiple work order assignments, the first work
order is assigned and entered into the data base, but the remaining
work orders are recorded by manually writing the work order and
The general features of the system include the following: associated dollar amounts on the purchase requisition. There is no
Online user's guide, including standard glossary of terms; user's identification for the requisition in the purchasing data base, which
manual, identical to the on-line manual; Windows software; allows for the identification of purchases containing multiple work
microcomputer upgrades to minimum configuration; network orders.
communication, availability of E-mail; and, upon conversion The process is again entered by capital program control (CPC)
completion, elimination of closed projects and funds. after the purchase order has been completed, typically 3 to 10
40

days after entry into the purchasing system. Until the existing able problem will potentially solve 90 percent of the misapplied
purchasing system can be modified or a new purchasing system can expenses, the rate can only be achieved if the adjustments are applied
be developed, commitment of purchases will continue to be handled judiciously.
manually. This process delays actual commitment of funds and The FMS system provides the ability to mix and track grant
distorts funding availability. applications yet process the transaction as one fund. The mix is
The new system allows for inputting key purchase information, controlled by allocation within the fund. As an expense is processed,
then reporting the requisition, order, or contract by the work order or the expense is dispersed and recorded against the grant(s) based on
agreement number. the allocation. A report of this information could ultimately be used
Multiple purchase requisitions may be combined into one to bill back agencies
purchase order, or one purchase requisition may be split into several However, a problem becomes apparent in the grant
purchase orders. In addition to the problems of funding delay and expenditures. When the expense is automatically applied to the grant
distortion, the final purchase order does not reflect from which based on the allocation, the process assumes that (1) the expense has
requisition or set of requisitions it was created. The link to the been properly applied, and (2) the allocation is fixed for that fund. If
original purchase requisitions remains manual. Phase II of the FMS for any reason the fund mix allocation is modified and a previously
system will attempt to bridge the problem by having CPC link the posted expense is reapplied because of error or reassignment, then
requisition to a particular purchase order through a set of screens; the back-out of the expense against the grant application could be
however, this approach still requires manual intervention. incorrect. Subsequent reports, grant reimbursement billings, and
queries against the expenses for that grant will also be incorrect. The
best approach to avoid inaccurate billings is to establish those grants
Accounts Payable requiring separate recording of transactions and billings as separate
funds. The new FMS system does provide for the assignment of
When an invoice is received for payment, accounts payable multiple funds against any given work order.
reviews the purchase order/contract and then releases the invoice
based on the assigned work order. If the purchase order/contract
contains only one work order, then expenses in the general ledger are Capital Fund Accounting
properly posted. If, however, a purchase or contract contains several
work orders, accounts payable must release portions of the invoice Prior to the new FMS system, the mixture and movement of
based on the work orders manually recorded on the document. If, for grant monies in and out of funds was recorded in nonspecific holding
any reason, the releases by the work order are not handled properly, accounts. The recording may not reflect accurate, actual allocations.
recording of expenses against a work order can be incorrect, both This has led to discrepancies in reporting of funds, etc. In some
against the actual work order and associated fund. Therefore, cases, data was not recorded; in others, it is misrepresented, or even
although it appears that fund dollars have not been spent, they may cannot be properly interpreted.
have been misrecorded.
Because the existing system does not provide the ability to
uniquely identify and process work orders by individual line items on Reimbursement Labor
a contract or purchase order, payments for those contracts or
purchases must be handled manually. In addition, automatic The current reimbursable labor distribution system (RLDS) is
validations to stop misapplied dollars by erroneous accounts payable divided into two parts, on-line processing and batch processing. The
releases are nonexistent. new on-line system records labor for each unique work order by
The FMS system captures work orders by contract and by employee, cost center, and position. The batch system records
purchase order. Although the system cannot stop the posting, it can information by rolling individual employee information into the
identify differences between the purchase entered into the FMS given cost center and recording the data against the work order.
system and the released payments, based on exceptions. Adjustments The new FMS system will receive verified/posted labor
could then be made to the general ledger to accurately reflect the new expenses by work order for a given cost center from the mainframe.
totals. However, unless a subsystem (programs) is developed to However, recording by employee will not be available. This, in part,
reflect the adjustments in FMS, on-line reporting of project and is due to the lack of all available RLDS labor being recorded on-line.
funding information can be distorted. The effort to implement an agencywide on-line system is scheduled
Phase II can address a portion of the problem by uploading the to be completed in 1994.
FMS purchase order number, associated work orders, and amounts to
the existing system. A series of programs could then be written to
verify that actual payments match (within established criteria) those Project Management
received from FMS. An exception report could be produced for use
by accounts payable for the application of adjustments. During the last stages of development, the project team
discovered that several departments recorded costs by dividing labor
work orders into work packets. The packets are summarized, then
Capital Funds Interface submitted as a total for labor recording. In addition, some cost
centers are further divided into sub-cost centers or work units.
Based on the problem mentioned under accounts payable, The current RLDS system was not designed to support work
expenses can be inadvertently misapplied to projects and to funds. packet capture and reporting. To record both the subdivision of the
Funding availability, or lack thereof, may be misrepresented. While work order into work packets, the concept of sub-cost centers
the immediate solution mentioned under the accounts pay-
 41

would require extensive modifications to virtually all systems and and participation in initial stages of beta testing, the procedures
reports. writer will incorporate new procedures to define expanded FMS
The FMS project team believes that further breakouts were a functionality, define process modifications, and eliminate current
direct result of the existing system's inflexibility. The changes to process redundancies. Once completed, the new/revised procedures
include work packets in FMS' IEF CASE model have been identified, will be incorporated into the new Office of Management and
but the modifications have not been included in the initial phase. The Budget's Project Management Manual.
project team believes that the new FMS project management system Stage 3, Essential users: While the pilot users group continues
provides individual managers with the ability to further break down beta testing, verification, and conversion updates, selected essential
and record changes beyond current established FMS boundaries. users will attend technical and training classes. These users have
been identified by various department heads as key individuals
requiring FMS access. After training is completed, the essential
Implementation group will function much like the key user participants, familiarizing
themselves with Windows and the FMS applications. The users will
use the application to become conversant with the product.
The FMS project team recommended that the installation of
Stage 4, Parallel testing: Based on the results of the conversion
Phase I of the FMS project be conducted in several stages. The
update efforts and the sign-off by the pilot users, the fourth stage can
approach provided a climate that can be adequately controlled and
be addressed. After a minimum 1-month period of beta testing and
results that can be monitored by project team and selected user
conversion updates, while the pilot and essential user groups
representatives before complete release of the product's Phase I.
continue further beta testing, actual capital and project files will be
converted, then compared to existing monthly reports by a selected
set of CPC, development, and accounting individuals. Pilot user
Implementation Approach
participants and FMS project team personnel will prepare a set of
criteria. A list of key reports required from both the new and current
The approach calls for the implementation of FMS GUI
systems will also be identified. Parallel tests will continue to be run,
application software to be handled in a controlled environment.
if necessary, until controls can be verified to be in balance. At
Initially, selected projects will be converted, tested, and monitored by
completion of the parallel testing, the outcome will be signed off by
a selected group of user participants to validate proper reporting and
selected pilot users and the FMS project manager.
verify dollar values and controls. Conversion of data base
Stage 5, Production implementation: On completion of all
information will occur several times during the life of
testing and parallel sign-off, the system will then be ready for full
implementation. During the conversion process, user representatives
production. Final conversion of information may also be required
will update pertinent information such as contracts and fund grants.
based on the conditions of parallel sign-offs.
Finally, during parallel processing, pertinent information will be
entered twice, once in the present system and again in the new
application. To help accomplish these key FMS implementation
tasks, a letter was distributed to department managers in February
System Security
1993, requesting the identification of individuals who would
potentially use the FMS system. Managers were asked to define
essential users as well as individuals to coordinate FMS efforts with
The overall system is designed with application security in
the department.
mind. In some cases, individual groups such as project managers will
be able to access and update all project related information.
However, areas such as the assignment of funds to work orders will
Stages
be restricted to CPC. Whereas project managers may modify their
approved budget and working monies, actual movement of monies
Stage 1, Conversion: This stage involves the conversion of
outside certain guidelines will be restricted to approved groups or
selected projects, contracts, and purchases from existing data bases.
individuals.
The converted information will be used for training and user testing
of the system. A second conversion will also be performed to convert
all corporate information on existing data bases.
Other Implementation Activities
Stage 2, Pilot users: This stage is the most significant
requirement outside the framework of FMS development. In general,
selected representatives, herein known as pilots, from each
Pilot and key essential users hardware will continue to be
department will participate in training, application beta testing,
upgraded. Software to communicate with the network and the FMS
verifications, and conversion of key information. To accommodate
data base will also be added to the microcomputers. Tests will then
the recommended number of anticipated pilots, individuals will be
be conducted to ensure that individual microcomputer hardware and
grouped for ease of training and testing.
software interact with each other. A standard Windows configuration
Information technology training (ITT) representatives will be
will be included in the user software upgrades. After installation,
participating in the pilot program. The individuals are scheduled to
existing PC software will also be tested with the new configuration.
participate in all training sessions and testing activities. Information
Production systems and networks will be tested to ensure
obtained will be used to modify and further build the FMS training
accessibility to Powerbuilder and Informix SQL software. Procedures
manual for BART use. In addition, an assigned procedures writer
to effect smooth production implementation and updates will be
will participate in the training. On completion of the training
finalized.
42

Implementation Schedule The information needs and functions were presented to 56 Car
Equipment participants in 7 validation meetings designed to obtain
The overall implementation approach calls for a minimum 2 ½- interim comments on the work performed up to the midpoint of the
month period for beta development, conversion updates, and parallel project. These comments were used by the team to further develop
testing. A third period may be required to sufficiently verify parallel information requirements for an ideal integrated management
data. The defined period allows for extensive testing, completion of information system.
data conversion updates, and review and approval of monthly The conceptual system design identifies eight subsystems, four
production process comparisons run in parallel mode. Finally, a internal and four external data groups that meet the information
minimum 2 1/2-month time period allows for application of the new needs and serve the functions of Car Equipment's maintenance and
systems at the beginning of the first month of a new fiscal year and support operations. Each of these subsystems supports a specific area
avoids delays normally associated with fiscal yearend processing. of the division's needs By integrating these subsystems, data can be
recorded once and used universally. It is this integration of the total
functionality and information needs of Car Equipment that separates
Training this proposal from the previous system applications.
The estimated tangible benefit resulting from the full
implementation of the IMMS is $22.5 million per year. Several
intangible and unquantifiable benefits can also be derived from such
The new FMS system uses state-of-the-art technology to a system, including faster and more informed decisions, better
display, process, retrieve, and update information. The FMS system identification of costs, and more businesslike operations.
is BART's first attempt to use GUI technology with a relational data
base. For the first time, FMS application information will be
available to all users through network access in a production Introduction
environment. With the use of this new technology comes an inherent
amount of new requirements for technology training. The mission of Car Equipment is to provide clean, safe, reliable
Coupled with the technology training requirements are cars to rapid transit operations. To accomplish its mission, Car
application training needs. Analysis of the BART processes resulted Equipment must effectively manage its resources: funding, labor,
in an extremely complex FMS business model. Integration of current materials, facilities, equipment, and the cars themselves.
and revised practices into the new system, coupled with data bases Effective management of resources requires timely and
containing manually interpretable information, have introduced accurate information. Therefore, information itself becomes a
processing complexities requiring extensive training in the use of the resource that must also be managed effectively.
FMS system modules. In 1989, the Program Review Committee (PRC) approved a 12-
month, joint Car Equipment/Information Services project to define
the information requirements, develop a conceptual system design,
and perform a feasibility study for an IMMS to support Car
MTA NEW YORK CITY TRANSIT: INTEGRATED Equipment in the effective management of its resources while
MAINTENANCE MANAGEMENT SYSTEM reducing overall costs and improving the quality of railcar
maintenance.
Part 1 of the Car Equipment/Information Services project, the
The integrated maintenance management system (IMMS) is a information requirements, was completed in March 1991. The results
joint Car Equipment/Information Services project designed to are presented in two volumes.
address Car Equipment's information needs and functions as an
integrated whole. This whole-system approach differs significantly Background
from the previous systems development approach in which specific
applications were developed for specific user processes. The There is general dissatisfaction with the existing information
previous approach resulted in a proliferation of reports, redundant environment in which Car Equipment operates. Though data abound,
data entry, incompatible and often conflicting data files, and most often the needs of the users are not met. Most of Car
ultimately, a general dissatisfaction with overall usefulness of the Equipment's computer applications and systems were developed
applications, hardware, and communications. independently to address specific user needs. This type of
The objective of IMMS Phase I, a yearlong planning phase, development has resulted in incompatible mainframe and
was to define the information requirements, develop a conceptual minicomputer systems and applications. The introduction of the
system design, and perform a feasibility study for an information personal computer has resulted in the proliferation of reports and
system that supports Car Equipment in the effective management of files that are incompatible with each other and with the existing
all of its resources while reducing overall cost and improving the mainframe and minicomputer systems and applications. This lack of
performance of its mission. integration results in redundant data entry for many users and
The IMMS Phase I Team consisted of eight Car Equipment requires an enormous effort to verify the accuracy of printed
participants and nine Information Services participants. These information. One of the fundamental goals of IMMS Phase I was to
participants received an intensive, 1-week training course in modern identify the true data sources so that in the new integrated system,
structured analysis, a state-of-the-art information engineering data would be entered only once.
technique. The team interviewed 100 Car Equipment operating and
support staff to identify the interviewees' activities and information
usage. From these activities, participants identified 44 functions Project Overview
(groups of related activities) being performed by Car Equipment. In
addition, 58 entities (items about which data must be collected) were The first step of IMMS Phase I was to analyze the information
identified and defined as used within the division. requirements of Car Equipment' s overhaul and maintenance shops,
 43

which are responsible for carrying out the division's mission. The From these interviews, the team abstracted the activities each
goal was to identify the information needed to make sound business interviewee performed and the specific data within those activities.
decisions about quality maintenance of a railcar fleet. The guiding
directive to IMMS Phase I was to answer the following question: If
each maintenance shop were an independent business, what Entity Definition/Glossary Building
information would shop management need to most effectively, at the
lowest overall cost, provide cars for service? To this end, Car
Equipment was viewed as an integrated whole rather than as a As soon as the study began, the need for a project glossary
collection of unrelated shops, functions, or processes. became clear. Throughout Car Equipment, the same word and/or
In determining the types of data that an ideal integrated Car phrase often has several meanings and a single item may have
Equipment maintenance management information system would several names. To eliminate this confusion, the IMMS Phase I
need to serve all information needs, no limitations, such as the need project team established a project glossary by fixing the definitions
to be compatible with the existing systems or applications, were of items important to Car Equipment. The glossary contains
imposed. definitions of 58 entities and a list of attributes for each entity. An
attribute is a special element of data that is associated with an entity.
The list of attributes for a particular entity help complete the
Scope definition of the entity.

The scope of the information requirements portion of IMMS

Function Definition
Phase I included all information required by Car Equipment's
maintenance activities and the information it is required to furnish to
other departments, divisions, subdivisions, and agencies relating to
In a parallel activity, Car Equipment was mapped along a
maintenance activities. Ultimately, this led to an examination of the
functional rather than the normal reporting/organizational line.
information transactions between the shops and 14 other
Functions continuously categorize what is done without describing
organizational units.
how the work is done. Functions do not change unless the business of
This examination also served to constantly remind the project
the organization changes. Car Equipment's reporting/organizational
team that the information needs of the shops were the focus of the
structure changed no less than four times during this part of the
study. Transactions between the groups on the periphery of the
project.
diagram fell outside the scope.
All Car Equipment activities were grouped under 44 functions,
each of which supported one aspect of Car Equipment's mission. For
example, the function car repair includes arranging car movements
Methodology with RTO, troubleshooting cars and reporting failures, scheduling
repair work, deploying resources, and monitoring repair work.
The IMMS Phase I project team consisted of 16 members, 7
from Car Equipment and 9 from Information Services. The team
received one week of training in modern structured analysis (a state- Function-Function Relationships
of-the-art data structuring technique) at the beginning of the project
in April 1990. The main portion of the project team was housed
under one roof at Car Equipment's facilities planning and car The relationships between functions are of logical sequence or
appearance office and this arrangement created a closer working precedence. These relationships are based on the categorization of
environment, fostering a high level of team communication. activities of the interviewees and the screening of that information
Additionally, the combination of participant diversity-operating with the team's knowledge of the division. Knowledge of the
management and supervision staff together with maintenance functional precedence is important to the integration of the overall
division support staff and information specialists-and a close working system because it shows that the data output of a function affects and
environment resulted in the presentation of unique perspectives, is needed by other functions. In a well-run organization, the planning
which allow team members to gain a better understanding of the of a task will usually precede the actual performance of the task.
issues and their interrelationships, as well as an overall improvement Similarly, the function planning scheduled maintenance would
in the quality of the end product. precede the function car inspection. This relationship is based on the
The six major activities carried out in Part 1 were as follows: observation that Car Equipment plans their maintenance before
performing the task. Simply stated, each function's data output may
(1) Data gathering affect one or many other functions in ways not immediately realized.
(2) Entity definition/glossary building Function-to-function relationships within seven broad business
(3) Function definition categories were used in validation meetings to show the impact of a
(4) Validation meetings function's output on other related functions. Seven validation
(5) Determination of entity-entity relationships meetings were held in December 1990 to verify the assignment of
(6) Determination of function-entity relationships. activities within each function and the entity needs within each
function. The attendees were selected to obtain a representative
sampling of Car Equipment that included various organization levels
Data Gathering and functions. The validation meetings allowed the interview teams
to confirm the information they had gathered and to
One hundred key Car Equipment employees were interviewed
about their jobs and the information they needed to do their work.
44

address additional questions about outstanding issues or areas of decision support by providing a mechanism for eventual open-ended
confusion. queries and retrieval of information.
Car Equipment can benefit from the creation of this overview
of the business because it serves as a foundation of commonly agreed
Function-Entity Relationships upon knowledge that can be continuously modeled and adapted to
current and future business.
The next task of the team was to build a create, read, update, Entities may be related through one of four possible
and delete (CRUD) Matrix, which is used to show how a function relationships: a one to one, zero to one, one to many, or zero to
uses an entity. The acronym CRUD is used to represent the methods many. The eventual data bases are linked by these relationships.
of entity use by a function. A function either originally creates or These tools, such as entities, functions, CRUD matrices, entity
records attributes, reads or uses those attributes for further relationship diagrams, and precedence diagrams, were used in IMMS
calculation or comparison, updates or changes previously created Phase I to assemble the information requirements. These
attributes, or deletes or removes data from an active file. The use of requirements are the foundation of the IMMS. They permit a faster
an entity by a function may be one, some, all, or none of these and more complete understanding of the information requirements of
possibilities. The boxes within the matrix contain the appropriate Car Equipment. They are also used as tools in verifying that the right
CRUD letter(s) that describe the use of the entity by the function. information will be available to the right people at the right time to
make the best business decisions for Car Equipment.

Entity-Entity Relationships Information Requirements

The entity relationship diagram (ERD) is one of the most Information requirements were developed for each of Car
important portions of the foundation created by the IMMS Phase I. Equipment's 44 business functions based on an analysis of the
The ERD is a conceptual model that defines entities, or items that are activities and information uses of the selected Car Equipment
important to Car Equipment, and their relationships with each other. operating and staff personnel that were interviewed. The
By drawing this graphical model of the entities, the system designer requirements describe the type, purpose, and frequency of
can easily visualize things of importance (not necessarily functions information needed to support the function.
or actions) about the business. The relationships are the business The 44 functions are represented in Table A-1.
constraints or rules. A description of each business function precedes each of the
The model can be used by senior management to do strategic information requirements for that function. This allows the reader to
planning of how changes in the business rules and relationships will easily compare the definition and description of the function
affect the business of the future. The ERD can be used for

TABLE A-1
CAR EQUIPMENT'S 44 BUSINESS FUNCTIONS

Auditing Budget Monitoring

Budget Planning Car Appearance
Car Inspection Car Overhaul
Car Repair Change Control
Component Installation Component Repair
Component Overhaul Contract Management
Contract Specification Data Analysis
Employee Availability Employee Compensation
Employee Labor Relations Employee Performance
Employee Placement Employee Training
Employee Services Equipment Maintenance
Equipment Requirements Planning Expenditure Accounting
External Reporting Facility Development
Facility Maintenance Investigation
Library Management Material Disposal
Material Availability Material Requirements
Planning
Modification Design Planning Scheduled
Maintenance
Planning Unscheduled Maintenance Procedure Administration
Planning Fleet & Support Requirements Road Response
Software Development Software Standardization
Specifying Testing
Warranty Control Workforce Planning
 45

with its associated requirements. Each business function includes a

definition, overview, and a description of the function.

The definition is a one-sentence outline of the function. The

overview is an abbreviated version of the description. The
description is an elaboration (with examples) of the activities
contained within the function. These activities were identified in
interviews with selected Car Equipment staff. The information
requirements have been written to follow a structured outline of
frequency-action-output-purpose-process-input.
The frequency describes how often the action occurs. Action is
a verb describing the nature of the successful fulfillment of the
requirement. Output is the information generated as a result of the
successful fulfillment of the requirement. The purpose describes the
reason for the use of the resultant output. Process is a verb describing
how to provide the output information. Input is the information used
by the process to create the output information.
An example of an individual requirement statement is as
follows: "Monthly (frequency), identify cars (action) showing
substandard performance (output) for the purpose of remedial
program development (purpose) by calculating car performance
measurements (process) and comparing them with target standards
set by Car Equipment (input)."

SEATTLE METRO: GEOGRAPHIC INFORMATION

SYSTEM AND OPERATION SUPPORT SYSTEM

Seattle Metro's Geographic Information System (GIS) (1)

In September 1991, Metro's management directed staff to study

the feasibility of implementing an agencywide, integrated GIS. This
study was considered to be Phase I, with Phases II and III to follow Figure A-1 Seattle Metro GIS Transit Core Data and Sources. (1)
after the completion of the first phase. Description of all phases,
comparisons of GIS alternatives, and the recommended Phase II in recognition of their value for virtually all aspects of planning and
alternative for implementation are featured in this overview (see operations.
Figure A-1: Seattle Metro GIS Transit Core Data and Sources).
Definition
Introduction A GIS is a computer system capable of holding and using data
that describe places on earth. Like a map, a GIS can show the
A modern GIS improves the resources available to decision location of things in relation to other things and can provide
makers by allowing them to access geographical information more information about those things. More importantly, a GIS is an
quickly and easily. The GIS enables more complex and varied extremely powerful information system with capabilities far in
analyses and allows users to produce high-quality map products for excess of maps. A GIS allows all the power of modem computer
internal and external use. The GIS eliminates potential system systems to be applied to geographic information; because of its
failures and extends to many advanced applications. Finally, the GIS power, speed, and productive efficiency, the GIS has superseded
allows Metro to keep pace with the new demands for information maps.
created by the Growth Management Act, the Commute Trip Data describing places on earth are called spatial data. At a
Reduction Law, Americans with Disabilities Act, Waste Water 2020, minimum, this description consists of a spatial location, such as
and the Regional Transit Project. All of these abilities help Metro latitude/longitude, or "120 feet north from the intersection of Eighth
improve the quality of service provided to the citizens of Avenue and College Street." At a location, there might be a subject,
metropolitan King County. such as a bus stop or a water-sampling site. Subjects at spatial
The cost of implementing an agency GIS can be high. Other locations are generically known as spatial objects.
agencies have committed or planned much higher expenditures than Based on geometry, spatial objects consist of three types: point,
Metro to develop their systems. The city of Seattle has spent over $5 line, and area or polygon. Examples of spatial objects described by a
million so far on a GIS with immediate plans to spend several million point are a water-sampling site, a utility pole, or a scheduling
more. All other major public agencies in the region have timepoint. Examples of spatial objects described by a line are a
implemented or are planning to implement agencywide GISs street, a stream, or a shoreline. Examples of spatial objects described
by a polygon are the downtown free-ride zone, a zip code area, or a
drainage basin.
46

In addition to location, other important information could of geographic information for Metro's scheduling information data
describe a spatial object. For a bus stop, one might want to know if it base (SIDB), and for several other major applications, such as BUS-
has a shelter or if a bus schedule is displayed at the stop. For a utility TIME, Automatic Passenger Counter (APC), Automatic Vehicle
pole, one might want to know if there is an APC radio emitter on the Location (AVL), the Commuter Information System (CIS), and the
pole, what the pole is made of, or what the height of the pole is. This Metro Mileage System (MMS).
nonspatial information about objects is called attribute data. The
presence of a shelter would be an attribute of a bus stop. Height
would be an attribute of a utility pole. Each kind of object has its TransGeo Data
own set of attributes. Usually, only spatial data are stored in the GIS,
and attribute data are stored in one or more separate external data
bases. In this situation, the GIS software works with the external data The TransGeo production base map--an electronic
base to associate a spatial object with its attribute data. representation of streets, shorelines, and major jurisdictional
To summarize, a GIS holds spatial data, such as spatial location boundaries--was originally constructed from the U.S. Census
about spatial objects, and relates those objects to attribute data. Bureau's digital map, DIME/GBF. However, through the continuous
Specific GIS applications could retrieve spatial and attribute updating and adding of data, the production base map is now more
information, manipulate and analyze the information, and display the detailed and up-to-date than the DIME/GBF. The production base
results on a computer screen, paper plot, or printout. map shows the street network (including all streets navigable by
bus), street names, place names, shorelines, railroads, and political
boundaries.
GIS Architecture In addition to the base map, the TransGeo data base contains
spatial objects representing transit service and facilities. Some
A GIS is a system of a group of components, in a certain examples of transit spatial objects are regular service routes, bus
configuration or architecture, that work together for a common stops, signpost emitters, and Park and Ride lots. A new base map has
purpose. A GIS has five components: procedures, personnel, data, been prepared for TransGeo and its successor and is being used in
computer software, and computer hardware. These components work development. This new map is built from the Census Department's
together to capture, store, update, manipulate, analyze, and display new digital map, TIGER.
geographically referenced information. The components are
configured in a hierarchical architecture of four layers.
At the base of the GIS hierarchy is the infrastructure. The TransGeo Technical Description
infrastructure consists of hardware (e.g., personal computers, X-
terminals, workstations, network hardware, file servers, central
processors) and fundamental operating software (e.g., operating TransGeo runs primarily on an IBM mainframe computer.
systems such as ULTRIX, DOS, Macintosh System 7; network TransGeo data, in a format unique to this system, reside in a RAMIS
software; data base management software such as ORACLE and hierarchical data base and are processed mostly by batch programs
Ingres; GUI software such as Windows and Motif; etc.). The next written in FORTRAN, IBM JCL, and RAMIS application language.
level of the hierarchy is data, which exist on, and are made available
through, the infrastructure. Data consist of spatial and attribute data,
which reside in one or more data bases. The third level of the TransGeo Interactive Module
hierarchy is the GIS software, which runs on the infrastructure,
processes the spatial data, and relates the spatial objects to attribute
data. The next level of the hierarchy is the applications, which TransGeo has a limited on-line, real-time interactive module.
combine selected software tools from the GIS software with access to This module uses a Tektronix terminal, a protocol converter,
specific data and possibly a GUI. Applications are the only level of communication lines to the IBM mainframe, and TSO (an IBM
the GIS visible to most users. online facility). The functions available in this module are limited to
To summarize, a GIS is a computer system (infrastructure) that viewing transit objects (links, streets, zones, and timepoints), adding
stores data. The GIS software works in applications that allow users transit objects, and editing their locations. To perform any other
to capture, store, update, manipulate, analyze, and display the data. functions, the user must write program code, either rapid access
The GIS also associates spatial objects with their attribute management information system (RAMIS), FORTRAN, and/or IBM
information. Specific GIS applications could retrieve spatial and JCL. Only one user at a time can edit the TransGeo spatial data.
attribute information, manipulate and analyze the information, and
display the results on a computer screen, paper plot, or printout.
GIS Project Goals and Structure

GIS at Metro This section describes the general goals and specific objectives
for each phase of the GIS project.

TransGeo is Metro's main GIS, which, along with other Metro

systems, provides the Transit Department with tools for analyzing GIS Project Overall Goal
and scheduling transit services and facilities. For many years,
TransGeo has successfully provided spatial analyses and maps of The project goal is to ensure that Metro staff have access to the
streets and bus routes. TransGeo is also used as the key data base GIS tools and data they need to do the agency's business with
maximum quality and efficiency.
 47

GIS Project Structure coordination, cost-effective data sharing, and application

development. The team gained a better understanding of GIS
technology and implementation strategies by visiting agencies that
The current GIS project is planned to occur in two phases, the had already implemented a modem GIS.
GIS Feasibility Study and the GIS System Implementation, followed
by a third phase of additional development projects that go through
their own approval and funding processes. During 1992, Phase I-- User Needs Assessment
GIS Project Feasibility Study was completed. This report describes
Phase I and the process used for alternatives analysis and
recommends an alternative for approval as Phase II--GIS Project Two user needs assessments were performed-an involved and
Core System Implementation, during 1993-1995. On completion of extensive user needs assessment for the Transit Department and a
the recommended Phase II alternative, Metro will have a basic core more modest user needs assessment for WPCD.
GIS in operation. This system will meet about half of the currently Transit Department user needs assessment: During the first
identified user needs and will serve as the foundation on which half of 1992, the Transit GIS Coordinator performed a user needs
specific GIS-related applications could be developed in Phase III-- assessment. His goals were to provide the Transit Department staff
Future GIS Development Projects. with a basic understanding of GIS technology, to identify potential
applications of GIS technology to current and future Metro business
needs, and to identify the data elements required for GIS
Phase I Overview applications.
The first step in determining user needs was to educate Metro
staff about what a GIS is and what it could do. Members of the GIS
Project Coordination
project team visited most Metro work groups to present slide shows
and hold question-and-answer sessions. These presentations
explained basic GIS technology and the importance of geographic
The purpose of the project coordination effort during the GIS
information in performing many of the basic tasks at Metro.
Feasibility Study was threefold: to ensure that all possible GIS
Following the presentations, the GIS project team interviewed
stakeholders could make informed input to the user needs
representatives from the work groups. The purpose of the interviews
assessment, to ensure that all departments in Metro were involved in
was to identify four items of information for each work group, as
the oversight of the project, and to guarantee the broadest
follows: (1) the tasks and business functions performed by the work
interagency utility for the proposed GIS. To accomplish the goal of
groups that use geographic information; (2) an estimate of the
informed user input and management oversight, the GIS team's
resources currently expended by each work group to perform those
activities emphasized the education of Metro staff and management,
tasks; (3)the ways in which a GIS could support the task identified
and internal Metro coordination of the project. To maximize the
previously; and (4) the data needed by the GIS to support the task
interagency utility of the GIS, the team maintained close contact with
identified previously.
other agencies and coordinated plans with them.
In addition to the interviews, existing agency documentation
was studied for information on GIS or Metro's business needs. The
Management and staff education: Throughout the project, the
transit GIS coordinator, in conjunction with the GIS project team,
GIS team sought active, informed participation by client work groups
then prepared a report.
throughout the agency. Early in the project, the GIS coordinator
made educational presentations on GIS technology to work groups
WPCD user needs assessment: A comparable assessment was
that could use geographic applications. In all, over 40 presentations
accomplished for the Water Pollution Control Department.
were made. Agencywide educational forums featuring GIS
technology were also held. Given this basic understanding of GIS,
users were then prepared to provide solid input to the user needs
Evaluation of GIS Software and Hardware
assessment about GIS applications that would serve their business
needs.
This section describes the process used by the GIS project team
Internal Metro coordination: Because GIS technology has
to identify the GIS software and hardware best suited to Metro's
agencywide application, the GIS project team consisted of members
needs.
representing transit, water pollution control, and technical services.
Several approaches were taken to ensure internal Metro coordination
Evaluation of GIS software: First, a request for proposal (RFP)
during the GIS Feasibility Study. A GIS advisory group and a Water
would be released. Second, GIS packages from those GIS vendors
Pollution Control Department (WPCD) core team were formed to
submitting the best RFP responses would undergo a functional
provide support both to the project team and to the existing advisory
benchmark test to ascertain their basic capabilities. Third, the most
and steering committees. The GIS advisory group was appointed by
promising packages to emerge from the functional benchmark test
managers to represent their work groups. These key staff people
would undergo further in-house evaluation to determine how they
provided direction and review on important project elements: an
would meet Metro's specific requirements and how they could be
overall project vision, software requirements, benchmark
integrated into Metro's computing environment.
specifications, and requirements for data and applications. Similarly,
WPCD's GIS core team included representatives from throughout the
The RFP: The RFP solicited information from vendors about
department to provide input and direction to the project.
their software in the following eight areas: hardware, user interfaces,
application development environment, documentation and training,
Interagency coordination: By working with other local
data management, data entry, data manipulation and analysis,
government agencies, the GIS project team aimed to improve
interagency
48

and data display and product generation. Two criteria existed: Do the first year, the GIS would be moved to a new information systems
these GIS packages provide the functions as identified through the department (ISD) production server system. The production
user needs assessment? Are the packages compatible with the environment servers would be shared with other future information
standards set forth in Metro's information systems long-range plan? systems.
Where feasible, an RDBMS would be used to store data, which
Evaluation of GIS hardware: Software was acquired and tested would make the data readily available to users and systems
in numerous hardware/software combinations. Personal computers, throughout the agency. The components of the GIS-servers, display
terminals, workstations, and plotters were tested with specific vendor devices, and peripherals-would communicate over Metro's existing
packages (Arc/Info), data bases, networking software, and various network: wide area network (WAN) and local area networks (LANs).
device drivers to gain information on appropriate system GIS users would communicate with the servers and RDBMS over the
configurations. network.

The Recommended Alternative for Phase II--Minimum Data--Minimum Core Set

Buy/Customize
The GIS team has identified a core set of data that would meet
Metro's basic GIS business needs and serve as a foundation for
By analyzing the user needs assessment, the GIS team further GIS development. The core data set has been divided into
identified a minimum core set of functions and data that would meet three subsets: agency core data, transit core data, and WPCD core
Metro's basic GIS business needs and serve as a foundation for data. Agency core data is spatial information that would be used
further GIS development. To meet those basic GIS business needs, throughout the agency and would form a common reference map of
Metro would buy a commercial GIS software package, load the core streets and boundaries, over which other data would be displayed.
data into the GIS, and customize several of the package's functions Transit core data is spatial information that describes transit bus
into an agencywide Metro Core GIS. routes and facilities, and areas of interest to the Transit division. The
WPCD core data is spatial information that describes objects
comprising the sewer and drainage system, and areas of interest to
Infrastructure WPCD.
The GIS infrastructure is comprised of general computer Agency core data: This subset includes the following: 1990
components that operate below or beneath the specialized GIS census places; 1990 census tracts; 1990 census/demographic
components. Computers, operating systems, GUI software, hard information (households, population, employment, race, age, income,
disks, printers, and plotters are all examples of these generalized, sex); county council districts; forecast analysis zones; municipal
background items. The infrastructure has three constituent parts: boundaries; shorelines; street network; street addresses ranges; and
display devices, peripherals, and the central production computer zip code boundaries.
environment.
Transit core data: This subset includes the following: accident
Display devices: Display devices are the hardware and software locations; bus stops/zones; bus stop shelters; bus on-time
on which users would run GIS applications. Most users would performance data; bus operating bases; commute trip reduction law
probably have a DOS PC or Macintosh as a display device. Other zones; employer sites (major employers); Park and Ride lots (owned
users, depending on their individual needs, would have an X-terminal and leased); Park and Ride lots (capacity and usage); ride-free area
or a workstation. With each computer or terminal, the user would boundary; ridership data (for weekdays, by four time periods, by
need to have accessories, such as a monitor and a mouse, and route, and by direction); ridership monitoring points; road
operating software, such as an operating system, network software, classifications; route footprints (deadhead, revenue, and school);
GUI software, etc. Under the minimum buy/customize alternative, security incident locations; service planning districts; timepoint
existing display devices would be configured to use the GIS, and the interchanges; timepoints; traffic analysis zones; transit centers;
new devices would be purchased. trolley overhead footprint; tunnel and stations; and vehicle volumes--
scheduled for weekdays, by revenue/deadhead, by four time periods,
Peripherals: Peripherals are devices that enable data to be input by route, and by direction.
to or output from the GIS. Some examples are a digitizing tablet
(input), a printer (output), and a plotter (output). Under this WPCD core data: This subset includes the following: drainage
alternative, the agency would have three plotters for general use and basin boundaries; flow monitoring locations; permitted industrial
one digitizer for base map maintenance. Users could also use their dischargers; rain gauge locations; sampling sites (water quality and
own local printers. sediment); sewer/drainage service elements; and site plans (for larger
facilities).
Production computer environment: The production computer
environment is comprised of the network, computer hosts (or
servers), and a relational data base management system (RDBMS). GIS Software Package
The hosts are large, powerful computers on which the central GIS
software would run and on which the core data bases would reside. The results of the software selection process verified that the
Most people signing on to the GIS would be signing on to a host, Environmental Systems Research Institute's (ESRI) Arc/Info package
which would communicate with the user' s display device. Initially, could best be adapted to meet Metro's GIS requirements. Arc/Info
the GIS would use the existing information systems department offers many useful functions: GUIs, mapping and plotting
(ISD) development machine (DEC 5500) as a host server. After
 49

routines, data editing tools, special analysis modules, data base not expected to meet the often specialized needs found throughout
integration routines, data interfaces, peripheral device drivers, etc. the agency.
Also, many specialized, third-party products provide interfaces to
and from Arc/Info, the GIS industry market share leader. ArcCAD: ArcCAD is a product developed by ESRI that
However, Arc/Info stores geographic data in its own integrates the AutoCAD and Arc/Info environments. This product
proprietary format, Arc, and relies heavily on another data base, Info, allows users to employ the AutoCAD drafting and editing tools to
for accessing attribute data. These features add an additional level of create and edit graphical data, and to have access to Arc/Info query
complexity to integrating the GIS package with other systems and and selection capabilities. All data created in ArcCAD can be
with Metro's planned corporate data base. accessed from other Arc/Info modules, including ArcView. This
An agencywide GIS requires development before it can be put product would permit those familiar with AutoCAD commands to
into the hands of the users. Arc/Info is a sophisticated GIS software quickly learn new GIS capabilities and would allow seamless access
package with some 6,000 separate commands in 7 separate modules. to CAD drawings available throughout the agency. AutoCAD is
Users would not be able to use native Arc/Info without undergoing widely used in Metro's engineering sections and is also used by the
extensive education and training. To give users a powerful but facilities planning system in the WPCD.
simple-to-use GIS environment, specific commands, or tools, in
Arc/Info need to be packaged with selected core data into an User-specific applications: A number of smaller, user-specific
application that can be presented to users through a GUI. applications have been developed during the implementation period.
Users determine the priority of these projects and the order in which
they will be developed (hence how many will be completed with the
allocated resources).
Applications Examples of candidates for the user-specific, small-application
development effort are as follows: an application that plots all routes
Users would employ one of three GIS applications: the Metro and stops within a specified distance of a point or points; an
Core GIS, ArcView, or ArcCAD. application that shows all origins and destinations for a route based
on 1992 on-board survey data; and an application to measure
Metro Core GIS: The Metro Core GIS would be comprised of compliance and implementation of the Americans with Disabilities
selected Arc/Info tools, core data sets, and an agency-standard GUI. Act (ADA) by examining the percentage of ADA-provided trips that
It could also include third-party software for specialized functions would not be eligible based on various route proximity criteria.
such as geocoding The Metro Core GIS would meet Metro's basic
GIS business needs and serve as a foundation for further GIS
development Interoperation
The Metro Core GIS would be visible to users through an
agency-standard GUI. Like the Apple Macintosh or Microsoft The Metro Core GIS would not be able to immediately perform
Windows systems, the GUI is comprised of windows, icons, menus, all of TransGeo's functions. Currently, six major systems depend on
and a pointing device. Other GUI software, such as X-windows, can data from the existing TransGeo/RAMIS data base: APC, AVL
be used on terminals running the UNIX operating system and on PCs (Radio), BUS-TIME, CIS, SIDB, and Zones/Route Sequence. Until
and Macs. these systems are modified to work with the new GIS, both TransGeo
The minimum set of core functions available through the Metro and the new GIS would be operated simultaneously and coordinated.
Core GIS would be as follows: This dual operation and coordination is called interoperation.
Initially, the new GIS would download street and transit object
• Enter, store, and retrieve spatial data (replacement of information to the TransGeo/RAMIS data base. The data would then
TransGeo functions). pass through the TransGeo interfaces to the other systems. Likewise,
• Edit spatial data (replacement of TransGeo functions). information will be taken from some of these other systems and
• Display core data on screen with variable symbols, i.e., loaded, through RAMIS, back into the new GIS. Existing TransGeo
icons, colors, shading, line widths, etc. (replacement and interface components will need to continue operating and will require
enhancement of TransGeo functions). maintenance. The operation and maintenance will continue until new
• Produce maps using standard plot templates, including interfaces are written to work between the new GIS and the other
Metro's legend, logo, and disclaimers (replacement and Metro systems.
enhancement of TransGeo functions).
• Import and export data (for interagency exchanges).
• Perform data maintenance. Project Administration, Schedule, and Budget
• Perform selected spatial analyses (polygon overlays;
A project plan, training, user support, internal sharing of data,
distance/area calculation; buffering around lines, points,
creation of user noncore data, and sharing Metro data outside the
and polygons).
agency are all important elements of future administration.
• Perform geocoding (assigning a geographic coordinate to
an address or intersection).

ArcView: ArcView is an ESRI product that provides a Conclusion: GIS-Related Application Development and
prepackaged set of Arc/Info functions on a Windows PC or a Phase III
Macintosh. ArcView enables simple query, display, plotting, and
geocoding. Although this product could satisfy the needs of some Many applications identified in the user needs assessment are
users, it is beyond the scope of the Phase II-based GIS project. These needs,
50

along with future needs, will require funding. Small applications will operations management (such as shorter runs on specific routes). The
continue to be identified as recognition of GIS capabilities grows. runcut provides as a primary product operator driving assignments to
Large applications (e.g., multimedia driver route qualifying system, the operator pick process. The runcut system is a function of the
trip planning) will be coordinated with the base GIS project. scheduling section.
The GIS will be a continually evolving system with ongoing (2) The scheduling section determines driving assignment
application development. The current GIS advisory group, working adjustments (extras, changes, deletions) during the service change.
with WPCD's GIS core team, will continue to help prioritize and These service adjustments are not currently part of the operator pick
make recommendations regarding additions to the basic system. process and are provided to the assignment planning or dispatching
process.
(3) Nondriving operator assignments are determined in a
Seattle Metro's Operation Support System (OSS) (2,3) variety of ways, generally by transit management. Some examples
are training classes, special details, and alternative work for injured
employees. These assignments must be incorporated into the
assignment planning and/or dispatching processes. In the future,
The OSS project of Seattle Metro intends to develop system these assignments may also be included in the available work of the
support for several service-critical business processes: operator pick process.
• Transit operator pick,
• Assignment planning for transit operators, Pick Preparations
• Transit operation base dispatching, and
• First line supervisor pick.
The create work process also includes a significant amount of
In addition to the primary business processes, the OSS also addresses preparation for the pick process. The pick preparation process
several key support processes: determines available regular days off (RDO) combinations for each
work site, available vacation slots, extra board, and report operator
• Interface with the scheduling system, requirements. Pick preparations will include the ability to roster
• Interface with payroll and the human resources information assignments for bid/pick periods of varying time length (one week,
system, and four weeks, etc.). Also included is the ability to collect and
• Transit operations information management. incorporate pick restrictions to determine what effect the restrictions
will have on the amount and location of work and to ensure that work
A goal of the OSS project is to provide system support for is available to satisfy the authorized pick restrictions. The OSS team
Metro's business processes that will (1) support the current work will also maintain an historical record of employee pick restrictions.
rules and methods of doing business, (2) provide information
management and decision-making tools that will enhance
effectiveness and efficiency, and (3) provide a system that enhances Future Possibilities
the ability to adapt to future changes in service needs, work rules,
business methods, and employee needs.
The OSS process is primarily geared toward full-time The OSS team is studying an activity-based scheduling (ABS)
operators. However, the same processes are applicable for part-time concept in which OSS will attach attributes to each work activity
operators and many operator work classifications, such as first-line before sending it to the plan assignment process. These attributes
supervisors. It is expected that the system, with minimal may include various pay elements such as pay time, type of pay,
modification, will support the primary processes for many other guarantees, and bonuses. An ABS system will also enhance the
classifications of employees as well (particularly those employee ability to provide employees with the choice of a variety of fulltime
work groups that use a pick-based work assignment process and must or less-than-full-time work schedules to accommodate their changing
make regular adjustments to assignments to ensure that critical work needs.
is completed or that shifts are filled).

Plan Assignment
Create Work Process
Plan assignment is the process of matching employees to work
activities. Currently, this happens in two distinct processes-pick
There are three distinct processes that define work activities for planning and assignment planning. The future structure could include
employees. numerous iterations of a bid/pick process with a final assignment
(1) The runcut develops operator driving assignments and is a process.
collaborative effort between the scheduling section and transit
operations. Transit operations management determines the amounts
of full-time work, part-time work, and overtime trippers, as well as Pick
the specifics of those assignments. The runcut parameters are jointly
determined by transit operations and service planning to optimize the
efficiency of the driving assignments. Specific parameters may be Plan logistics: Three major processes are included.
modified or disabled for specific assignments during the runcut (1) Seniority list: The union authenticates the seniority lists,
process to meet other objectives of transit which are then posted in the work sites for all employees to review.
Although seniority is strictly a union responsibility, OSS will provide
 51

current employee lists, status, and hire dates to the union. The union • Full-time operators who choose to be report operators are
will have the responsibility to maintain seniority, although the OSS also required to select a position on the extra board, either
support team may provide support to the union in this effort. day or night, and then select their RDO combination and a
(2) Verification of employee information: Information to be specific report for each work day. Extra board operators
verified includes address and phone numbers, commercial driver's may choose an overtime tripper on their RDO only.
license status, and training records. In the preferred process,
employees will have on-line access to their address and phone Vacation selection: Current vacation selection results in
numbers with the ability to verify and modify them as necessary. unbalanced operator resources throughout the year at the various
(3) Planning shake-up reliefs: Many drivers will have driving work sites. To change the process and reduce this resource-balance
assignments that conflict with their scheduled pick time. As a result, problem, the following solutions exist: implementing a vacation extra
base first-line supervisors create special work assignments (shake-up board, choosing vacation by day rather than by work week,
reliefs) to provide a relief driver for the picking operator. The shake- implementing extra board RDO combinations that change during the
up relief must be designed to enable the picking operator to be at the pick period, choosing vacation by base and only for the current
pick site at a specified time. Base staff will provide the shake-up service change, and limiting base movement.
relief information to the picking operators, the communications
center, and the pick coordinator. Base staff will add the shake-up Implementation: Several items must be completed after
relief assignments to the assignment process. If a shake-up relief operators choose and before the first day of the service change:
requires the use of a coach for other than the scheduled work (e.g.,
taking a coach to the pick site while the operator picks), then base • Final verification must be performed to ensure that
staff will also inform vehicle maintenance. designated work was selected and that all operators
Preview pick: The pick process receives details on work designated to choose have selected work.
activities from the create work process. Contractual rules require • Reports must be generated: daily vacation usage for system
staff to post (a certain number of days before the beginning of pick) and by base, alpha and numerical employee lists for base
the work activities available for pick so that employees can review and system, preliminary operator projection data, vacation
the available work. During this time, employees will be able to view relief seniority lists, and manual planning contingency
all available work activity on computer screens located at the work reports.
sites. Employees will be able to apply various filters to the work so • Employees' base files must be transferred to their new
that they can screen all available work according to work site, routes, work location.
start/quit times, pay time, and other definable filters. This will • Route qualification requirements must be identified.
provide employees with a way to absorb and understand a large Employees should be scheduled for necessary training, and
amount of information and will allow them to select work that best training records should be updated.
fits their personal needs and desires. For selected assignments, the
employee may be required to have certain qualifications to select a Assignment Planning
particular assignment. Assignment planning relies on information from various
sources:
Pick (the actual base/RDO/work/vacation selection): Currently,
various work rules constrain the work an operator may select, such as • Operator assignment information produced by the pick
time off between a run and an overtime tripper, time off between process will include regular operators and their
work days, and time off over the employee's weekend. assignments for each day and pick options (for overtime
Under the current work rules, operators first select the base they assignments), extra board operators with pick options,
will work at. Full-time operators, after selecting their base, choose to report operators, and part-time operators with their
be either regular, extra board, or report operators. Each of the three assignment and pick options.
categories will have its own set of available RDO (two consecutive • The pick coordinator will provide pick options,
days) and will be further classified as day or night. Fulltime operators
assignments, and start dates for new-hire operators starting
must select one base, one category (regular, extra board, or report),
between picks.
and a day or night shift. The following describes the operator
• Employees will provide information on pick options, work
decision sequence that is determined by current work rules:
preferences, time off requests and requirements, and
have fewer than
training requests.
• Base management will provide information on detail
• All operators will first select a base for work.
requests, assignment changes, management action that will
• Full-time employees who decide to choose work as regular
affect employee availability, and gradual return-to-work
operators will determine if they want day or night work.
and alternative work assignments.
They will then choose their RDO and select a run for each
• Vehicle maintenance will provide vehicle assignments and
of their regular work days. These employees may then opt
coach type changes.
to choose additional overtime trippers for any weekday,
• The scheduling section will provide schedule changes,
regardless of their RDO combinations.
deletions, and additions.
• Full-time operators who choose to work the extra board
• The operator training section will provide operator
will select a position on the extra board, either day or
night, and then select an RDO combination. Extra board qualification information and student training assignments.
operators may choose an overtime tripper on their RDO
only. Assignment planning is a daily process that matches available
drivers (board operators, overtime, additional tripper list (ATL)) to
work that is vacant. Several processes are involved:
52

• Collecting information on all work that needs to be filled primarily concerned with three areas of change: (1) service
for the following day; adjustments-additions, deletions, and changes to the planned
• Collecting information on all operators who are available schedule; (2) coach type or coach location; and (3) operator
to work for the following day; availability. The dispatcher receives information affecting these three
• Applying work rules to make assignments to the available areas from several sources: service communications, base staff,
operators; and vehicle maintenance operators, other bases, scheduling, and custom
• When the above processes are complete, posting the results bus. The dispatcher also has the authority to make limited service
(dispatcher's responsibility) the day before the actual changes and to change operator assignments. The dispatcher must
service date so that the employees will know their schedule document all changes and adjust the operator assignment plan so that
for the following day. there is an operator on each work activity. If an operator cannot be
found for a particular activity, that activity will be canceled.
Outputs from this process include a work schedule that lists The dispatcher is responsible for making cost-effective
summary information for each scheduled driving assignment, assignments and considering all available operators, probable events
including the assigned operator; the extra board assignment, listing during the remainder of the service day, and applicable work rules.
each board operator with his or her assignment for that day; a list of The dispatcher also has the option of transferring work or operators
operators who have been excused or taken off their regularly to another work site.
scheduled assignment; a list of operators who have additional work Metro is currently seeking the following tools that will
assignments; and a floater list of operators who are working a streamline the process, reduce errors, increase employee
different driving assignment in lieu of their regular driving productivity, and provide decisionmaking support:
assignment.
Some assignment processes occur that are between the pick • Electronic sign-in,
process and the planning process. • Automated documentation of report operator pay time and
Move-ups: This process is conducted by the union. If a piece of availability,
work is permanently vacant (for instance, as a result of resignation), • System help to identify operators available to fill work,
eligible operators may request a move-up on that assignment. The • "What if' information to aid the dispatcher in determining
union will present to management a list of operators who are the costs and consequences of his or her decisions with a
changing assignments, including their old and new assignments. best option suggestion,
Vacation and long-term absence reliefs: Extra board operators • Information that will support the dispatcher in determining
may bid on work left temporarily vacant due to vacations or long- the most cost-effective road relief points,
term absences. Different work rules apply to full-time and part-time • Travel time calculations based on a table of travel times
operators. between various locations,
Holiday work selection: On holidays when bus service is • Ability to link assignments without requiring the operator
operating on a Sunday schedule, certain operators may bid for a to report back to the base, and
selected subset of work that will be available on that day. The OSS • Ability to evaluate the status of current service and
team will identify the available work, provide the necessary recommend which cancellations will have the least affect
information to the operators, accept the operator's bids, assign the on service.
work, and post the results.
Unavailability: At times, and for numerous reasons, employees Fitness for duty: The dispatcher authorizes an operator to work
will not complete their assigned work. The OSS team will collect, by allowing that operator to sign in for work. One aspect of
sort, and prioritize all unavailability requests. The system will authorization is conducting a fitness-for-duty assessment of the
provide support to the dispatcher and base management in operator as he or she signs in. This assessment includes checking for
determining which requests to grant and what the ramifications will proper uniform, punctuality, and any physical or emotional
be in granting the requests. impairment that may affect the operator's ability to drive safely or
provide quality service.

Dispatching--Taking the Plan Live Sign-in process: The OSS team must document the arrival
(sign-in) of the employee for work. Most likely, employees will use
Dispatching is the final step in adjusting and authorizing work their employee pass (with a magnetic strip) to "swipe-in" when
assignments. The assignment planning process provides a daily work reporting for work. However, a bar code or some other technology
plan, which is published the day before the actual service date. All may be preferable to a magnetic card. The operator sign-in process
the different types of changes to assignments, vehicle assignments, should provide the following tools to the dispatcher: a flag, if the
and employee availability that have been accounted for in the operator has not signed in during the allotted time; an adjustable time
planning process will continue to happen after the plan has been frame that the dispatcher can use to monitor pending sign-ins; and an
completed. Dispatching is the process of making the last-minute ability to flag certain sign-ins so that the dispatcher can be alerted
changes to the plan to ensure that a qualified employee is assigned when a specific individual arrives. The sign-in system will allow the
and available to provide each service activity. Dispatching also dispatcher to set the time window during which operators may sign-
documents changes to employee availability that will affect in.
assignment planning for future days. The sign-in will receive real-time information from the work
schedule, so that any schedule and operator changes entered into the
Adjusting the Plan system will immediately be reflected in the sign-in queue. The sign-
in process will also provide information to the employees that
The assignment plan is finalized the day before the service day
and is immediately susceptible to change. The dispatcher is
 53

is critical to the performance of their assignments, including run card pay items. The preferred process will also maximize every possibility
information, reroute information, service adjustments (change to the that the event itself will generate the appropriate timekeeping data,
scheduled service), "see-me" notes from their chief, coach rather than requiring additional data entry to document pay.
assignment or road relief location, and coach location. Passes, rider
alerts, dash signs, and "when needed?" relief cars must also be
provided to the drivers. In addition, employees must have access to
various reports and forms Approval
The sign-in process has two products:

(1) A qualified, fit-for-duty employee performing the Metro management will review and approve authorized
authorized work assignment, and activities. Metro will work with internal auditing to clarify the extent
(2) Documentation of the authorized activity (authorized of review required and the method of documenting the review and
activity data) for each employee for each day. approval. Modifications to pay data occurring during the approval
process will be completed on-line, with appropriate security and
The authorized duty includes driving assignments, nondriving accountability documentation.
work assignments, vacation, sick leave, excused, regular day off, and
all other classifications of nonwork activity. Documentation of
authorized activity is provided to the pay process.
Calculate Hours

Provide Service
The approval process will forward to the calculate hours
process the raw data on hours worked including type of work, along
Operating scheduled revenue service includes providing with all nonwork activity (or paid and unpaid absences). Each work
transportation to customers; collecting fares; observing incidents; activity will have one or more kind of time (KOT) attached to it. Pay
observing schedule issues; observing facilities; providing information time will be calculated from the raw time data using certain
to customers; collecting service comments from customers; making employee attributes and applicable work rules. For example, certain
necessary adjustments to schedule routes; providing information to employee attributes (such as longevity, safety record, employee
service supervisors and service coordinators; accounting for lost and classification) will determine which work rules are applicable for a
found items; and providing positive public relations to riders and particular activity and how those work rules will be applied. The
nonriders. To effectively perform their work, operators must be able OSS team will then apply those work rules and determine the
to communicate with the communication center while on the road individual's pay time for each paid activity.
and to service supervisors and other drivers through the
communication center.

Calculate Gross Pay

Report on Actual Service

KOT and pay time will be passed to the finance section, which
There are numerous methods of collecting information on will calculate gross pay and maintain pay balances (accrued
actual events: fare box data, AVL information, service compensation time, sick leave, vacation, personal holiday, military
communication logs, service quality logs, dispatcher call records and leave). Certain employee information (maintained by finance), along
report sheets, and operator-generated reports. Operator-generated with work rules that govern pay rate, determine the rate of pay for
reports include lost-and-found reports, vehicle maintenance requests, each pay activity. For example, if the OSS passes data stating that an
incident reports, accident reports, security reports, and safety reports. employee was on vacation for 16 hours, but that employee has only
The preferred process will provide automatic payment for 10 hours in his or her vacation account, work rules or policy will
authorized reports, document management capabilities of the various determine how to pay the remaining 6 hours. Thus, the KOT of a
employee-generated reports, and provide management and reporting particular activity may be changed during this process.
of the information generated by the various reports.

Pay Process Process Pay

Finance will process pay and produce paychecks and direct-

The pay process is divided into two primary sections: (1) the
deposit notifications.
OSS portion, which includes collecting and calculating hours; and (2)
the finance portion, which includes calculating gross pay,
Other pay issues: The OSS pay process will also provide online
maintaining various pay balances (vacation, etc.), maintaining pay
detailed work-hour data, similar to the current bi-weekly pay report,
rates, issuing paychecks, and providing information to the general
to employees and authorized management. This pay period report
ledger.
includes KOT, amount of time, and amount of pay for each day and
The primary inputs to the OSS pay process are authorized
each specific work activity. A work data base, with the pay
activity data from dispatching, unscheduled overtime reports from
information from calculate hours and calculate gross pay, will be
operators, actual event data, and retroactive pay corrections
available on-line to employees and authorized management so that
generated by the base staff. The preferred process goal is to eliminate
they can review the pay documentation.
all paper pay transactions and provide electronic transmission of all
54

Analysis and Continuous Quality Improvement (CQI) preferred research capabilities will also require access to AVL and
MARS data.
Information management and decision-making tools are the key
OSS elements of this process. Metro will need to collect a growing
array of event information in integrated data bases with seamless user Process Management
access. Report-writing tools will range from the very sophisticated
for the management analyst to powerful but simple to use for This process involves management review and control over
supervisory and line staff. transit operations' business processes. Using data and analysis of all
processes, this process allows for changes in primary assumptions or
process changes.
Training and Qualifying Transit Operators The information management system is a primary element of
Metro's preferred vision and will include real-time integration of data
with Metro's distributive data base; data integration with key systems
The operator training section maintains the operator not currently included in Metro's corporate data base; seamless user
qualification records currently residing in OSS. The preferred access to data; and powerful, flexible, and easy-to-use reporting
process improves training in several ways: combines ride check tools.
requirements with scheduled and planned work assignment to check
ride check rosters that instructors can use for scheduling ride checks;
automates reporting of qualification requirements generated TORONTO TRANSIT COMMISSION (TTC):
whenever an operator's scheduled assignment changes; and integrates AUTOMATED TRANSIT OPERATORS SYSTEM
student assignments into the operator assignment process. The data
base should also include a record of ride checks with comments and Scope of Project
notations or other pertinent training notes.
The scope of the automated transit operators system (ATOS)
project is to improve the availability and use of information by
Employee Management interfacing and automating current systems in the Transportation
Branch. The main objectives for the ATOS project are as follows:

In addition to the already documented communication functions • Automate the slip administration functions;
that assist in employee management, such as the sign-in section and • Interface with current schedule, payroll, and personnel
employee information, other improvements are envisioned: systems;
• Streamline administrative practices to ensure uniformity
• An electronic bulletin board could be made available to all between divisions; and
employees. An employee could pose a question to "All • Improve activity levels.
Route 7 drivers." Employee committees could post activity
notes under selected topic classifications. It is expected that meeting the above objectives will do the
• Transit operations is exploring the feasibility of providing following:
all employees, including operators, with access to one-on-
one electronic communications, using an electronic • Ensure uniform application of contractual regulations,
bulletin board or electronic mail system. • Provide accurate and uniform payroll practices,
• For policy and procedure information, employees will use
an on-line data base to access items by subject.
• Provide detailed analysis of labor costs and workforce,
• Communication improvement would also include an • Maintain accurate and current employee information,
electronic document management system. Today, • Ensure accurate and timely flow of information, and
numerous reports must be completed, copied, summarized, • Eliminate duplication of activities/reports.
and forwarded to various people and work groups. The
OSS will include a document management system that will
reduce, or eliminate, the processing of paper reports. The
Needs Assessment
ideal system would combine a GUI with pen technology
for diagrams and quick-check items on the report. The
The user requirements of various levels of personnel, including
document management system should include automatic
management, supervisory, and clerical, have been addressed in detail
routing of full reports and summary information. Other
personnel will be able to review, annotate, or approve during the development of the system requirements definition, which
is the phase in the systems development methodology that is used to
various reports. The system will notify employees if
manage the ATOS project.
additional action is required (e.g., notifying the base chief
if an employee documents an on-job, which indicates that The 11 divisional offices within the Transportation Branch
currently rely on a variety of manual and automated systems from
some additional action must be taken). The original report,
within and outside the branch to assist them in their day-to-day
along with comments, addenda, etc., will be available
online to employees with appropriate security. operation. Most administrative functions fall under the following
categories: work selection sign-ups, slip administration, and
personnel administration.
Event data will be on-line, and staff will be able to access the
data with standard reports and research-oriented tools. Metro's Currently, schedule information and operator sign-up boards
(provided by the Planning Department) and workforce information
 55

(operators seniority lists provided by the Transit Administration) are accurately. To accomplish this, an employee must consult the
forwarded to the divisions every four to six weeks. This information, seniority list, then the operators boards (including swing crews and
along with manually produced vacation boards (provided by the vacation boards), and then the crew guides and schedules to collect
divisional clerks), is posted at each location for the work selection all the required data.
process (operators board period sign-up). Upon completion of this
process, the work selection data are electronically entered into a data Proposed solution: Combining schedule and work selection
base (System 38). This system then provides the divisions with information into a common on-line data base would allow divisional
computer printouts relative to employee overtime limitations and staff to respond to changing situations on an ongoing basis in a
work assignments. This system also generates hardcopy information timely and appropriate manner. Furthermore, such a system would
relative to operator boards, reporting boards, and vacation boards for provide the data base necessary to automate other key divisional
use at the divisions. functions.
The aforementioned schedule and sign-off information are
necessary for daily slip administration. This is a process whereby Benefits: This solution would increase productivity. Look-up
scheduled and unscheduled service are assigned to substitute time would be expedited, thus reducing possible delays
operators (or extra operators) and/or collectors as a result of to/cancellation of service. This data base will enable automation of
absenteeism and extra service requirements. This substitution slip detailing and time-keeping functions to ensure accuracy of
requires the application of specific regulations per the collective payroll information. This process improvement would primarily
agreement and government legislation. Currently, to perform their result in intangible benefits.
duties, slip clerks rely on a wide range of unrelated sources of
information relative to personnel and scheduling. The bulk of this Situation: slip administration--All facets of slip administration
information is in hard-copy format and requires a great deal of are manual. This includes assessing and listing all known open work
manual manipulation in the performance of their tasks. These tasks assignments as per scheduled and unscheduled service requirements,
include detailing of work assignments, time-keeping, and the as well as ascertaining the available workforce, including volunteers.
monitoring of overtime and absenteeism. Each of these functions is To compile all these data, divisional slip clerks must refer to a
performed manually and results in hard-copy-only divisional records. number of documents and manually maintain records regarding
Because most of the day-to-day divisional records are manually absenteeism and overtime hours on an accumulative basis. Then,
produced, the current analysis of workforce usage and related labor after all known open pieces of work and the scheduled workforce
cost must be expanded. have been established, the slip clerks must assign the work in
Furthermore, the divisions do not have an independent data accordance with specific union regulations. To fill any remaining
base containing employee information and must rely on outside work, the slip clerk must refer to a manually maintained volunteer
sources for information relative to absenteeism, vacation selection list. Once this process has been compiled, the clerks must manually
data, equipment qualifications, and general information (i.e., phone, produce a document listing workforce assignments. Because all of
address, alpha/numeric lists, etc.). In most cases, the information or the slip administration functions are manual, limited time remains for
reports are outdated by the time they are received at the divisions. the canvassing of available volunteers required for late-breaking
open work.

Justification Proposed solution: Create an automated system that can

interface with both the schedules and the workforce selection sign-up
data bases and has the capability to perform the detailing function in
Situations/Solutions/Benefits
accordance with current union agreement. The system would also
have to be able to maintain and update files on absenteeism and
Based on initial contact with current users, both divisional and
resulting work assignments on an accumulative basis for both the
administrative, a number of situations were identified. Some of these
current and future operational requirements. The system must also be
situations are described in the following paragraphs along with
capable of producing ad hoc reports for the detailed analysis of
suggestions for solutions and the resulting tangible/intangible
workforce utilization.
benefits.
Currently, most of TTC's automated systems lack integration.
Benefits: Maximize utilization of the workforce while
This forces TTC to use manual systems to perform key
increasing the productivity of the clerical staff (decrease service
administrative functions and, consequently, TTC lacks the capability
disruptions/cancellations). Ensure accuracy of the information, thus
to consolidate and summarize data. As a result, TTC cannot produce
reducing costly errors. Ensure consistent application of the union
the ad hoc reports necessary for identifying trends, forecasting future
agreement and other policies and procedures. This will result in
workforce requirements, and assisting in the negotiations process.
reduced labor costs to both the clerical and operator workforce upon
citywide implementation.
Situation: sign-up--The data generated from the completed
work selection sign-up (i.e., schedules and workforce selections) are
Situation: payment of operators--Currently, payroll data are
provided as two separate entities and are not on-line. Consequently,
collected and reported manually at each division for the payment of
this situation results in the extensive manipulation of many unrelated
substitute and extra operators on a daily basis. This process involves
reports for the performance of many daily administrative functions at
the use of a complex set of guidelines and a wide variety of forms.
the divisional level. Divisional clerks frequently require easy access
Also, several documents must be referenced to calculate pay values
to information pertaining to both employee identification and related
and verify employee identity. This results in a high volume of
schedule information to ensure that the appropriate substitute
manual transactions being performed. Consequently, errors occur,
employee is assigned to the correct crew and paid
which results in costly correction procedures. Because this is a totally
manual system, divisional management is unable
56

to produce reports that can analyze workforce utilization and related consuming requests to other departments relative to changes to a
labor costs. variety of data on each employee. The ability to produce timely and
accurate reports will reduce costly errors relative to both the work
Proposed Solution: Develop a system that is capable of selection and work assignment processes, while increasing staff
generating hourly pay information to electronically feed payroll data productivity.
to labor accounting. The system must incorporate methods of
payment and include checks and balances that will verify the identity
of personnel and reconciliation of payment. The system must also be Summary
capable of producing ad hoc reports relative to workforce utilization
and related labor costs. The previous are only examples of some of the situations
associated with the lack of automated administrative system and/or
Benefits: Automation will ensure consistency in methods of the lack of integration of the current administrative system both
payment and increase accuracy of payroll information. Provide a data within and outside the branch. The system requirements definition
base that will allow for a complete analysis of both labor cost and phase of the project will include a detailed analysis of other
workforce. This is a process improvement with intangible benefits situations known to exist in other administrative functions both
such as reduction of paper files and improved flow of data to other internal and external. It is anticipated that investigation of these other
branches. Tangible benefits will follow citywide implementation of areas will result in further benefits, both tangible and intangible.
the system, which will result in the realignment and reduction of
clerical shifts.
Interface with Existing Systems
Situation: absenteeism tracking--Currently, divisional
management is using two methods of tracking and reporting ATOS in one form or another will interface with other systems
employee absenteeism. One system is a labor-intensive process in within the TTC, such as the personnel payroll system, the scheduling
which clerical staff extract all absence entries from the off-duty system, and others. The relationship of ATOS to these systems will
sheets and record them in a ledger-type file that lists all operating be closely monitored, especially during the prototype/system
personnel. This process provides management with an up-to-date but requirements definition phase.
incomplete profile on each operator. The exact requirements for the interfaces will be identified at the
The second system, provided by Corporate Services Branch and completion of the prototype.
Management Services Department, is automated and produces
computer printouts that are used in conjunction with the manually
produced documents to monitor employee performance. Because the Benefit-Related Considerations
automated report is based on pay-ending data (biweekly), the
printouts are outdated when received by the divisions. Consequently, By automating several key manual administrative functions and
management must rely on both documents to monitor employee interfacing them with current automated systems, cost can be saved
absence daily. in human resources as well as in the improvements relative to the
streamlining of administrative practices and the uniform application
Proposed solution: Extract both inclusive and specific absentee of contractual agreements.
information from the Slip Administration data base, which contains
data from the off-duty sheets, as required.
Expected Benefits
Benefits: This automated system would provide management
with on-line access to a variety of absence reports that will allow Total ongoing annual benefits are estimated at $1.4 million.
management to take timely, effective action when monitoring
employee absence; at the same time, this system would increase Intangible benefits: ATOS will improve the capability to
divisional productivity. analyze trends relative to human resources, thus minimizing
absenteeism, and maximizing workforce productivity. ATOS will
Situation: personnel information--Currently, divisional staff improve the response time to customer complaints and inquiries.
must rely on a variety of unrelated reports (both automated and ATOS will also improve regularity of service by combining
manual) to maintain general information on each employee such as automated workforce and service requirements.
seniority dates, vacation selections, equipment/training The results of these intangible benefits will assist TTC in
qualifications, and license information to perform important tasks achieving their primary objectives relative to financial,
relative to sign-ups and slip administration. Currently, TTC must rely productivity/human resources, and customer service. If this project
on outside sources for much of this information and, in some cases, were suspended, the users would continue to do their jobs in the
the information is outdated by the time the divisions receive it. This current manner. The anticipated benefits would be lost, with a
can result in costly errors in the work selection process and in the demoralizing effect on the users.
detailing of work assignments.

Proposed solution: Create a system that will provide each Risk Considerations
division with a data base containing all necessary documentation on
each employee and that will allow divisional staff to manipulate
and/or transfer information to other locations. The system should also Some economic, operational, and technical risks are involved in
be able to produce ad hoc reports on demand. developing this project.

Benefits: This improvement to the process will eliminate time-

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Economic Risks Alternatives

• The project is anticipated to be large. The time required for Although a number of options could be used to meet the
citywide implementation is about three years. TTC identified requirements and problems, the alternatives generally fall
anticipates that the payback period is under two years after into the following three options.
the system is fully operational.
• The financial risk can be reduced by using prototyping. By Option 1: Enhancement of existing systems. A number of
prototyping, the users will learn through hands-on problems with the existing systems were identified. Programming
experience and will be able to interact with the system changes and enhancements could be implemented to meet the
sooner. existing problems.
• The major cost of this project is the cost of purchasing Option 2: Development of a new system. This option would
application software. This risk will be reduced significantly include the system requirements definition, design, development, and
in the operational environment by thoroughly testing the implementation stages.
product during the pilot project. The testing of the system Option 3: Purchase of a system. A number of packages in the
by the users will be encouraged and the organized tests will marketplace could most likely be customized to meet TTC's
be documented. These tests will help in the development of requirements.
comprehensive functional requirements. Detection of flaws
and errors in the system will be corrected cheaply at this
stage, and risks and costs will be reduced significantly.
• Another major cost of this project is the cost of purchasing Analysis of Alternatives
hardware. Hardware (purchased for prototyping) is not
specialized, and if this project should not succeed, the
hardware can be used elsewhere in TTC. The hardware for Under Options 1 and 2, it will cost more to develop a new
the citywide implementation will be purchased only after system than to purchase a package. Implementation time will also be
successful prototyping/testing and acceptance of the substantially longer than if TTC purchased a package. The allocation
product. of scarce technical resources to a major development/enhancement
effort would be extremely difficult (maybe impossible) given other
priorities within TTC.
Under Option 3, packages exist and are operational at other
Operational Risks transit sites. Cost of the package itself is expected to be less than that
of an internally developed system. With customization, the packaged
system can be more flexible than the in-house development or
• Some risk is involved if the system is not used properly by enhancement.
the unionized and supervisory staff. This risk can be Good quality, up-to-date documentation is normally available
reduced through proper planning, training, and careful with a package. Implementation time will be shorter than for an
introduction of the systems benefits. These risks will be internally developed system, since the programming and design
further reduced by senior management's commitment and phases are eliminated.
strong leadership. Continuous user involvement and hands-
on experience during the Roncesvalles pilot project will
help reduce the risk considerably (personnel from all
divisions will be given the opportunity to attend a
The Metropolitan Atlanta Rapid Transit Authority
demonstration of the working version of the system)
• Changes to the union agreement could impact the citywide
(MARTA): Management Planning and Control
project. Drastic changes in the union agreement could
result in extensive programming changes and a major cost MARTA identified an integrated maintenance management
to TTC. This consideration is an ongoing maintenance information system (MMIS) as its highest MIS need in its 1990
charge to the system. longrange information systems plan. Following an extensive
evaluation process, the maintenance planning and control (MPAC)
system of The System Works, Inc. (TSW) was selected by MARTA.
The MPAC system tracks and schedules all equipment, parts, and
Technical Risks labor related to maintenance, which traditionally represents close to
50 percent of MARTA's total operating budget.

The technical risks involved can range from unmet user The MPAC system includes the following primary components:
requirements to a variety of interface problems, especially when 1. Maintenance planning and control (MPAC)
trying to connect purchased packages with existing systems. These 1.1 Work orders
risks will be reduced during prototype by passing data from the 1.2 Materials management
scheduling system into the ATOS system and creating files for 1.3 Occurrence reporting
passing data to the mainframe personnel payroll system. (Personnel 1.4 Curator imaging system
payroll system interfaces will not be operational during prototyping 2. S&A fuel/fluid tracking
but sufficient information will be generated to ensure that this facility 3. Timeware
works.) The system will be thoroughly evaluated for efficiency, 3.1 Automated time and attendance tracking
determination of necessary editing and validation requirements, and 3.2 Work order labor distribution
audit and controls. 3.3 Job board assessment
58

MPAC (1) Emergency or service call: Can be created from any CRT.
Once the work order is assigned, labor and material costs
A maintenance and materials management system was can be accumulated against the job. Because only minimal
developed by TSW specifically for a relational data base operating data are required, the user can create an emergency work
system. The MPAC system is an extension of a planned maintenance order in less than one minute.
and stores management concept and has an interactive, user-operated (2) Preventive maintenance inspection: A preventive
system. Timeware is an automated program for collecting employee maintenance inspection work order is used for any given
work hours and distributing labor costs. Relational data base piece of equipment. Up to 100 different inspections can be
technology makes this program adaptable to most transit established for a piece of equipment, with up to 100 pages
environments. of inspection instructions for each. After the text has been
written, the user can then schedule the inspection and the
computer will automatically issue the work order on the
Work Order System indicated schedule frequency.
(3) Lubrication: Allows the user to create a lube route for each
piece of equipment.
The maintenance module of MPAC helps plan the labor and (4) Repetitive: Used to develop work orders that are routine
material resources necessary to perform maintenance work. Because and occur on a predetermined frequency. Detailed text and
of MPAC's integrated approach, schedules do not become outdated parts lists are set up once.
before they are implemented. The following features of this module (5) Preplanned: A library of work order text and parts lists is
help plan and schedule maintenance labor and materials. stored until needed, then recalled, processed, and
scheduled through the work order processing program.
• Equipment/facility catalog: Contains data about each piece (6) Rebuild: Allows the user to develop a work order and parts
requirements for rebuildable spare parts such as electric
of equipment. This catalog consists of details on both static
motors and reduction units. The system will automatically
and dynamic information for each piece of equipment in
generate a work order when the rebuildable part is issued
the system. Page examples include the equipment master
from inventory.
file, the work order inquiry, and the cost history.
(7) Fabrication: Similar to rebuilds.
• Parts list: A multilevel parts list is maintained for all (8) Routine: Work orders generated for routine repairs or
equipment and spares. The list's inquiries can be made modifications such as parts replacements, or other daily,
directly or during work order planning to ensure material weekly, and monthly routine maintenance events.
availability.
• Where used function: Establishes or reviews where parts • Stock requests: Can be made often throughout the cycle
are used. The entry of where-used data will update the either as part of the planning process or as a result of a
appropriate parts list. This program provides a reference real-time, work-in-progress need. MPAC can create stock
listing of the equipment or spares that have the specified requests if brief part information is known.
stock item in their respective parts lists.
• Purchase requisitions: For items ordered outside the
• Preventive maintenance scheduling: All information for normal stock, MPAC issues a requisition and accomplishes
both input and review is available on-line. Schedules for all the necessary communication for approval.
automatically generated inspections, lubes, and repetitive
work orders are entered through the
• Backlog management: Enables the planner to pull up work
orders associated with specified crews, crafts, or
inspection/lube/repetitive schedule program. Once
equipment.
established, the work orders are generated for the
prescheduled date automatically, until changed or deleted. • Manpower planning: Assists in evaluating labor
Exception reports are available to show what preventive requirements and balancing available manpower.
maintenance work was not performed and why. Calendars are set up to ensure consistent manpower.
• Inspection readings data base: Allows a maintenance • Backlog scheduling: Provides an electronic tally sheet, an
organization to record and monitor user defined test points interactive computerized process to decide which work
such as vibrations, temperature fluctuations, and meter orders need to be scheduled and how they match up with
readings. already scheduled work. As manpower is assigned and
• Work order request: Allows communication with the work orders are scheduled, the system monitors the amount
of time consumed. Full 52-week scheduling is supported.
maintenance organization. The needed work is described
briefly at the nearest terminal to the maintenance problem. • Daily schedules and labor reporting: Schedules are printed
The second phase is the approval process. Additional out by crew, schedule date, and shift. Labor data can be
information may be added and a priority will be assigned. entered by employee or by work order.
After need is determined and approvals are given, the work • Equipment/facility history: Retains material and labor costs
order request evolves into the actual work order. These for maintaining each piece of equipment and can sort this
orders are processed on preplanned, routine, and information for historical comparison and future planning.
emergency bases. Work order files reveal a detail page, a
cost page, a listing of outside contract work, a parts list, a
text page of how to do the work, and pages of notes by Additional Features:
those who have done the job before. A new work order
usually requires only adding or changing a line of a • Drawing control: An engineering-oriented product
previous work order. providing an extensive data base of drawings related to
equipment in the
Eight primary types of work orders exist in MPAC:
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facility. This product allows the user to capture the approval process. Store personnel can review the
information relative to any given drawing, including a report, make manual adjustments to the requisitions, and,
description and a revision history. Drawing control also in one process, automatically generate requisitions for all
makes it possible to maintain drawing updates and low stock items.
revisions. • Warehouse management: Supports the physical
• Project tracking (optional): A fully integrated, optional management of the warehouse or storeroom. Warehouse
module licensed separately from other MPAC modules. management offers a one or two-step receiving process,
This module enables the user to budget, plan, schedule, and while controlling issues and returns. Stock Issue Control
analyze work associated with projects. Labor and materials issues all stock items by requests. A stock issue request
from internal sources can be planned and scheduled by may be generated directly from the parts page of a work
accessing MPAC's maintenance and stores modules order or from the stock issue request program in the
directly from project tracking. With MPAC's invoice stores/spares module. A stand-alone, return-to-stock
matching module, contractor invoices can be received into program makes it easy for people to return unused or bad
the system, posted against a particular project, and parts to the warehouse and get credit for them, thus
reflected on-line in the current accumulated project cost. discouraging the growth of unofficial ministorerooms.
Project costs can be individually or automatically charged Inventory Accounting evaluates stores based on the
back to the appropriate account number. weighted average unit cost method. All inventory
• Chargeback (optional): MPAC's chargeback module can transactions, both credits and debits, are reported and
be used to distribute maintenance costs and in conjunction summarized using the weighted average cost figures.
with MPAC'S maintenance control module. Work order Physical Inventory allows the user to assign a physical
costs are distributed flexibly. The chargeback module also count day to each stock item, and then print inventory
supports cost acceleration, chargeback invoices, general count sheets on the scheduled inventory date.
ledger posting, and analysis and reporting. • Multilocation (optional): Supports organizations with
multiple storerooms. Allows for detailed usage histories for
each location.
Materials Management System • Serial control (optional): Refers to MPAC's ability to track
any item by serial number. Information is given on where
the item has been, where it is now, and whether it has been
Effective use of MPAC provides many benefits. Equipment in service or taken out of service for maintenance. Serial
downtime is reduced and the life of capital equipment is extended. control is especially valuable with rebuildable stores items.
MPAC performs maintenance tasks by maintaining the necessary • Rebuild tracking: Automatically prepares a rebuild work
inventory and coordinating appropriate tools and labor. The system order when a rebuild item is issued. Tracks entire process
keeps historical equipment records to help future planning and to ensure that rebuild items are not left in the plant and
budgeting. With MPAC, the effectiveness of maintenance, equipment unaccounted for.
performance, and cost trends can all be analyzed and reported to
those who need the information. Tool control (optional): Plans the labor and materials required
Stores/Spares: In this module, plans are made for the material for maintenance, and the tools required to perform the job. It is
needed to accomplish specific tasks completely and on schedule. The installed as part of the maintenance module and accesses some of the
stores module is used to monitor an on-line inventory of parts used same files. Tool control allows the user to identify those special tools
by a maintenance organization. This module provides maintenance, required for a particular work order. Required tools can be reserved.
stores, and purchasing personnel with powerful information The checkout date, who removed the tool, and where it is located are
processing tools for effective warehouse management. The overall all given. Also, information is available on the duration of the
objective is to economize on dollar investment while efficiently checkout and the history of repairs by the tool.
maintaining an optimum service level.
The major programs in this module are as follows:
Occurrence Reporting System
• Parts catalog: On-line catalog that can be searched by
manufacturer part number, company part number, or the TSW customized the occurrence reporting module to fully
name of the part. For each part, MPAC reveals the name, integrate with other MMIS modules at MARTA. The existing data
location, cost, amount, and type of use and gives an base can be converted from the Foxpro data base and mapped to a
immediate overview of availability and a list of stock issue new system in which appropriate new file structure definitions are
requests. The parts catalog stores any requisitions and given.
purchase orders involving the part. Information on vendor
suppliers, their lead time, and delivery performance is also
available.
The parts catalog can convert the unit of order to the Curator Imaging System
unit of issue: an item can be received by the case and
issued individually. Maintenance and purchasing Curator imaging software involves more than just storage and
descriptions are also available. A catalog keeps retrieval of information. Curator enables users to access and use
information on the reorder point and quantity for each stored information to accomplish tasks with greater efficiency.
item. Instead of endlessly searching through files, Curator multimedia
• Automatic requisition: Helpful when a planner needs an imaging software gives immediate access to every file, in any format,
item not in stock. Information in the data base supplies the anywhere, and at any time desired, across the entire LAN.
requisition, and MPAC automatically moves the
requisition through
60

This is accomplished with facile and contemporary point-and-click card-there is no requirement for a separate card or other
technology. input device for the FMS;
Curator puts the existing computer network in command of • RIH units are capable of accepting additional automated
numerous data files, regardless of format. Curator was developed in input such as mileage at a future time when MARTA's
an open systems environment, allowing easy integration into most buses are equipped with on-board data recorders;
networks. Off-the-shelf printers, scanners, and PCs can be used. • On-line edit checks of mileage are inputted through
Curator is available when the imaging and file management needs are keypad;
ready to implement or expand. • RIH units display a special message (such as inspection
due) to allow link to P.M. Scheduling System;
Integration and implementation: The real power of information • All specified fluid flow is automatically input;
and digitized image management lies in integration with other • Underground tanks are monitored by successfully tested
systems. Curator multimedia imaging software provides an open, system equipment;
flexible system using the hardware and applications software already • Flexible software provides all specified reports. The
in place to run applications being used-word processors, FLEETWATCH Model 100 System Controller Application
spreadsheets, graphics, and presentation managers. Curator's Software for a 386-based microcomputer is installed. This
integration tools represent a significant breakthrough by allowing software will compile, print, and reconcile fluids
completely transparent integration of the existing applications. dispensed, on-hand fluid inventory in each tank, and
receipts of fluid from vendor tank trucks. This software can
System growth: The Curator imaging system provides a growth reside on a PC at each of the facilities with servicing
path from PCs to mainframes and accommodates every type of capability or can be installed on a single PC at a central
digital information storage. Curator imaging system's SQL data base, location with data transfer via dial-up once each day. The
imaging hardware, and software independence offer a seamless path MMIS central computer receives these data transfer files;
for future growth, while also being seamlessly integrated with and
MPAC. The data base automatically retrieves images related to the
• Application software for a PC is provided by S&A
MPAC task being worked on. All the information needed to plan
Systems and written in dBASE III. The normal dBASE III
maintenance activities can be accessed from a Curator workstation.
query commands can be used to produce ad hoc reports for
analysis of servicing transaction data. The dBASE III
Functional applications: Curator has been successfully
report generator can be used to define new reports to be
implemented in many types of businesses to support a vast array of
produced on a regular or on-demand basis.
business activities and needs. Other document and information
management installations and client-server environments in which
Curator imaging software has been implemented and used include
the following: Timeware

• Manufacturing documentation/drawing control, Timeware eliminates manual time cards. It matches the
• Purchase order and invoice processing, organization's pay policies and practices and automates all tasks and
• Accounts payable work-in-process routing of scanned related recordkeeping associated with hourly employees. Minimum
paper documents, data entry is required for corrections and adjustments. The system is
• Legal records management and litigation support, equipped with full-color screens, windows, and available help. Clock
• Personnel records management, transactions can be captured in real time, permitting supervisors to
• Contracts management, know immediately who is absent or present.
Key elements include the following:
• Parts management and inventory, and
• Material safety data sheet tracking.
• The customized system comes with a relational data base
to permit quick and simple modifications. Display screens
and reports are created or modified according to the
Fuel/Fluid Tracking information needs. Timeware's integrated Report Writer
allows for organizations to generate their own reports.
• Extra features include the following: Labor Distribution as
S&A Systems provides the FLEETWATCH Fluid Management employees change department, job, work orders, etc.,
System (FMS) for MARTA. This system is designed specifically for including temporary rates of pay; Attendance History
the transit bus-servicing environment, including the FLEETWATCH reports all tardy occurrences, absences by date and reason,
Fuel Monitoring and Control System for the control and recording of and attendance statistics; Benefit Tracking includes
diesel fuel, gasoline, engine oil, coolant, and automatic transmission automatic accrual of employees' benefits while tracking
fluid dispensed in the vehicle servicing areas. Key features include hours available, hours taken, and the balance of each
the following: benefit.
• Timeware's import/export facility permits transfer of data
• Barcode scanners are stationed overhead in the diesel into the data base or transfer to other applications on the
service bays for automated input of bus numbers; mainframe or other PCs. The interface to the payroll
• Card readers are located on remote island head (RIH) units system or outside payroll service is included. Import
to read barcode labels on employee cards to allow features bring in master file data from the payroll system,
automated input of employee number using the employee's creating the employee data base. Automatic import of new
standard information keeps the data base up-to-date.
• Tempus Systems is the single source for the entire
Timeware system. Tempus delivers a turnkey installation
that includes
 61

software, employee badges, and time and attendance a cafeteria style format, as well as entry of vacation-week picks and
terminals. Customized step-by-step operator instructions vacation relief-bids, are supported by TOS.
are provided. Detailed help screens with examples guide
operators through every step.
Module 4: Each Day's Schedule and Exceptions

METRO-DADE TRANSIT AGENCY (MDTA): Daily schedules have to be modified to handle exceptions.
These exceptions include charters, extra trips, canceled trips, and
TRANSIT OPERATIONS SYSTEM (4)
delayed trips. With this TOS module, personnel can build and modify
the day's work on the computer. Because MDTA starts modifying
schedules several days before the actual day of work, the system
The transit operations system (TOS) is used by transit allows storage of a number of the day's schedule and exceptions at
operations personnel to perform daily operator and vehicle any given time. A number of individuals and sections, including
assignments for bus and rail operations. The system has been scheduling, vehicle maintenance, and public information, can access
implemented and is currently in the warranty period. Training in the the screens. This module also produces reports.
use of the system has been provided to the majority of the users.
The system includes modules for personnel, schedules, operator
bidding, daily production schedules, daily dispatching, timekeeping Module 5: Each Day's Operator Assignments
and payroll, track operator absenteeism, operator performance,
discipline, operator profile and behavior, and community services Each day, TOS tracks operator assignments according to the
complaints or commendations routing. The computer network day's schedule and exceptions. The system allows the operations
includes 65 VT320 computer terminals, 6 highspeed printers, 18 side section to call up and change any assignment as required. Although
printers, and 5 badge readers. The system connects all three bus most work and operator assignments are predetermined, industry
operations divisions and the rail division. Each division has access to trends show that 10 to 20 percent may be modified by exceptions.
the system from computer terminals at the dispatch area, the fare Monitoring this process is a core function of the operations section
islands, the radio dispatch, the maintenance operations and and of TOS. These exceptions then become the basis for exceptions
inspections, the division supervisors, and operations management. In to the scheduled timekeeping transactions.
addition, the system is used by several administrative divisions
including planning and scheduling, planning and development,
controller, and management and information services. Module 6: Each Day's Vehicle Assignments

As a valuable option for properties that want an inexpensive

Module 1: Operator Personal Information method of controlling vehicles, this TOS module tracks vehicle
allocation and adherence to the day's schedule. The module is not a
The main function of TOS is to store key information about replacement for automatic vehicle monitoring (AVM) because
each operator, including operator number, name, seniority date and location is not automatically tracked; however, information can be
rank, seniority number, status, employee number, and general radioed in by street supervisors and immediately entered into the
comments. This module will be used with the Dade County system by radio dispatchers, thus enabling dispatchers to track
personnel system and will download as much information as vehicle availability throughout the day. This module is also useful in
possible, thus reducing data entry as well as errors. However, this locating available vehicles to replace vehicles removed from service
module will contain information that will be transit specific (e.g., because of a roadcall
driving record, accident history, vehicles, and equipment qualified
for).
Module 7: Operator Timekeeping

Module 2: Master Production Schedule After the workday has ended, TOS has, through its exception
tracking, all the information necessary to automatically generate the
The scheduling section of MDTA will pass the appropriate timekeeping transactions for each operator. Because some exceptions
schedule information directly into TOS from MDTA's transit (e.g., reported sickness) cannot be confirmed by the end of the
scheduling system. The productions schedule may then be updated workday, TOS allows for later adjustments to the timekeeping
by either operations or scheduling and TOS has the capacity to store transactions. This module can summarize and display the
multiple versions of the schedule. At a minimum, it holds the transactions in numerous ways-by day, by operator, by type of work,
schedule currently "on the street" and the schedule currently being and by garage-to permit evaluation and review by management.
bid on by operators. Comparison reports are available and exception transactions are
highlighted. The transactions are accumulated and passed to Dade
County's payroll/personnel system in an appropriate format.
Module 3: Operator Bids

When operators choose, in order of seniority, their work for the Module 8: Operator Absentee Tracking
next schedule period, MDTA has a periodic line-up. The operator
bidding module allows for on-line entry of each operators' bid during The absentee control module increases management's ability to
the sign-up process and prints, before sign-up, the reports that must detect and control costly incidents of sickness, no shows, and
be posted for operators to view before they select their work. Both a
rostering (weekly run, current MDTA practice) and
62

lateness. Each day the operator assignment module collects exception Transit Operating System (TOS) Enhancement--The system will
codes on operators (sick, late, no show, vacation, etc.), and the expand the functionality of the current system and provide more
absenteeism module automatically enters them into each operator' s reporting capabilities from the existing data base. Enhancement of
history. The codes, which can be updated after transfer into this TOS would improve dispatching and maintenance functions by
module, should be kept on-line for at least a year. Various reports providing more consistent information regarding operators and
and screens analyze and display the codes by operator, day, code, and vehicles. The project will also eliminate the manual preparation of
month. management reports by permitting extractions of data from the
existing data base. In addition, the enhancements will improve both
consistency of information and quality control of the scheduling and
Additional Interfaces publishing of new service schedules.

Replacement of Metrorail Computer and Communications System

(MCCS)--The system will replace the existing obsolete
During the preparation of the management and information communications and computer equipment with new state-of-the-art
services division information systems master plan, several other equipment. This equipment will improve reliability, operation safety,
interfaces were identified to extend this connectivity even further. and operational emergency response.
Information systems requirements for this planning horizon include
the following. Interface of Metromover Computers System (IMCS)--The system
will provide a link between the Metromover computers and the VAX
Customer Information System (CIS)--The system will improve the cluster so that a uniform time (e.g., National Bureau of Standards)
quality, efficiency, and effectiveness of the route information reference for all transportation services can be maintained. The
provided to the public. The CIS system will provide automated trip system will also provide a uniform time throughout the transit
planning capabilities, schedules, special events, pass sales, and fare system.
information via a voice response unit.
Rail On-Time Performance System (ROPS)--The system will develop
Automatic Telephone Information System (ATIS)--The system will an automated process for collecting and reporting data to verify the
use a state-of-the-art digital voice technology from telephones posted on-time departure of Metrorail trains from the stations and will
at bus stops and rail stations to automatically answer telephone develop more accurate running times. The system will allow MDTA
inquiries for scheduled bus and rail arrival times, service status, and to verify adherence to the established schedule.
other information of interest to the public.
CHOICE/Special Transit Services (STS) Subsystem Enhancement--
Passenger Information Displays System (PIDS)--The system will The subsystem will improve the current system by enhancing and/or
implement an information network that continuously displays, on implementing modules' efficiency of current semimanual processes.
monitors, updated information about the transit service at major bus These modules were identified in the initial project design, namely
stops, bus transfer areas, and rail stations. billing reconciliation, client eligibility verification, and automated
geocoding. Paratransit services may assume the responsibility for
Graphical Aids for Transit Information Agents System (GATIAS)-- booking STS trips. To provide additional service, paratransit services
The system aims to increase and improve the information agents' envisions expanding the clerical staff. Booking STS trips implies
work productivity and environment. Graphical terminals displaying doubling the current work volume, which has increased over 22
trip planning components provide telephone information operators percent since CHOICE was implemented. The project will use
with instant access to accurate information on bus routes and current technology to enhance system capabilities to support
locations of bus stops. transaction growth and to interface the existing system with other
county systems.
Voice Response Unit Equipment System (VRUES) Enhancement--The
system will expand the number of telephone lines used to support the Transit Marketing Information System (TMIS) Enhancement—By
ATIS to handle more customer inquiries. It will maintain a low providing access to existing data bases, TMIS will improve the
operating cost per call and increase ridership and revenue. agency's ability to identify market segments and develop target
markets. The system will allow marketing staff to concentrate on the
Automatic Vehicle Location and Control (AVL/AVM)--The system development of marketing strategies rather than the collection of
will provide improved effective route control by computerized data.
monitoring and controlling of the location, schedule adherence, and
delays of the bus fleet. The system will also provide improved Geographic Information System (GIS) Enhancement--The system
schedule adherence and automatic reporting of running and layover will provide MDTA with the capability to perform analysis and data
times, delays, and service interruptions. manipulation based on proximity, contiguity, containment,
connectivity, and complex correlations, including topological
Staffing Forecasting Model System (SFMS)--The system will be used overlays, polygon merging, feature extraction by attribute, buffer
to develop near-optimal staffing strategies and will calculate staffing generation, attribute manipulation, and the ability to calculate area
requirements based on past absences (e.g., sick leave), anticipated and perimeter of polygons and length of lines.
absences (e.g., annual leave), and planned revenue service schedules.
The model will assist in budget preparation and will determine Transit Planning Management System (TPMS)--The system will
availability of expected labor hours for "what-if' analysis. Data will improve the data collection procedures to obtain and maintain current
be automatically extracted from the appropriate files and combined and reliable ridership information at the levels required to make
to generate the required reports, thus reducing substantial hours in planning and scheduling decisions. This system will provide bus
the gathering of information and preparation of ad hoc reports by ridership information by route/run/time period and location;
operations staff.
 63

this will allow planning staff to optimize the bus service schedule by vehicle availability information in EMS. These data would continue
adding or deleting service based on more accurate information. to be entered into TOS and be automatically transmitted to EMS. The
entry of roadcalls, as well as the "deading" of vehicles due to
Transit Scheduling System (TSS) Enhancement--The enhancement mechanical failures, will also be transmitted to EMS, resulting in the
entails implementing new technology to help the transit schedule automatic creation of EMS repair orders and elimination of EMS
makers develop more cost-effective assignments. The use of data entry related to vehicle availability. Vehicle maintenance
graphical scheduling tools has shown significant advantages since its supervisors would no longer need to open EMS repair orders because
introduction to the industry. In addition, new products to calculate automated work scheduling functions could be created in EMS and
optimum legal runcuts, using mathematical optimization algorithms implemented in the vehicle maintenance facilities.
with computer assistance, have been used recently to reduce operator
payroll and increase revenue service. Automated Requisition Tracking--This project is an enhancement to
the material management system (MMS) and will create an
Metropass Sales Analysis Subsystem (MSAS)--The system will be automated system to track the status of Dade County purchase
part of the monthly pass/tokens sales system. Because MSAS has requisitions and small purchase orders.
grown beyond a PC capability and needs to be converted to a VAX
application, the system will improve the monthly pass/token sales TRES/MMS Automated Issue Ticket System (TMITS)--The system
analysis capability and use, maintain information on pass sales and located at all MDTA materials management storerooms (bar coding
use, and allow for sales monitoring at specific outlets. The system system) will allow the implementation of on-line, real-time parts
will also allow analysis of trends in pass sales and use by transit issues from TRES, eliminating handwritten issue tickets.
patrons.
Contracts Tracking System (CTS)--The system will create an
Attitude Tracking System (ATS)--The system will be part of the automated system to assist MDTA users in tracking contracts. The
transit survey system and will collect, maintain, process, and provide system will also provide the ability to follow the lifecycle
the ability to analyze all the attitude tracking information collected progression of contracts and serve as a source of reference for
by the agency in steering future operating and financial policy. The particular individual contracts.
system will maintain information on transit attitudes, identify target
areas for marketing campaigns/programs, and identify changes in Personnel Automated Logging System II (PALS-II)--The system is
attitudes resulting from both internal and external factors. intended to provide all authorized MDTA users with a single
computerized source, which combines and enhances the best features
Labor Productivity Management Subsystem (LPMS)--The system of all other personnel systems currently used in the department. The
will be part of the equipment management system and will improve system represents a decentralized approach to human resources
productivity and labor planning in the bus, rail, and mover information administration and was designed to benefit all MDTA
operations. The system will be used to establish standards for divisions, including personnel. The system will provide each
productivity analysis and budget preparation and to increase authorized MDTA user with one consolidated source containing the
productivity in maintenance operations. most current and consistent human resources information; will
eliminate the maintenance of conflicting versions of the same data;
Automated Fuel Management System (AFMS)--The system will will reduce paperwork and forms processing by entering all data
provide a more accurate method of capturing information related to directly into the system; will reduce the lag time resulting from
fuel and fluids activities in Metrobus and will reduce the need for document forwarding and inter-office mail by electronically
manual intervention during the fueling process, as well as eliminate forwarding documents requiring multiple levels of review or
the need for the manual recording and data entry of fuel/fluids approval; and will produce personnel-related documents and reports
consumption and odometer readings. The system will provide more more quickly, using far less manual effort. Authorized users will be
accurate monitoring and managing of fuel and fluids inventories in provided with the ability to produce ad hoc reports based on any data
MDTA's potential liability for environmental cleanup. A vehicle contained within PALS-II.
monitoring component will provide information related to the
operating characteristics of each vehicle, which may aid in the early Rotable Component Control System (RCCS)--A rotable component is
diagnosis of mechanical difficulties. The vehicle monitoring defined as a controlled component consisting of a rebuildable unit.
component will also capture information related to each vehicle The system will track and document the purchase, issuance,
operator's driving behavior, such as speed, braking, and idle time. maintenance, failure, and rebuilding (as applicable) of rotable
This information will be helpful in evaluating individual driver components used to support the operation of equipment in the transit
performance and will serve as a precise record of vehicle operation in system, as well as maintain the identity of individual rotables. The
instances when accident investigation is necessary to determine system will also automate items/components that cause a gap
accountability. between EMS and MMS.

Equipment Management System (EMS) Enhancement--The system Section 15 Reporting Enhancement (SRS)--The system will facilitate
will allow the use and tracking of parts outside the original OEM the collection and reporting of data used for the preparation of the
warranties by means of a component control tag. Bus-in-service Federal Transit Administration's (FTA) Section 15 report forms.
failures will be captured in an on-line mode and associated with Additionally, it will lay the foundation for Data Unification data
resulting repair order activity, which will facilitate the analysis of collection and storage.
recurring problems and monitoring effectiveness of repairs.
Executive Information System (EIS)--This system will use graphs and
EMS/TOS Interface System (ETIS)--The system will develop a high-level summaries to keep senior management informed of key
communications interface to eliminate the need to enter and maintain performance indicators and general agency information. During the
past several years, MDTA has implemented several computer
64

applications that capture large volumes of data. The effort behind information from many sources, both internal and external, on
EIS is to make better use of these data by presenting them more performance, effectiveness, and efficiency measures and indicators.
concisely. As MDTA continues to grow in the next 5 years, the The system will allow management to view operational, financial,
agency believes that monitoring the MDTA Strategic Plan goals will and administrative statistical information dealing with agency
be the key to success. The EIS will assist MDTA management by performance. The system will also allow management to easily
providing easy-to-use, current information that will be custom project growth based on illustrated performance indicators.
tailored to senior management.

Automated Stock Reconciliation System--The system will acquire and METRA (METROPOLITAN RAIL): INFORMATION
implement the necessary hardware and software to effectively and
efficiently carry out inventory control. The system will reduce the
SYSTEMS FOR REVENUE TICKET DISTRIBUTION
present level of manual data entry by using bar coding to improve the AND SALES STATUS
speed and accuracy of data entry activities.
Introduction
Monthly Pass/Token Sales System Enhancement (MPTSS)--The
system will enhance the current one to accommodate increasing pass Project Objectives
and token sales by monitoring sales at specific outlets, and analyzing
trends in sales and use by transit patrons. The system will make The main objective of this project is to maintain an accurate,
growing pass and token sales more manageable, as well as increase up-to-date, and efficient ticketing and revenue system that will help
data editing capabilities. preserve Metra customer satisfaction and confidence. To achieve
this, Metra could do the following:
Transit Safety Information System (TSIS) Enhancement--The system
will include three new subsystems that will be part of the existing • Completely automating the ticketing functions from
transit safety system structure. These systems are as follows:(1) the inventory to point of sale to accounting reporting.
industrial safety subsystem to accumulate and analyze industrial • Automating to include contract carriers.
accident data, which will be used to implement safety programs to • Electronically transferring data to replace current manual
reduce the number and severity of industrial accidents; (2) the methods.
passenger accident/unusual occurrence subsystem to catalog • Electronically transferring data to more quickly update the
corrective actions and measure the impact of such actions over the status of all files.
implementation period; and (3) the safety index and documentation • Replacing multiple PC systems, which do not presently
subsystem to facilitate document storage and retrieval, and provide communicate with one another, with one integrated
the Office of Safety and Assurance real-time identification and system.
retrieval of transit safety documents. • Readjusting ticket services position to other responsibilities
if current position functions are eliminated.
Paratransit Services Routing and Dispatching--This system will • Reducing customer wait time in line to purchase tickets by
provide the capability to create automated fleet routing and
using the new technologies now available.
scheduling for paratransit trips and to monitor and dispatch vehicles
• Creating a complete set of user and operation
assigned to service paratransit customers. The monitoring system
documentation.
should then provide on-time performance reporting capabilities. The
system will improve customer service and schedule adherence
Project Scope
capabilities and will minimize customer service cost by taking
advantage of improved routing and scheduling technology and
The study is to examine all of the following:
increasing accountability of trips provided for billing purposes.
• Revenue accounting functions,
STS Management System--This system will automate various areas of
the STS operations and management, increasing efficiency and • Revenue accounting reports,
productivity to provide better customer service while controlling • Ticket inventory and distribution procedures,
expenses. The system will automate the contract monitoring data • A possible interface with the new crew system,
base-complaints, vehicle condition, and on-time performance-and • Interaction with the ticket-by-mail system,
will provide routine reports on contractor performance. The system • A possible linkage with the accounts payable system, and
will also assess and maintain records of liquidated damages for lack • Relevance of new hardware and software
of contractual compliance. --Handheld point of sale machines for train workers
--Systems that will batch and endorse checks.
Materials Management System (MMS)--This new system will
replace the current TRES MMS (inventory system). The primary Technology Under Review
objective of the proposed system is to create an enhanced, integrated
support environment for purchasing, inventory control, material Ticket Printing
distribution, and financial/audit management. This system upgrade
will allow MDTA to improve employee productivity, increase The following two companies have presented information
vehicle reliability, improve critical parts availability, reduce overall regarding the printing capabilities of their equipment: Features of
maintenance costs, and reduce inventory costs. Telkor, based in South Africa:
Executive Information System (EIS)--Phase II of this system will • Prints one type of stock at a time,
provide management with immediate, easily accessible, and reliable
• Thermal printing (eliminates the use of holograms),
• Magnetic encoding capabilities, and
 65

• Component of the British Rail Ticketing System. and decreased data entry strokes. Disadvantages include increased
number of data screens needed, difficult data screen manipulation,
Features of Boca, based in Indiana: and cost increase of PC workstations.

• Prints one type of stock at a time,

• Thermal printing, and Electronic Register Workstation
• Currently used by NICTD (South Shore Line).
The demonstration of CASIO electronic cash registers
Using the information presented, the team identified the illustrated the following advantages and disadvantages. Advantages
following advantages and disadvantages. Advantages included included using the price look-up structure to capture the rail line,
cheaper printing costs (1/2 cent versus 2 cents) by Boca and in-house ticket type, zone, and price with two keystrokes, and generating end-
ticket number assignment. Disadvantages included possible machine of-day totals without additional data entry. Disadvantages included
malfunctions and degraded counterfeiting safeguards (monthly). the need to develop and use a matrix key to determine the two
keystrokes for each ticket type and rail line combination, and the
absence of an individual ticket tracking capability.
Railroad Ticket Accounting Software

The CAPRI Financial System, the software used to coordinate Train Workers Ticket Printing
British Rail's nationwide system, could accommodate Metra's
accounting needs after some downsizing modifications. Currently, The information gathered indicates the following advantages
Metra is waiting to receive a sample document of the to and disadvantages. Advantages include elimination of cash fare
specifications needed request a cost estimate. discrepancies, elimination of manual end-of-day calculations, and
reduction of cash handling data entry to data transfer. Disadvantages
PC Workstation Bar Coding include increased equipment responsibility, difficulties of machine
malfunctions, and possible labor union repercussions.
The demonstration presented by Thomas Data Systems, bar
coding specialists, generated the following advantages:
Items Currently Under Investigation
• Increased speed,
• Increased accuracy, • IBM store system workstation,
• In-house software, • New network structure of automated files and data
• Ticket number capture, collection, and
• Decreased bland stock discrepancies, • Shift of data entry of train worker form 1332 data from
revenue accounting to the train workers.
• Elimination of sequence selling difficulties,
• Major reduction of data entry keystrokes,
• Faster ticket agent end-of-day status reporting,
REFERENCES
• Internal bar code printing on current hardware, and
• External bar code printing one-time $200 charge. 1. Geographic Information Systems Project, Phase I Feasibility
Study, Seattle Metro, Seattle, Washington (March 1993).
The disadvantage is the estimated one-time expense of $1,500 2. Operation Support System, Concept of Operation, Seattle
per workstation. Metro, Seattle, Washington (March 1994).
3. Operation Support System Project, Proposal for Alternative
Analysis Phase, Seattle Metro, Seattle, Washington (January
PC Workstation Touch Screen 1994).
4. Transit Operations System (TOS), Metro-Dade Transit Agency,
The information gathered so far indicates the following Miami, Florida (1994).
advantages and disadvantages. Advantages include conceptual ease-
of-use
 66

APPENDIX B

QUESTIONNAIRE

TRANSIT COOPERATIVE RESEARCH PROGRAM 4th generation languages (e.g. SAS, Focus) __________________________________________
SYNTHESIS TOPIC SG-3
“MANAGEMENT INFORMATION SYSTEMS” CASE ________________________________________________________________________

1994 QUESTIONNAIRE Report/query ___________________________________________________________________

The purpose of this questionnaire is to determine the current 'state-of-the-practice' of management information Presentation/graphics ____________________________________________________________
systems (MIS). Of particular importance in this evaluation process is the level of integration of special-purpose
software (e.g. electronic fareboxes, Smartcards, etc.) into the overall information system of transit agencies. Is a system development methodology (SDM) in use? Yes [] No []
This questionnaire is organized around four basic management and operational areas: ADMINISTRATION,
PLANNING AND OPERATIONS, MATERIALS MANAGEMENT, and HIGH TECHNOLOGY SYSTEMS. Please identify the SDM__________________________________________________________

We are interested in what software systems and hardware platforms are currently in place; what product What is the size of the system staff? _____________ (If some are part time, please give full-time
vendors were involved; what interfaces exist within the management and operations areas as well as across equivalents)
those area boundaries; what current problems exist; and what expansion is planned.
Numbers FTEs
In order to obtain the highest quality information and documentation available, we ask you to please attach to (1) Programmers_______________________ _______________________________
this completed questionnaire any supporting materials which detail your systems (examples include long-range
information systems plans, management reports, internal memos, consultant/vendor reports, etc.)
(2) Analysts___________________________ _______________________________
(3) Operator___________________________ _______________________________
Please provide the name of the person who may be contacted by Mr. Boldt for clarification (4) Administrators/other_________________ _______________________________
or further information. (5) Total______________________________ _______________________________

Name ____________________________________________________________________________________ Is a service bureau/major packages used? Yes [] No []

Title ____________________________________________________________________________________
Agency __________________________________________________________________________________ If so, please describe ____________________________________________________________
Address __________________________________________________________________________________ _____________________________________________________________________________
_____________________________________________________________________________
Telephone _______________________________________ Fax__________________________________
_____________________________________________________________________________
OVERVIEW OF MIS ENVIRONMENT (If the following functional organization does not conform to your environment please substitute
appropriate descriptions.)
What is the general MIS Environment?
Hardware platform________________________________________ ADMINISTRATION Please identify:
Word Processing and Administrative Systems used:
Database________________________________________________
Software (i.e. WordPerfect, Harvard Graphics, dBase IV, Lotus)____________________
Language_______________________________________________
Hardware (i.e. IBM PS 2, and PC clones)_______________________________________
Network________________________________________________
Operating System (i.e. MS/PC- DOS) __________________________________________
Are special tools used? Yes [] No []
If yes,
 67

Network (Le. Novell 3.x) __________________________________________________________ Interfaces with:

Please indicate interfaces between systems Interfaces with: Network ____________ _____________

Accounting Other systems (add additional pages when necessary)

Software (i.e. McCormick & Dodge, COBOL,
CICS, Hierarchical DB) _______________ _________________ Software ____________ _____________

Hardware (i.e. IBM 9121/210) _______________ _________________ Hardware ____________ _____________

Operating System (i.e. IBM, _______________ _________________ Operating System ____________ _____________
MVS/ESA)
Network ____________ _____________
Network (i.e. IBM Systems Network _______________ _________________
Architecture (SNA)) Please describe future plans for Administration Systems ____________________________________
_______________________________________________________________________________________
Payroll _______________________________________________________________________________________
Software _______________ _________________ _______________________________________________________________________________________
_______________________________________________________________________________________
Hardware _______________ _________________ _______________________________________________________________________________________

Operating System _______________ _________________ Please describe problems or obstacles that you have encountered in Administration Systems ________
_______________________________________________________________________________________
Network _______________ _________________ _______________________________________________________________________________________
_______________________________________________________________________________________
Fixed assets _______________________________________________________________________________________
Software _______________ _________________ _______________________________________________________________________________________

Hardware _______________ _________________ PLANNING AND OPERATIONS (indicate where there are interfaces between systems)

Operating System _______________ _________________ Section 15 Reporting Interfaces with:

Network _______________ _________________ Software (i.e. dBase III) ____________ _____________

Grant management Hardware (i.e. IBM PC Stand alone) ____________ _____________

Software _______________ _________________
Operating System (i.e. MS/PC- DOS) ____________ _____________
Hardware _______________ _________________
Network (i.e. none) ____________ _____________
Operating System _______________ _________________
Scheduling/Run-cutting/Rostering
Network _______________ _________________ Software (i.e. SAGE Minischeduler,
Run-cutter & rostering) ____________ _____________
Human resources
Software _______________ _________________ Hardware (i.e. DEC VAX) ____________ _____________

Hardware _______________ _________________ Operating System (i.e. VAX/VMS) ____________ _____________

Operating System ____________ _____________

 68

Interfaces with: Please describe problems or obstacles that you have encountered with Planning and Operations _____________________
________________________________________________________________________________________________________
Network (i.e. DEC VAX cluster) ____________ _____________ ________________________________________________________________________________________________________
________________________________________________________________________________________________________
GIS ________________________________________________________________________________________________________
Software ____________ _____________ ________________________________________________________________________________________________________

Hardware ____________ _____________

(Please attach and/or substitute any materials which detail your Planning and Operations Information System)
Operating System ____________ _____________

Network ____________ _____________ MATERIALS MANAGEMENT (indicate where there are interfaces between systems) Interfaces with:

Farebox (including ATM, Passenger Inventory

counting, Smartcard, etc.) ____________ _____________ Software ____________ _____________

Software ____________ _____________ Hardware ____________ _____________

Hardware ____________ _____________ Operating System ____________ _____________

Operating System ____________ _____________ Network ____________ _____________

Network ____________ _____________ Maintenance

Software ____________ _____________
Safety/training ____________ _____________
Hardware ____________ _____________
Software ____________ _____________
Operating System ____________ _____________
Hardware ____________ _____________
Network ____________ _____________
Operating System ____________ _____________
Purchasing
Network ____________ _____________
Software ____________ _____________
Other systems (add additional pages when necessary)
Hardware ____________ _____________
Software ____________ _____________
Operating System ____________ _____________
Hardware ____________ _____________
Network ____________ _____________
Operating System ____________ _____________
Other systems (add additional pages when necessary)
Network ____________ _____________ Software __________________________________________________________________________________________
________________________________________________________________________________________________________
Please describe future plans for Planning and Operations __________________________________________________
________________________________________________________________________________________________________
________________________________________________________________________________________________________
________________________________________________________________________________________________________
________________________________________________________________________________________________________
________________________________________________________________________________________________________
 69

Hardware ________________________________________________________________ Interfaces with:

______________________________________________________________________________ Operating System _______________ ___________________

Network _______________________ ___________________

Operating System __________________________________________________________
______________________________________________________________________________ Signal preemption
Software ______________________ ___________________
Network __________________________________________________________________
______________________________________________________________________________ Hardware ______________________ ___________________

Operating System ________________ ___________________

Please describe future plans for Materials Management Systems _____________________
______________________________________________________________________________ Network _______________________ ___________________
______________________________________________________________________________
______________________________________________________________________________ Ride matching
______________________________________________________________________________ Software ______________________ ___________________
______________________________________________________________________________
Hardware ______________________ ___________________
Please describe problems or obstacles that you have encountered with Materials
Operating System ________________ ___________________
Management Systems ____________________________________________________________
______________________________________________________________________________ Network _______________________ ___________________
______________________________________________________________________________
______________________________________________________________________________ Other systems (add additional pages when necessary)
______________________________________________________________________________ Software ______________________ ___________________
______________________________________________________________________________
Hardware ______________________ ___________________
(Please attach and/or substitute any materials which detail your Materials Management Operating System _______________ ___________________
Information System)
Network ______________________ ___________________

HIGH TECHNOLOGY SYSTEMS (indicate where there are interfaces Please describe future plans for High Technology Systems _____________________________________
between systems) Interfaces with: _________________________________________________________________________________________
_________________________________________________________________________________________
Automated Vehicle Location Please describe problems or obstacles that you have encountered with High Technology Systems
Software __________________ __________________ _________________________________________________________________________________________
_________________________________________________________________________________________
Hardware _________________ __________________
(Please attach and/or substitute any materials which detail your High Technology Information Systems)
Operating System __________ __________________
Please return completed questionnaire packages by March 8, 1994, to:
Network _________________ __________________ Roger Boldt
1596 470th Street
Cable TV Kalona, IA 52247
Software __________________ __________________
THANK YOU VERY MUCH FOR YOUR PARTICIPATION.
Hardware _________________ __________________
70

APPENDIX C

INTERVIEW GUIDE

TRANSIT COOPERATIVE RESEARCH PROGRAM Is a service bureau/major packages used? Yes [_] No [_]
SYNTHESIS TOPIC SG-3: "MANAGEMENT INFORMATION SYSTEMS"
1994 INTERVIEW GUIDE If so, please describe. ________________________________________________________________
_______________________________________________________________________________________
The purpose of this questionnaire is to determine the current "state-of-the-practice" of management information _______________________________________________________________________________________
systems (MIS). Of particular importance in this evaluation process is the level of integration of special-purpose
software into the overall information system of transit agencies. What MIS areas are critical to the strategic and business issues of your organization? ___________________
_________________________________________________________________________________________
Name __________________________________________________________________________________ _________________________________________________________________________________________

Title ___________________________________________________________________________________ Are there particular areas of MIS/technology that you are focusing on? _______________________________
Agency _________________________________________________________________________________ _________________________________________________________________________________________
Address_________________________________________________________________________________ _________________________________________________________________________________________

Telephone ___________________________________ Fax __________________________ What current or recent MIS programs demonstrate the integration of special software systems into your overall
management information system? _____________________________________________________________
OVERVIEW OF MIS ENVIRONMENT _________________________________________________________________________________________
_________________________________________________________________________________________
What is the general MIS Environment?
Hardware platform _______________________________________________________ When did you begin? __________________________________________________________________
Database _______________________________________________________________
Language ______________________________________________________________ What stage are you? ___________________________________________________________________
Network ______________________________________________________________ ____________________________________________________________________________________

Are special tools used? Yes [_] No [_] What is your level of documentation? _____________________________________________________
If yes, ____________________________________________________________________________________
4th generation languages (e.g., SAS, Focus) ___________________________________________
CASE _________________________________________________________________________ What is the applicability/transferability to other transit properties? ____________________________________
Report/query ____________________________________________________________________ _________________________________________________________________________________________
Presentation/graphics _____________________________________________________________ _________________________________________________________________________________________

Is a system development methodology (SDM) in use? Yes [_] No [_] What problems have you encountered? _________________________________________________________
_________________________________________________________________________________________
Please identify the SDM _______________________________________________________________ _______________________________________________________________________________________ __

What is the size of the system staff?___________(If some are part-time, please give full-time What do you plan to do in the future? __________________________________________________________
equivalents) _________________________________________________________________________________________
Numbers FTEs _________________________________________________________________________________________
(1) Programmers _________________ _________________
(2) Analysts _____________________ _________________ What are the key critical success factors (CSF) for transit MIS is their order of priority?
(3) Operator _____________________ _________________ _________________________________________________________________________________________
(4) Administrators/other ___________ _________________ _________________________________________________________________________________________
(5) Total _______________________ _________________ _________________________________________________________________________________________
 71

APPENDIX D

TRANSIT AGENCIES VISITED

First Tier • New York City Transit

MTA New York City Transit
• Municipality of Metropolitan Seattle (Seattle Metro) 130 Livingston Street
821 Second Avenue Brooklyn, NY 10017
Exchange Building Seattle, WA 98104 4,200 buses; 8,150 rail cars
1,272 buses; 290 vans
• Toronto Transit Commission (TTC)
1900 Yonge Street Second Tier
Toronto, Ontario
Canada M4S 1Z2
1,720 buses; 730 rail cars • Five Seasons Transportation
• Metropolitan Atlanta Rapid Transit Authority (MARTA) Cedar Rapids, IA
2424 Piedmont Road, N. E. 40 buses
Atlanta, GA 30324 • LIFTS - Linn County Transportation
810 buses; 260 rail cars Cedar Rapids, IA
• Metro-Dade Transit Agency (MDTA) 18 paratransit vans
111 N. W. First Street 9th Floor • Des Moines Metropolitan Authority
Miami, FL 33128 Des Moines, IA
550 buses; 140 rail cars 82 buses; 25 paratransit vans
• San Francisco Bay Area Rapid Transit (BART) • Iowa City Transit
800 Madison Street Iowa City, IA
P. O. Box 12688 21 buses
Oakland, CA 94604-2688 • Cambus, University of Iowa Transit
610 rail cars Iowa City, IA
• Metra (Metropolitan Rail) 14 buses
547 West Jackson Boulevard • Johnson County SEATS
Chicago, IL 60606 Iowa City, IA
220 electric rail cars; 710 hi-liners 12 paratransit vans
72

APPENDIX E

OAHU TRANSIT SERVICES, Inc. QUESTIONNAIRE SUMMARY e. Is a service bureau/major packages used? If yes, please describe. Yes, Payroll
Processing (Ceridian, CDC). Financials (Global Software, Inc. ), CASS (Sage),
ECASS (OMG). Radio Dispatch (TDS2500 Motorola)

2. Administration (interfaces between systems are indicated when present)

Agency Oahu Transit Services. Inc.
Address 811 Middle Street. Honolulu. Hawaii 96819 a. Word processing and Administrative Systems
(1) Software WordPerfect, Harvard Graphics, DBIII+. Lotus, Foxpro,
Notework (E-mail), Ontime (Calendar), Easyflow (Flowchart)
1. Overview of MIS environment (2) Hardware IBM PS/2
(3) Operating System MS DOS, 05/2
a. What is the general? (4) Network Novell 3.11
(1) Hardware platform IBM Mainframe, PC LAN
(2) Database FOCUS, DBIII+ Interfaces with:
(3) Language COBOL, CLIPPER
(4) Network NOVELL LAN b. Accounting
(1) Software Global. Cobol, CICS Maintenance
b. Are special tools used? yes (MMS/SIMS
(1) 4th generation languages SAS, FOCUS (2) Hardware IBM 3083, 3090 __________________
(2) CASE N/A (3) Operating System MVS __________________
(3) Report/query R & R Report Writer (4) Network N/A __________________
(4) Presentation/graphics Harvard Graphics
c. Payroll
c. Is a system development methodology (SDM) is use? If yes, identify Yes. (1) Software Orchestrator (Ceridian) __________________
in-house developed, basically a phased approach. FoxBase (In-house) __________________
(2) Hardware IBM PS/2 General Manager
d. What is the size of the system staff? 6 (If some are part-time, please give (3) Operating System MSDOS __________________
full-time equivalents) (4) Network N/A __________________
(1) Programmers _________
(2) Analysts /Programmers 5 d. Fixed assets
(3) Operators ____________ (1) Software FAS 1000 (Best) __________________
(4) Administrators/other 1 (2) Hardware IBM PS/2 N/A
(5) Total 6 (3) Operating System MSDOS __________________
(4) Network N/A __________________

e. Grant management
(1) Software N/A __________________
 73

(2) Hardware N/A __________________ (3) Operating System VAX/VMS, MSDOS __________________
(3) Operating System N/A __________________ (4) Network VAX Cluster. Novell 3.11 __________________
(4) Network N/A __________________
c. GIS
f. Human resources (1) Software N/A __________________
(1) Software TOPPS (Clipper In-house) Safety (SINFO) (2) Hardware N/A __________________
(2) Hardware IBM PS/2 Scheduling (ECASS) (3) Operating System N/A __________________
(3) Operating System MSDOS __________________ (4) Network N/A __________________
(4) Network Novell 3.11 __________________
d. Farebox
g. Other systems (1) Software GFI (Install 20/94) __________________
(1) Software Notebook (E-mail) __________________ (2) Hardware IBM PS/2 __________________
(2) Hardware IBM PS/2 __________________ (3) Operating System MSDOS __________________
(3) Operating System MS DOS __________________ (4) Network Novell 3.11 __________________
(4) Network Novell 3.11 __________________
e. Safety/training
h. Future plans for administration systems. Enhancements to TOPPS for safety (1) Software SINFO (Foxbase In-house) Personnel (TOPPS)
and Payroll, upgrade to Financial Systems. connection of E-mail to City and County (2) Hardware IBM PS/2 __________________
of Honolulu Departments, and connection of Halawa Bus Facility to Novell LAN. (3) Operating System MSDOS __________________
(4) Network N/A __________________
1. Problems/obstacles in administration systems. Standardization of regulations and
procedures: coordination of all departments on needs and training facilities. f. Other systems
(1) Software Radio Dispatch (TC52500) Scheduling
3. Planning/Operations (interfaces between systems are indicated when present) (2) Hardware PDP1184 __________________
(3) Operating System DEC VMS __________________
Interfaces with: (4) Network N/A __________________
a. Section 15 Reporting
(1) Software FOCUS (In-House) __________________ g. Future plans for Planning/Operations. Upgrade to CASS system to IBM
(2) Hardware IBM PS/2 __________________ PS/2 Novell Platform. Replacement of Radio Dispatch System. Integration of SINFO
(3) Operating System MSDOS __________________ (Safety) System into TOPPS. Implementation of a Fuel Monitor System.
(4) Network N/A __________________
h. Problems/ obstacles with Planning/Operations. High cost of systems and the
b. Scheduling/ run-cutting/rostering complexities of the interface with each other. Requires considerable planning and
(1) Software CASS (Sage). ECASS (OMG) Personnel (TOPPS) funds to implement or improve.________________________________________________
(2) Hardware Micro-VAX, IBM PS/2 Radio Dispatch (TD52500)
74

4. Materials Management (interfaces between systems are indicated when present)

Interfaces with:

a. Inventory
(1) Software Global, Cobol, CICS Purchasing System
(2) Hardware 3083/3090 MMS/SIMS
(3) Operating System MVS __________________
(4) Network N/A __________________

b. Maintenance
(1) Software MMS/SIMS (Cobol In-house) General Ledger
System
CICS __________________
(2) Hardware IBM 3083/3090 __________________
(3) Operating System MVS __________________
(4) Network N/A __________________

c. Purchasing
(1) Software Global, Cobol, CICS Inventory System
(2) Hardware IBM 3083/3090 __________________
(3) Operating System MVS __________________
(4) Network N/A __________________

d. Future plans for Materials Management Systems. Upgrade to Inventory

System and Purchase Order System. Addition of Accounts Receivable System
to complete ordering cycle. Closer integration of those systems to G/L.

e. Problems/ obstacles with Material Management Systems. N/A

5. High Technology Systems: Currently OTS does not possess a high technology
system.

a. Future plans for Technology Systems. AVL study is planned for 1995.

b. Problems/ obstacles with Technology Systems. Cost benefit justifications

based on unique physical limitations of Hawaii.
 75

APPENDIX F

ORANGE COUNTY TRANSPORTATION AUTHORITY QUESTIONNAIRE 2. Administration (interfaces between systems are indicated when present)
SUMMARY
a. Word processing and Administrative Systems
(1) Software Word Perfect, Lotus, Harvard, Paradox
(2) Hardware NEC 486/66i - 33i
(3) Operating System MS DOS/PC
(4) Network Banyan Vines 5.0

Agency Orange County Transportation Authority Interfaces with:

Address 550 S. Main St., P.O. Box 14184, Orange. CA 92613-1584 b. Accounting
(1) Software IFAS (Interactive Fund Accounting System)
(2) Hardware HP 9000 __________________
1. Overview of MIS environment (3) Operating System Unix __________________
(4) Network Vines __________________
a. What is the general?
(1) Hardware platform NED Image/Power Mate c. Payroll
(2) Database Foxpro, Paradox, RBase (1) Software COBOL __________________
(3) Language COBOL, C+, INFORMIX, FORTRAN (2) Hardware Prime/HP9000 __________________
(4) Network Banyan Vines (3) Operating System Primos/Unix __________________
(4) Network Vines __________________
b. Are special tools used? yes
(1) 4th generation languages INFORMIX d. Fixed assets
(2) CASE None (1) Software TRAPEZE/94' __________________
(3) Report/query None (2) Hardware Banyan Vines __________________
(4) Presentation/graphics Harvard/MICROGRAFX _________________
(3) Operating System Primos/Unix __________________
c. Is a system development methodology (SDM) is use? If yes, identify. No (4) Network Vines __________________

d. What is the size of the system staff? 34 (If some are part-time, please give e. Grant management
full-time equivalents) (1) Software IFAS __________________
(1) Programmers 2 (2) Hardware Prime/HP9000 __________________
(2) Analysts 9 (3) Operating System Primos/Unix __________________
(3) Operators 4 (4) Network Vines __________________
(4) Administrators/other 19
f. Human resources
e. Is a service bureau/major packages used? If yes, please describe. No (1) Software COBOL __________________
76

(2) Hardware Prime/HP9000 __________________ e. Safety/training

(3) Operating System Primos/Unix __________________ (1) Software In-House __________________
(4) Network Vines __________________ (2) Hardware In-House __________________
(3) Operating System In-House __________________
h. Future plans for administration systems Windows-based, applications for (4) Network In-House __________________
information availability.
f. Other systems: Fuel System - NBCS
i. Problems/obstacles in administration systems Network - slow processing at times. (1) Software Proprietary MAPS (Maintenance)
(2) Hardware Austine __________________
(3) Operating System MS DOS __________________
3. Planning/Operations (interfaces between systems are indicated when present) (4) Network N/A __________________

Interfaces with: g. Future plans for Planning/Operations Network Base Applications for information
a. Section 15 Reporting availability.
(1) Software INFORMIX __________________
(2) Hardware Prime/HP9000 __________________ h. Problems/ obstacles with Planning/Operations None
(3) Operating System Primos/Unix __________________
(4) Network Vines __________________
4. Materials Management (interfaces between systems are indicated when present)
b. Scheduling/ run-cutting/rostering
(1) Software __________________ __________________ Interfaces with:
(2) Hardware Prime/HP9000 __________________ a. Inventory
(3) Operating System Primos/Unix __________________ (1) Software MAPS (Maintenance, Accounting, Purchasing System)
(4) Network __________________ __________________ (2) Hardware Prime/HP9000 __________________
(3) Operating System Primos/Unix __________________
c. GIS (4) Network None __________________
(1) Software Arc Info/Tranplan __________________
(2) Hardware IBM RX6000 __________________ b. Maintenance
(3) Operating System Unix __________________ (1) Software MAPS IFAS (material costs)
(4) Network Subnet – NFS __________________ (2) Hardware Prime/HP9000 PR (Labor)
(3) Operating System Primos/Unix PR (employee info)
d. Farebox (4) Network None __________________
(1) Software GFI Prime
(2) Hardware Data System __________________ c. Purchasing
(3) Operating System Compaq 386 __________________ (1) Software MAPS __________________
(4) Network MS DOS __________________
 77

(2) Hardware Prime/HP9000 __________________

(3) Operating System Primos/Unix __________________
(4) Network None __________________

d. Other systems
(1) Software DBE Management (Prime) MAPS
Contracts Tracking (Prime) MAPS
(2) Hardware None __________________
(3) Operating System None __________________
(4) Network None __________________

e. Future plans for Materials Management Systems Full integration with

HP9000/Unix platform with windows integration.

f. Problems/ obstacles with Material Management Systems None

5. Technology Systems: None at this point and no immediate plans for future
systems.
THE TRANSPORTATION RESEARCH BOARD is a unit of the National Research Council, which serves the National
Academy of Sciences and the National Academy of Engineering It evolved in 1974 from the Highway Research Board, which
was established in 1920. The TRB incorporates all former HRB activities and also performs additional functions under a broader
scope involving all modes of transportation and the interactions of transportation with society. The Board's purpose is to
stimulate research concerning the nature and performance of transportation systems, to disseminate information that the research
produces, and to encourage the application of appropriate research findings. The Board's program is carried out by more than 270
committees, task forces, and panels composed of more than 3,300 administrators, engineers, social scientists, attorneys,
educators, and others concerned with transportation; they serve without compensation. The program is supported by state
transportation and highway departments, the modal administrations of the U.S. Department of Transportation, the Association of
American Railroads, the National Highway Traffic Safety Administration, and other organizations and individuals interested in
the development of transportation.

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in
scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general
welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to
advise the federal government on scientific and technical matters. Dr Bruce Alberts is president of the National Academy of
Sciences.

The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a
parallel organization of outstanding engineers It is autonomous in its administration and in the selection of its members, sharing
with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of
Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and
recognizes the superior achievements of engineers. Dr. Robert M.White is president of the National Academy of Engineering.

The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent
members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts
under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal
government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Kenneth
I. Shine is president of the Institute of Medicine.

The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad
community of science and technology with the Academy's purposes of furthering knowledge and advising the federal
government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal
operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to
the government, the public, and the scientific and engineering communities The Council is administered jointly by both
Academies and the Institute of Medicine. Dr. Bruce Alberts and Dr. Robert M. White are chairman and vice chairman,
respectively, of the National Research Council.