Information Security Area Needing Attention for Managing Competitiveness Harinder K.

. Makkar* Abstract In the age of Information Revolution, the management of information and its security is the key concern for all organisations and nations. For sharing of information among the intended users, the systems have to be networked. With this networking the risk of unauthorized use and attacks have taken major attention of Managers. Networks and Information are subject to various types of attacks and various products are available in the market for securing the systems. But it needs the thorough understanding of the various issues involved and proper implementation. This paper is being prepared to help the managers in understanding the various issues involved in securing the information. Contents of the Paper The paper will cover the following contents: Information Security Issues. Various Types of Attacks and their counter measures. Information Security Policy Management of Security Security Certification and its Implementation Main Issues: Information is Wealth Information is being Centralized and Networked Moe and more dependant on IT Systems Security Needs to be upgraded on Continuous Basis Access to Networks and Information has become Easier with IP based Systems Need to develop Security Systems Secure Systems Key Words: Information Security , Information Security Policy, Management of Security, Security Certification Introduction Information is perhaps most important pie of corporate wealth. Quality information is hard to acquire and easy to lose. The good aspect of information is that now it is easy to move and easy to alter and this aspect has added insecurity dimension to information. 1. Information Security Issues. Information security is an important issue, when it is put on the network. While the means to achieve security may be technical, the goals are economical. The loss of information can adversely affect the business continuity and even the image of the company. Information security is what ultimately distinguishes information that has economical value from information that does not. Add to this fact that threat to the data is increasing day by day. Security of information IIMK IIML

Conference on Global Competition & Competitiveness of Indian Corporate 98 ensures the availability, integrity and confidentially of information and includes the security at all levels viz Network, OS, Application and Data. So it a high time that we have a security policy endorsed by the higher management and get it implemented. Implementation of security policy is just not putting up data security devices and having a tight access control mechanism, it is an on going process. The security mechanism is to be continued reviewed against the failures and new threats and risks. The risks are to be analyzed and managed accordingly. The management of risk involves its acceptance, mitigation or transfer. The most important aspect is to have a security organizational set up which will do all these activities. Information Security ensures Availability, Integrity and Confidentially of information The information security set-up of any organisation has to think of security of individuals and file-level data objects and to protect the network from being launching pad of attacks by hackers. The general solution to security design problems lies in authentication and authorisation model, which is collectively known as access control. However access control does not provide enough security because it ignores the potential threat from insiders. Accountability steps in where access control leaves off. A lot can be observed by just watching. Pay attention to what you can see and measure. How is it to be done? Answer lies in intercepting all transactions that involve files. Think of it as event detection. The event records are filtered and correlated at the time of capture to distinguish between OS and application activities from user-initiated data use. The audit trail is to be compressed and made temper proof and archived. Because this capture occurs in real time, the reaction can be in real time. The reaction should be risk-appropriate and may range from issuing an alarm to change in authorisation policy. The point is that you should have the event log and monitor it. Various Types of Attacks and their Counter Measures The most important threat to computer systems is from virus and worms. The first and the

foremost requirement to set up secure environment is to have latest versions of software at all levels and upgrade them with latest upgradations issued by the vendors. These are the known vulnerabilities in the old versions of the software, which are mostly exploited by the hackers to attain access to the networks and the systems. Having the latest antivirus software can help a lot. Other very important aspect is to secure the network from being hacked and being used for hacking by the unauthorized persons. The network vulnerability can be tested by penetration testing methods and once vulnerabilities are known they should be plugged. The security threats and their counter measures in this respect are published by CERT-In on their website www.cert-in.org.in. Latest security alerts and advisory are available on this site. Security Incidents are mainly due to: Known Vulnerabilities Configuration Errors Virus Attacks IIMK IIML Conference on Global Competition & Competitiveness of Indian Corporate 99 2. Information Security Policy 1.Start With a Focused Methodology 2.Evaluate the Organization's IT Infrastructure 3.Explore Departmental and IT Controls 4.Identify Gaps and Establish Controls 2.1 Security Policy Preparation Create Usage Policy Statement Create A Risk Analysis Establish A Security Team Structure 2.1.1 Create Usage Policy Statements Outline Users Roles and Responsibilities Identify specific actions that can result in punitive actions; Actions and methods to avoid them should be articulated. Outline Partner Use Statement Outline Administrator Use Statement 2.1.2 Conduct A Risk Analysis Identify Risk to Network, Network Resources and Data. Identify Portions of the Network, Assign a threat rating to each portion and apply appropriate level of security. Assign each network resource Low, Medium or High Risk Level Establish A Security Team Structure Team led by Security Manager and participants from each functional unit Each member of the team should be aware of Security policy and trained for technical requirements

2.1.3 Roles of Security Team Policy Development Establish and Review Security Policy Policy Practice risk Analysis, Approval of Security Changes Requests, Review Security alerts from vendors and CERT, Turn plain Language Security Policy into Specific Technical implementations. Response Actual Trouble Shooting and fixing of Violations. 2.1.4 Prevention Approving Security Changes Changes to Network equipment that have a possible impact on the overall security of the network. Review the following changes: Any change to the firewall configuration Any change to ACL Any Change to SNMP configuration IIMK IIML Conference on Global Competition & Competitiveness of Indian Corporate 100 Any change or update in software from the approved software revision level list Monitoring Security of your Network Monitoring Security of Network Monitor for any changes in Configuration of High risk Devices Monitor Failed Login Attempts, Unusual Traffic, Changes to the Firewall, Access Grants tom Firewall, Connection setups through Firewalls Monitor Server Logs Actions in Case of Violations for Analysis Implement Changes to Prevent Further Access to the violation Isolate the Violated System Contact ISP in an attempt to trace the attack. Using Recording Devices to gather evidence Contacting Internal Management and external agencies Restoring Systems Record the event by obtaining Sniffer traces of network, copies of log files, active user accounts, and network connections Backup the compromised System to aid in a detailed analysis of the damage and method of attack. Look for the other signs of compromise Maintain and Review Security Device Files and Network Monitoring Files What needs to be done Secure Physical Access Remove Unnecessary Services Ensure Perimeter Security by means of Firewalls Ensure Proper Network Administration Apply Patches in Time Ensure an updated Antivirus Software Encrypt Sensitive Data

 Install Intrusion Detection System IDS Conclusion Caution is the word when it comes to Information Security. In an era, when information is the power and wealth for an organisation, one cannot expect taking chances with it. Therefore, it is advisable not only to secure the physical access to the information, but also to install antivirus software, wherever required. Prevention is better than cure- goes strong in case of Information Security also, if we want to create competitiveness. Moreover Security is a continuous process, the preparedness of yesterday may npt be sufficient for today. We have to review to find the gaps and immediate action is to be taken to plug them.

http://onlinepubs.trb.org/onlinepubs/tcrp/tsyn05.pdf

TRANSIT COOPERATIVE RESEARCH PROGRAM The nation's growth and the need to meet mobility, environmental, and energy objectives place demands on public transit systems. Current systems, some of which are old and in need of upgrading, must expand service area, increase service frequency, and improve efficiency to serve these demands Research is necessary to solve operating problems, to adapt appropriate new technologies 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 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 Transportation Administration-now the Federal Transit Administration (FTA). A report by the American Public Transit Association (APTA), Transportation 2000, also recognized the need for local, problem-solving research. TCRP, modeled after the longstanding and successful National Cooperative Highway Research Program, undertakes research and other technical activities in response to the needs of transit service providers. The scope of TCRP includes a variety of transit research fields including planning, service configuration, equipment, facilities, operations, human resources, maintenance, policy, and administrative practices. TCRP was established under FTA sponsorship in July 1992. Proposed by the U.S. Department of Transportation, TCRP was authorized as part of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA). On May 13, 1992, a memorandum agreement outlining TCRP operating procedures was executed by the three cooperating organizations: FTA, the National Academy of Sciences, acting through the Transportation Research Board (TRB), and the Transit Development Corporation, Inc. (TDC), a nonprofit educational and research organization established by APTA. TDC is responsible for forming the independent governing board, designated as the TCRP Oversight and Project Selection (TOPS) Committee Research problem statements for TCRP are solicited 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 of the evaluation, the TOPS Committee defines funding levels and

expected products. Once selected, each project is assigned to an expert panel, appointed by the Transportation Research Board. The panels prepare project statements (requests for proposals), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing 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 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 supporting material developed by TCRP research. APTA will arrange for workshops, training aids, field visits, and other activities to ensure that results are implemented by urban and rural transit industry practitioners. The TCRP provides a forum where transit agencies can cooperatively address common operational problems. TCRP results support and complement other ongoing transit research and training programs. TCRP SYNTHESIS 5 Project SG-3 ISSN 1073-4880 ISBN 0-309-05658-6 Library of Congress Catalog Card No 94-61136 Price $19 00 NOTICE The project that is the subject of this report was a part of the Transit Cooperative Research Program conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council Such approval reflects the Governing Board's judgment that the project concerned is appropriate with respect to both the purposes and resources of the National Research Council The members of the technical advisory panel selected to monitor this project and to review this report were chosen for recognized scholarly competence and with due consideration for the balance of disciplines appropriate to the project The opinions and conclusions expressed or implied are those of the research agency that performed the research, and while they have been accepted as appropriate by the technical panel, they are not necessarily those of the Transportation Research Board, the Transit Development Corporation, the National Research Council, or the Federal Transit Administration of the U S Department of Transportation

Each report is reviewed and accepted for publication by the technical panel according to procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council Special Notice The Transportation Research Board, the Transit Development Corporation, the National Research Council, and the Federal Transit Administration (sponsor of the Transit Cooperative Research Program) do not endorse products or manufacturers. Trade or manufacturers' names appear herein solely because they are considered essential to the clarity and completeness of the project reporting Published reports of the TRANSIT COOPERATIVE RESEARCH PROGRAM are available from: Transportation Research Board National Research Council 2101 Constitution Avenue, NW Washington, DC 20418 Printed in the United States of AmericaPREFACE FOREWORD By Staff Transportation Research Board 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. This synthesis will be of interest to general managers of transit agencies, managers of

management information systems (MIS) departments, and information systems personnel, as well as operations, scheduling, maintenance, finance, and other management personnel 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 specialpurpose 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 areapplicable 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 SUMMARYTCRP COMMITTEE FOR PROJECT J-7 CHAIR JACK REILLY Capital District Transit Authority MEMBERS GERALD BLAIR

Indiana County Transit Authority KENNETH J. DUEKER Center for Urban Studies ALAN J. GIBBS 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 COOPERATIVE RESEARCH PROGRAMS STAFF ROBERT J. REILLY, Director, Cooperative Research Program STEPHEN J. ANDRLE, Manager, TCRP GWEN CHISHOLM SMITH, Project Manager, TCRP TCRP SYNTHESIS STAFF STEPHEN R. GODWIN, Director for Studies and Information Services SALLY D. LIFF, Manager, Synthesis Studies DONNA L. VLASAK, Senior Program Officer LINDA S. MASON, Editor ACKNOWLEDGMENTS Roger Boldt, Kalona, Iowa was responsible for collection of the data and preparation of the report Valuable assistance in the preparation of this synthesis was provided by the Topic Panel, consisting of Ronald E. Boenau, Transportation Management Specialist, Federal Transit Administration; Howard Eisenstadt, Director, Human Resource Systems, MTA New York City Transit; Gorman Gilbert, Director, Institute for Transportation Research and Education, University of North Carolina; Lora G. Mayo, Programmer/Analyst, Office of Management Information Systems, Washington Metropolitan Area Transit Authority; Patricia "Tish" S. Nettleship, Chairman and CEO, The Nettleship Group, Inc; James A. Scott, Senior Program Officer, Transportation Research Board; Raymond M. Wright, Senior Systems Engineer, Mass Transit Administration; and Sam Yagar, Professor, Civil Engineering Department, University of Waterloo, Ontario. The Principal Investigators responsible for the conduct

of the synthesis were Sally D. Liff, Manager, Synthesis Studies, and Donna L. Vlasak, Senior Program Officer. This synthesis was edited by Linda S. Mason. Valuable assistance was provided by Gwen Chisholm Smith, Senior Program Officer, Transit Cooperative Research Program, Transportation Research Board.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 Orange2 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 This synthesis examines the range of applications used and the benefits derived from the current information systems in place in the transit industry. Of particular importance is the level of integration of special-purpose software and advanced

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

several examples of applications drawn from categories such as: Data acquisition/handling, Communications, Display mechanisms, Storage/retrieval, Analysis/action generating, and Systems integration. Synthesis Project SG-3 is a companion project that is intended to provide essential background on the general state of the practice of information systems in transit and to lay the foundation for Project G-1.5 CHAPTER TWO TRANSIT INDUSTRY STATE OF THE PRACTICE IN INFORMATION SYSTEMS SURVEY/INTERVIEW TOOLS AND SITE VISITS Information system (IS) environments vary dramatically among transit agencies. It was difficult to design a single survey tool that was appropriately balanced due to variances in the agencies'size of operation, external organizational structure (freestanding authority or part of another governmental entity), internal organizational structure (extent of control over information systems and technology), and extent of the hardware platform. The questionnaire that was finally developed (see Appendix B) was designed primarily for midrange and small systems, and was to be supplemented and supported by existing planning documents and internal descriptive information. Large transit agencies were too complex to detail on a single, uniform survey form. Instead, information was gathered from the large agencies through interviews during site visits (see Appendix C). This site visit interview process identified areas in which significant, successful efforts were made to integrate a special software system or advanced technology into the overall MIS. By focusing on a particular operational area of the transit system, it was possible to identify at some depth a particular special-purpose system and the level of integration achieved. Such a focus allowed for a more thorough understanding of a specific operation than would a broad overview of the IS environment. This approach added greater insight and value to other transit agencies than a simple high-level overview of all existing systems. In the process of gathering information on a particular area of integration, an attempt was made to identify key success factors from the site visit. A prioritized discussion of those critical success factors is included in Chapter 4: Conclusions and Recommendations. The sites visited for this project included two categories of transit agencies. (For the size and full address of the two tiers of 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 consideration (i.e., administration, planning and operations, materials management, and advanced technology systems); (2) they have achieved some level of integration of special-purpose software into their overall information system; (3) they have reasonable documentation of their activities and expansion plans; and (4) they have information systems and technologies that are applicable to the entire industry. The list consisted of transit agencies from various regional areas of the United States and one from Canada. Municipality of Metropolitan Seattle--Seattle, Washington Toronto Transit Commission--Toronto, Ontario, Canada Metropolitan Atlanta Rapid Transit Authority--Atlanta, Georgia Metro-Dade Transit Agency--Miami, Florida San Francisco Bay Area Rapid Transit District--Oakland, California Metra (Metropolitan Rail)--Chicago, Illinois MTA New York City Transit--Brooklyn, New York A second tier of interviews was included that both supplemented the questionnaire process and expanded the site visit list with smaller fixed-route transit and paratransit agencies. These agencies consisted of three small, urban fixed-route bus systems, one university-based fixed-route and paratransit operation, and two demand-responsive paratransit van systems. Five Seasons Transportation--Cedar Rapids, Iowa LIFTS--Linn County Transportation-Cedar Rapids, Iowa Des Moines Metropolitan Authority--Des Moines, Iowa Iowa City Transit--Iowa City, Iowa Cambus, University of Iowa Transit--Iowa City, Iowa Johnson County SEATS--Iowa City, Iowa. Because of the complexity and depth of the IS technology environments at the seven primary tier sites, the interviews focused on only one or two areas that met the interview guide criteria (see Appendix B). Each agency was asked to identify a specific area in which sophisticated applications or major IS activities were developed that exemplified the integration of special-purpose software into general MIS. It was felt that this concentration on select areas would provide applicable information to the transit industry as a whole. After these areas were identified, discussions were pursued with project staff, and in some cases a user group, to determine the degree of integration and applicability. Detailed project information was then gathered on the selected area or areas, excerpted, edited, and summarized in a consistent form for this report.

CURRENT INDUSTRY CONDITION This assessment of the current transit industry condition of MIS is based on a small sample size of 7 large agency site visits, 6 small transit and paratransit operations site visits, and 20 small, midrange, and large surveyed agencies. Although this assessment represents various sizes and types of transit agencies (bus and rail), no attempt has been made to comprehensively survey the industry. Rather, this 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 probably as many differences in transit agencies as there are in the general business community of comparably sized organizations. Agencies were not divided along American Public Transit Association (APTA) guidelines but were instead divided into three6 basic categories; surveyed small agencies under 50 buses without professional MIS staffing; surveyed midsize to large agencies with MIS staffing; and large agency site visits (see Chapter 3). Small Agencies For the purpose of this assessment, small systems are transit agencies that have fewer than 50 buses and no professional MIS staff, and that are largely personal computer (PC)-based, although they may use some program (usually finance and payroll) of a midrange or mainframe through a city or county entire. Most small systems are stand-alone IBM-compatible or Macintosh systems that run DOS or Mac and use standard word processing and spread-sheet packages. Usually these small agencies use one or more specialized packages to support finance, scheduling, and/or maintenance/inventory. (See Table 1: Summary of Small Agencies MIS Environments.) Agencies with MIS Staffing Transit agencies in the second-tier survey (midsize to large agencies with MIS staffing) vary dramatically in hardware platform, software environment, MIS organization, and ability to significantly change or enhance their existing systems. Staffing itself varies from one full-time professional to departments that include systems analysts, programmers, operators, and administrators. Rather than simply list the specific environmental components from all the questionnaries, some of which were far more complete two specific systems that provided sufficient support information in addition to the questionnaire to better explain their practices. Both Oahu Transit Services, Inc. (OTS) and Orange County Transportation Authority (OCTA) provided background materials that complemented their questionnaries. A profile of these two systems may provide insight into the state of the practice of representative transit agencies. The questionnaries are included in this synthesis as Appendixes E and F after an edited description of the agencies current IS environments.

Oahu Transit Services, Inc. (OTS) (1) OTS recently (1992) conducted a diagnostic review of its MIS environments as part of a broader organizational analysis. The diagnostic review was to assess the current state of the MIS environment as OTS, compare those findings with the Long-Range Information Systems Plan (LRISP) of October 1990 (2), and make recommendations for future improvements. Based on the diagnostic review process and the high-level management discussions, it is clear that there has been recent progress on the LRISP. However, a number of significant opportunities remain that confront both OTS and the Honolulu Public Transportation Authority (HPTA) in the arena of MIS and technology investment. OTS, Inc. is under contract to HPTA and operates city-owned vehicles. The 1990 LRISP was developed to ensure effective management and growth of the technical infrastructure to support OTS business objectives. The LRISP addressed two areas: (1) architectural structures for management, technology, applications, and data; and (2) specifically recommended projects. The following is a brief summary of the progress and accomplishments made in addressing the LRISP. LRISP architecture/recommendations: (1) Implement cost/benefit methodology. OTS needs to establish a full cost/benefit methodology as part of the creation of a committee structure within OTS and the broader transportation requirements of Honolulu. (2) Hire MIS director and additional staff. A new Director has been hired (1991) and the staff has been increased to five, including a help desk coordinator. Three staff members support the microcomputer platform and two staff members support the mainframe platform. OTS still remains below the industry norm for MIS staffing. As MIS assumes greater responsibility in the area of technology deployment, additional staffing will be required. (3) Locate MIS within the organization to better serve users. MIS needs to be repositioned to better serve all of OTS and to assume responsibility for the oversight of technology investment. (4) Establish the organization and management process for managing data and communications resources. OTS has developed 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. Standards have been developed for data structures, hardware specifications, network specifications, and applications development. (5) Evaluate, select, and implement a standard systems development methodology. A standard systems development methodology is in place and is currently being used. This is a proven methodology that has been used for several significant projects.

(6) Increase project management capabilities internally to uniformly manage all new projects. Currently, a proven project management methodology has been adopted and has been used in several projects. In conjunction with this method, OTS uses an automated tool called Timeline, which is a highly rated PC-based project management system. Timeline has been used in both the local area network (LAN) installation and in the current general ledger reorganization. (7) Acquire a database management system to assist overall data integration. The standard for a relational database at the microcomputer platform is dBASE III+. Several systems have been developed and are currently in production using this database. (8) Review current project priorities and compare against strategic business plan. This has been performed systematically as reflected in the MIS department's 6-month goals and objectives. Priority review is an ongoing process that will occur several times as the strategic planning environment changes. (9) Provide training and support for end-users. The MIS staff coordinates training with several sources and assists in the appropriate selection of training on PCs, PC programs, and mainframe applications. Also, one-on-one training is done when the need exists. The increased staff in MIS provides better support for all end-users. A help desk has been established to provide a single focal point for end-user support, problem analysis, and training needs assessment. (10) Institute project management tools to be used for all enhancements and new systems. A product called Timeline is being used in conjunction with a project management methodology in 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 Based on conversations with key management personnel at OTS and HPTA and the diagnostic review discussion, a number of key strategic issues were raised. These issues need to be addressed by top management at both OTS and HPTA to ensure the proper investment and deployment of information technology. Organization: Consistent with the original LRISP, the MIS Department needs to be positioned in the OTS organization to better facilitate organizationwide communication and end-user support. Because the finance department is part of a major MIS user group, access to and support for the rest of the organization is frequently limited; existing statistics appear to support that conclusion. The information technology requirements of the broader

transportation environment are as important as the internal organizational issue and need to be considered. A fully coordinated information technology infrastructure could more effectively and efficiently support the needs of all modes of transit and the several transportation organizations (OTS, HPTA, Rail) than multiple, separate infrastructures. Because both HPTA and Rail are still very much in their organizational infancy and the provision of rail service is in the feasibility study stage at HPTA, it is not appropriate to resolve this structural issue now. Centralization and Control: The responsibilities of the MIS department need to be expanded to include oversight of information technology as well as what has been considered the conventional purview of MIS. A new definition for information technology would include all those technologies that are information-based, that cross department boundaries, and that support management decision making. Specific technologies are listed below. Computer Systems Management information systems Administrative computing End-user computing Central control systems: databases, operating systems, application software PCs and LANs: operating systems, applications, software, and hardware Communication Technology Telephones Telecommunications architecture Data communications architecture Radio technologies Other Technologies Bar coding Automated bus identification Farebox technology Cash-handling technology systems Materials management technical systems. The current MIS environment of OTS is contained in the questionnaire summary (Appendix E). Orange County Transportation Authority (OCTA) OCTA completed a long-range information systems plan in June 1991 (3). The following section describes the plan and its findings: Management Architecture Defines 16 management issues identified through interviews with the Project Advisory Committee, Develops a functional organization chart that defines a new information systems functional organization, and

 Envisions and defines a role for the top management steering committee--the Technology Investment Committee. Technical Architecture Defines a conceptual technology architecture, including hardware, network, operating systems, and data management to facilitate data sharing among several departments; and Recommends a move to an open architecture, technical environment, which implies interconnectivity among information systems from different vendors and allows for the access, transfer, and manipulation of data by authorized users throughout the organization. Data Architecture Develops a foundation for recognizing common data and reducing duplication of stored data, and Defines data entities, interrelationships among data entities, and logical data groups. Application Architecture Assesses current application systems support for information needs to support the following functions: --Facility management --Marketing --Financial/accounting --Operations --Planning/budgeting --Planning --General administration --Project management --Human resources --Vehicle management; Defines application and technology infrastructure projects including estimated timeline, personnel resources, and the one-time and ongoing costs of each project; and Costs approximately $9 million over the next 3 years for onetime expenses including both internal and external resources. Implementation of the recommended architectures is seen as critical to accomplishing OCTA's strategic business plans. The four architectures and the specific application projects identified in the 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. Continue to develop support strategies that maximize the effectiveness and efficiency of OCTA operations.

 Improve customer information services. Ensure effective, efficient use of OCTA funds. The following steps are required to make the MIS plan effective at OCTA Implementation Steps The long-range information systems plan defines major changes in the MIS function. These changes are not just technical in nature. The MIS function needs fundamental changes in its relationship to other departments, its internal staffing, and organization. The successful implementation of these changes will, to a significant degree, determine how successful OCTA is in moving to the target architectures and supporting its strategic direction. To assist in starting this transition process, OCTA has identified the following activities: (1) Establish a technology investment committee: To establish the proper linkage between management and MIS, create a single focal point for decision making in the acquisition and deployment of information technology, and set policy throughout the agency for information technology, a technology investment committee should be created. This committee should be composed of executive management, chaired by the chief executive officer, and should include representation of MIS. The principal duties of the technology investment committee include the following: Establish the mission, goals, and objectives for MIS. Set policy for information systems and information technology deployment. Oversee the planning, acquisition, and implementation of information technology. Establish a cost/benefit methodology and standards for information technology investments. (2) Develop an MIS staffing plan: To move from the recently consolidated MIS organization consistent with the management architecture, an MIS staffing plan should be developed. The staffing plan will define new job responsibilities, skills, and the number of staff needed. Compensation ranges will be developed to support OCTA's need to recruit MIS personnel in several key positions. (3) Commit the internal and financial resources identified in the plan: Resource and cost estimates for the current projects in the application architecture for the next 3 years are shown in Table 2. Technology Architecture To provide a backdrop for the questionnaire information (see Appendix F) and identify the basic components of the OCTA technical architecture, the following details are provided for the hardware, network capabilities, operating systems, and data management.

(1) Hardware: The current environment at OCTA consists of three PRIME midrange computers and approximately 135 microcomputers. Current plans call for the purchase of additional midTABLE 2 RESOURCE AND COST ESTIMATES FOR CURRENT PROJECTS IN THE APPLICATION ARCHITECTURE (3) Resource Person Years One-time Cost Internal labor 32.4 $3,363,000 External labor 15.6 $3,250,000 Hardware and software N/A $2,575,000 Total 48.0 $9,188,000 range computers to handle specific functions (i.e., ridesharing and Dial-A-Ride). Additional microcomputers have also been slated for purchase. Current PC configurations have allowed for the expansion of these systems as required. Future PC considerations need to allow for the capabilities and recognized needs (based on operating systems and networking) of OCTA over the next 5 years. An important consideration for the microcomputer area is the use of LANs to link micros with one another and the main network. Another important key is the compatibility and use of operating systems other than DOS. The development of an open architecture will enable the existing computers to communicate with one another. At OCTA, this communication will involve one midrange computer talking to another, midrange computers talking to microcomputers and their associated networks, and microcomputers talking to microcomputers within LANs or to midrange computers. In some instances, this open architecture will require dedicated hardware to handle communications and transaction processing between the various platforms. A dedicated processor may be required to act as a terminal server to coordinate network access and data communications for the existing computer terminals on the PRIME computers. Developing this open architecture will require coordination of hardware platforms, operating systems, and network management to develop an effective and efficient combination of resources. (2) Network Capabilities: Current PRIME network capabilities are approaching maximum utilization. A limited number of ports are available for use on the current PRIME systems. The implementation of the maintenance, accounts payable, and purchasing system (MAPS) has placed additional requirements on the current network system. In addition, there have been reports of poor data integrity and parity checking. The current cabling hookups required for the network are bulky and space consuming. There are also limited capabilities to bring PCs into the network using the current system.

OCTA has examined the possibility of switching to an Ethernet network for the midrange systems, which is an important first step in developing the necessary networking capabilities. An Ethernet network will make expansion of the current system much easier, will provide better data integrity, and will simplify the linking of PC workstations and LANs into the network. In addition, the amount of cabling required for hookups will be significantly reduced. At the microcomputer level, OCTA's current LANs are being evaluated for possible replacement with Novell networks. An important consideration in the selection of LAN technology is whether or not the LANs have the capability to access the main network and systems.10 (3) Operating Systems: The operating system controls the computer hardware, manages system resources, runs programs in response to user commands, and supervises interaction between the system and its users. The operating system also forms a foundation on which applications software is developed and executed. The key components of a successful operating system in an open architecture include the following: Compatibility: To develop a true open architecture, the interfaces between the systems must be as transparent as possible. Whenever possible, different computers must have the same operating systems so that similar commands are used to utilize system resources across various systems. Multiuser environment: The capability must exist to support a variety of users at the same time. The system must allow for the efficient sharing of processing and information storage while maintaining the necessary security needed to separate each user from the activities of the other users. Availability of applications: The operating system must be established to the degree that applications software is commercially available and software development tools are available to develop any custom applications needed. User interaction: Users must be able to use the operating system with a minimum amount of training. As mentioned previously, the operating system must be similar across different platforms to provide for ease of use. One method of accomplishing this objective is through the use of a graphical user interface (GUI). GUIs are programs that simplify user interactions with systems typically through the use of a mouse and screen icons (instead of technically-oriented strings of commands). Communications: The operating system must be able to support a wide variety of network and data communications utilities. A true open architecture is defined by its ability to access applications and data throughout the network.

 Maturity: The operations system must be well-established and recognized. A strong user community is necessary to provide support and to keep abreast of new developments. In addition, vendor support must be readily available to install, maintain, and troubleshoot the operating system. An example of an operating system that meets these criteria is the UNIX system. UNIX operating systems run on a variety of hardware 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 with the UNIX operating environment. (4) Data management: Because an open architecture implies user access to a wide range of data, some guidelines for the management of these data should be established. These guidelines include the following: Compatibility: A key concept of an open architecture is the ability to share data and information from a variety of databases across different platforms. A significant amount of effort must be applied to establishing data standards so that data can be exchanged or easily converted to the proper format for exchange. Security and access: Another major concern of data management is data integrity. Data must be managed just like other physical resources. The ability to access, change, update, add, or delete must be closely monitored and managed. Ease of use: To the extent possible, data must be reasonably easy to maintain and access. A database management system should provide a structured query language (SQL) capability. SQL provides an application-level standard method for data exchange between different computing platforms. Much progress has been made in the development of fourthgeneration languages that use SQL and allow the user to structure and access data. DEGREE OF SYSTEMS INTEGRATION The degree of systems integration varies widely across the transit industry. Generally, there is less integration in smaller agencies with limited information systems resources and more in larger agencies, which have professional staffing, better tools, and planning/systems development methods. However, some sophisticated smaller agencies have created significant integration through microcomputer LAN technologies, and some larger agencies have considerable difficulty integrating systems across multiple hardware environments. Based on the site visits, questionnaire results, and support documentation, it is clear that the effective integration of computer

and communication systems to meet transit agency requirements is of paramount strategic importance. Tight fiscal constraints have further underscored the need to eliminate redundant data entry and duplicative systems throughout the organization. Long-range information system plans and strategic plans for transit agencies have reflected the need to reorganize and retrain staff to improve the support for and use of systems integration, client/server architecture, and related new technologies such as GUIs, multimedia, and imaging. It is difficult to generalize about the state of the practice of integration since the industry varies greatly and the continuum of practices ranges from very little to quite considerable. For the purposes of this report, it is most useful to identify the general direction articulated by most agencies (e.g., support for open architecture), identify the area in which the greatest integration is currently occurring (e.g., office information systems), and provide some key examples of specific integration projects in the operational areas (see Appendix A). Support for Open Architecture More than half of the surveyed agencies have articulated a movement toward or adoption of policies supporting open systems architecture (OSA). To maintain maximum flexibility, while being able to take advantage of new technology, many transit agencies have adopted the new MIS industry standards that facilitate connectivity between various computer systems. At a minimum, these standards include the following features: The interconnectivity among systems must be maximized regardless of the platform (PC communicating with midrange and/or mainframe systems). The interfaces between systems must function for the user as transparent. Simplicity and commonality of user interface are essential ingredients.11 The capability must exist to support a variety of users simultaneously while maintaining necessary security. The operating system must be established for commercially available application software. The operating system must be able to support a variety of network and data communication utilities. Office Information Systems (0IS) A number of transit agencies have produced OIS plans in the last several years. Two detailed OIS plans were acquired during the site visits: Metra's Directions and Recommendations for Metra's Computing Environment-Micro vs. Mainframe Computers and MTA New York City Transit's Third Generation Office Information Systems (OIS) Plan, 1991-1995. The greatest integration and use of 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, creation of compound documents, and application processing supported by tools such as GUI, distributed relational databases, and object-oriented computing. Representative of these OIS plans is the plan produced by the Information Systems Development (ISD) group of New York. MTA New York City Transit's Third Generation OIS Plan (4) The 1990 OIS Plan defined MTA's strategic direction to effectively support business requirements while incorporating the commitment to eventual two-tier processing and the need to reduce dependency on sole-source, single-vendor procurements. The efforts for this plan have resulted in the following: Documentation of existing OIS (hardware and software) within MTA; Identification and research of the functional features of the emerging third-generation OIS, including evolving standards, providing a data model to focus the search for effective solutions; Identification of the major vendors' approaches to delivering this new functionality; Cataloging of the extent of Wang-based (MTA's current hardware) application systems to further delineate the complexity of migration; and Assessment of alternative migration strategies with emphasis on investment return. The study was to identify a cost-efficient transition path to the OIS platform of the future while keeping in mind the following goals: Establishment of the desktop workstation as the complete information tool and gateway, providing access to data processing applications as well as OIS functionality; Support of current environment and functionality; Phased migration to client/server LAN platform, adhering to software and communication standards; Interface between current and new OIS solutions; and Implementation of additional functionality and tools through the medium of the workstation. TABLE 3 INTERNATIONAL STANDARDS FOR OIS (4) Data Model Approximate Third Generation Standard Established Year Electronic Mail Standards (X.400) 1991 Open Systems Interconnect (OSI) 1992 Office Document Architecture (ODA) 1991 Office Document Interchange Format (ODIF) 1991 Compound Document Architecture (CDA) 1992

Remote Database Access (RDA) 1993 Directory Standards (X.500) 1994 Remote Procedure Call (RPC) 1995 Portable Operating System Interface (POSIX) 1995 International standards for OIS are evolving in a number of areas (see Table 3). Adherence to these standards is critical to the achievement of MTA's goal of seamless access, through the desktop workstation, to any application or office function. After reviewing the options, MTA concluded that vendor compliance to industry standards is essential to the success of OSA. Focusing on this main point, various alternatives were considered, including the following: Move off the Wang platform completely, selecting one of the current leading OIS proprietary vendors that provides a clear functional advantage (i.e., DEC with All-In-One, HP with New Wave); Stay with Wang and limit OIS support only to that platform, waiting until standards are in place and fully integrated, and functional software is available; and Migrate toward a client/server environment. Meet requests for new OIS installations with a PC LAN solution. Provide bridging to Wang office as necessary. Ultimately redefine and convert the role of Wang VS hardware to perhaps function as file servers for the client/server platform. The last alternative was recommended. Such a phased transition will protect the Wang investment in hardware and training and will allow MTA to gradually introduce office functions in the desired client/server environment. In the near term, MTA will continue to support the existing Wang office base and assess the requirements for phased migration of the extensive data processing portfolios resident on the Wang VSs. MTA views this phased transition as essential in limiting the proliferation of product lines. All major vendors offer similar increased functionality but do not commit fully to the standards described previously. Vendors will, under the guise of an open system, be what is termed compliant-retaining proprietary technology (hardware/software) and accomplishing interconnection via gateways, which is an expensive solution. The basis for appropriately limiting future product installations and effectively positioning MTA to take maximum advantage of market delineation is the establishment of internal standards in the areas of word processing, spreadsheet, and graphics software; imaging technology; GUI; bridges and gateways; etc. 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 functionality (i.e., word processing software-WordPerfect, Microsoft Word; GUIs--Windows, Presentation Manager). This process of study, test, and standard solidification will continue through 1992 in conjunction with ISD Operations, PC Technical advisory committee, and client departments, with perhaps some limited production installations based on an assessment of critical need. MTA will make every effort to curtail Wang VS expansion and prohibit the development of new applications on any minicomputer unless the immediate, short-term benefit is overwhelmingly compelling. Therefore, a production solution will include an in-depth analysis and recommendation for conformity to MTA's standards model on any approved new initiatives. Any technology selected, including the expansion of existing minicomputer components or applications, must be transferable to the next generation of OIS. In 1992, MTA created an OIS task force, which consists of members from ISD's planning areas and member(s) from individual client departments, to develop a master migration plan. In 1993, MTA began to see, on a case-by-case basis, the more widespread deployment of alternative OIS solutions. The agency also began to pilot migration strategies for Wang VS applications. In 1994, vendor performance should be clearly indicated in relation to both functionality and standards, allowing for selection of a vendor(s) to support the integrated workstation for the next generation. Upon availability of a fiber network, MTA will also begin designs of corporatewide E-mail and imaging networks. In 1994-96, MTA will try to actively migrate to the new platform. Overall Information Strategy Beyond the office information systems environment, it is far more difficult to meaningfully identify the transit industry's state of the practice for systems integration because of its inherent diversity. More appropriately, it is felt that state of the practice can be articulated best by discussing specific efforts in particular operational areas by transit agencies assessed during the site visits. Appendix A contains detailed discussion of specific integration efforts in operational areas applicable and transferable to other transit agencies. An effort has been made to identify different operational areas and/or different approaches to integration that will add value to the industry. Chapter 4 contains a discussion of the conclusions arrived at from the overall site visits, the specific integration projects, questionnaire data, and support documentation. BARRIERS TO ADOPTION OF NEW INFORMATION SYSTEMS TECHNOLOGY Although many specific barriers can be identified for particular transit agencies surveyed in this study, several general barriers apply

to most transit agencies as identified through discussions with MIS management. Organizational Barriers Organizational barriers appear in different ways for different sized agencies. In the very small agencies (under 50 buses and without professional information systems personnel), problems often exist in the relationship with the broader governmental entity. At their most minimal level, these problems often mean that the transit agency cannot access MIS staff and/or technical resources from the broader governmental entity. In these cases, 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. Based on discussions with transit staff, this approach sometimes works effectively because a growing number of managers are computer literate and understand many of the basic hardware/software requirements of smaller agencies. More often this approach is unsuccessful and can result in poor investment and poor deployment of technology. In some cases, agencies rely on vendor support. This can result in some effective installations, but because the vendor is interested primarily in promoting a particular system, it can mean an uneven or unbalanced investment. In many cases, both small and large agencies have difficulty communicating or interfacing with their umbrella government agencies. This appears to be particularly true in the case of some key financial systems but can also apply to maintenance, materials management, and inventory Part of this problem is technical in nature and part is procedural. On the technical side, there is frequently an inadequate communications link between these entities. Transit is often not part of the larger communications architecture and is expected to communicate in a less sophisticated way. An additional problem is software or hardware compatibility. Unless a specific interface is created, information such as payroll is frequently 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 they are present in other parts of the operating systems. Past practices or signatory requirements are often cited as the reason for duplicative, manual interfaces and redundant procedures. Finally, there are significant problems with the way MIS are organized in larger agencies that have professional staff. The older data processing model of a mainframe environment that primarily supports financial systems has persisted in many transit agencies. MIS organizations are frequently organized under the finance department rather than under an administrative group that has agencywide responsibility and oversight. This same kind of model has frequently led to the emergence of pockets of MIS resources

outside of the primary computing environment. Although there is a need to decentralize access to management tools (see Chapter 4), centralized control in the following critical areas of MIS investment and deployment is also important: Maintain minimum standards for hardware/software. Support agencywide policies and procedures. Protect the integrity of agencywide data. Prevent duplication of hardware/software. Provide maintenance and support for hardware/software. Provide user training. Past Practices Perhaps the single greatest barrier to the effective acquisition and deployment of MIS resources in the transit industry is the condition of current practices being wedded to past practices. From13 small agencies to large ones, the primary mechanism for moving to computerization has been to automate 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. Many of these processes have become institutionalized and intransigent. This approach to doing business in the transit 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 commonality. If a key success factor is the use of software packages with minimum customization (see Chapter 4), then there is a pronounced need to combine automation with reengineering and training. Reengineering is the systematic review of business functions to determine how they can be streamlined by applying automation technology. The process of reengineering is time consuming and requires the full cooperation and support of the affected user departments. Candidate areas are those business functions that are based on feasibility analysis and that appear to have the potential for generating significant savings if they are properly reengineered and if appropriate automation technology is available (see Chapter 4). Training Lack of training in existing hardware/software and related technologies and inadequate education regarding new developments in MIS are critical barriers to success. Training needs to occur at two levels in transit agencies: training and development of MIS staff where they exist, and training and education of user department personnel in appropriate technologies. The training effort needs to be seen as an integrated component of the total automation/reengineering process. Funding Funding is a problem in two areas of transit: lack of funding to

acquire, update, and maintain critical MISs and new technologies; and specific funding opportunities that create uneven or inappropriate investment in particular technologies. With reduced state and local revenues due to economic downturn, growing competition for local resources, and limited federal support, most transit agencies need to exercise a program of cost containment. If information technology is viewed as part of the overall transportation delivery infrastructure, then that technology should be assessed, as other infrastructure components are, on its ability to contribute to delivering transportation services. To be successful, information technology must effectively demonstrate that it has a significant impact on business issues confronting transit. Information technology must become strategically positioned to be seen as a critical factor in the cost-effective, safe, and reliable delivery of transportation services (see Chapter 4). Lack of appropriate information technology investment raises questions about the overall value and effectiveness this technology brings to the organization. Since most information technology is acquired through capital grant funding, which is often dictated by particular events and timing, projects in this area do not always conform to strategic need. It is not uncommon to see a significant investment in a particular exotic, advanced technology in an otherwise impoverished agency. The availability and timing of particular capital funding can create an unbalanced and unequal information technology environment. Such an environment creates technical inequities and political problems that compromise the ability of information technology to serve the strategic mission and business goals of transit agencies. USER GROUP FRAMEWORK A very large investment is made in information systems and related technologies in the transit industry. Although unit prices and cost per computing element are going down and will continue to decline, the overall investment as a percentage of operating and capital budgets will rise as new and better technologies become available to the industry. Because this is such a large investment made through federal, state, and local funds, there is a very pronounced need to create an effective, broad-based user group that can help the industry make the appropriate investment in information technology. History A wide variety of industry initiatives have been started over the years from the original UMTA microcomputer user group to the most recent APTA software guide (5). Additionally, a number of committees and subcommittees have been established principally through APTA and TRB and have periodically met to discuss and share information on information systems and new technology. At

their best, these committees have established an effective forum for the collection and dissemination of information, and have used new 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 not met in years. New Conditions/New Requirements As the federal commitment to transit has diminished and transit agencies' budgets have tightened, travel has become far more restrictive and access to decision-making resources has become more difficult. Because of these new fiscal constraints, it is difficult for management to visit appropriate information systems installations or to acquire all the information necessary to make good acquisition and investment decisions. As a result, new tools are needed to facilitate the acquisition and deployment of new information systems technology. The current condition of information systems technology and products is growing more difficult to assess rather than less. Examples include the accelerating pace of innovation and new product releases, emerging new vendors (particularly from abroad), and defense and other industries entering the transit marketplace. Under these circumstances, deciding who has the best product and who can provide long-term support becomes more challenging, and the integration of systems and subsystems becomes more difficult and more critical. Based on discussions with site visit managers and the surveys, it would seem that the primary mechanism of gathering information is the informal network supplemented by vendor promotional14 materials. Calling other transit agencies that have particular products has always been the primary means of acquiring initial information. Though this process builds important relationships and provides information, it is a hit-or-miss approach that is often more subjective than objective. Middle management in transit, those who are primarily charged with making the IS investments, are more isolated than ever. The complexity of the current IS environment coupled with this isolation has resulted in some poor yet expensive investments in a number of transit agencies. However, it must be noted that some good investments have been made, but the decisionmaking process has grown more difficult and resources have shrunk in recent years. Transit Agencies are More Alike than Different Because there is so much similarity in the basic business functions and strategic direction of the transit industry, the opportunity to share common solutions has always been great. Current conditions, new requirements of the IS technology environment, and significant cost seem to provide even stronger

arguments than before for developing mechanisms for sharing up-todate knowledge and experience of IS products and approaches. It is essential to determine what similarly sized transit agencies are doing with the information systems technology investment to learn from each other, to adapt existing systems to better approaches, and to participate in joint ventures to reduce risk. New Framework Based on the preceding discussion, there appears to be enormous value in creating a new framework to facilitate communication and assist decision making in the acquisition and deployment of information systems technology. Because this capital investment is so large and likely to grow as the dependence on technology increases and because this is a public investment made with federal, state, and local monies, it seems appropriate to develop a public framework to facilitate this investment process. At a minimum, this mechanism needs to provide the following: 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. Because the information systems and related technology environment is so dynamic, with change and innovation transforming the landscape at a dramatic pace, it is fundamental that the new framework provide information that is current and fully up-to-date. It has been argued (Chapter 4) that transit as a public infrastructure needs to make a conservative investment in technology and not be 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 supportable in transit applications. Up-to-date information on IS products needs to be presented and made available in a simple and objective format. Information on IS products is available in a dizzying array via informal networking, articles in trade magazines, vendor brochures, computer and advanced technology publications, and popular media. Because of the sheer amount of information, it is often difficult to distinguish the objectively true from the hyperbole. It is already difficult for those managers in transit agencies who are responsible for making IS investment decisions to acquire appropriate information. The method of accessing information in this new framework must be relatively easy and inexpensive. With fiscal constraints affecting the ability to travel, to acquire training, and to access expert support systems, an inexpensive mechanism is critical

to the institution of a new framework. A single point of access in the industry is important for creating a clear avenue of communication and focus of overall effort. Organizations that have an interest in this user group framework include the Federal Transit Administration (FTA), APTA, and TRB. Finally, because this whole framework is about information systems and related technologies, it is important to use the appropriate technical means available as well as a manual process for those without access. A number of transit agencies are already using Internet, which has become the standard for communication for groups like the APTS committee. Agencies should consider establishing or reestablishing an electronic resource center for transit information systems, like the project started by Indiana University in 1991. The development of an electronic resource center for the transit industry was inspired by the industry's need and motivated by the frustration of transit personnel in finding even basic up-to-date information easily and quickly. The transit industry comprises hundreds of agencies, and the communication between them is awkward, inefficient, and infrequent. An on-line, computer-based system-which would include multiple databases, a bulletin board, Email, chat or forumtype services, and other capabilities--was seen as the answer to the problem. No such information source currently exists, although this system was proposed by Indiana University in 1991 and an initial prototype was developed (6). The opportunity to take advantage of the similarities among transit agencies and share common solutions is even more pronounced now because of tight budgets, the accelerating pace of new product innovation, and emerging new vendors. In addition to sharing up-to-date knowledge and experience of IS products and approaches, the user group could facilitate the use of common software and re-engineering of business functions. Historically, the approach to developing transit-specific software that could be used by multiple agencies, (e.g., Transmis I & II) has been largely unsuccessful. However, with new tools (open and client/server architecture), new technologies (computer-aided systems engineering and state-of-the-art networking), and improved database management, the opportunity for industrywide IS solutions has never been greater. Bay Area Rapid Transit's financial management systems software is being demonstrated as an industry solution and Seattle Metro's approach to distribution database represents an integration strategy approach for other agencies. These systems are profiled in Chapter 3. Sponsorship The success of a user group for information technology may depend on the willingness of transit industry groups to provide

sponsorship. Based on discussions with the surveyed transit agencies,15 there would appear to be enormous value in the creation of a formal, fully operational user group that could provide information that is consistent with the previously discussed criteria. The necessary sponsorship might come from university research centers, such as the University of Indiana, the National Transit Institute at Rutgers, the state university in New Jersey, or McTrans in Florida; from the FTA; or from a group within APTA. These are suggestions, of course, not meant to place responsibility on any group; but these and similar ideas could provide the entry for interested parties to organize the user group.16 CHAPTER THREE INTEGRATED SOLUTIONS: EXAMPLES FROM THE SITE VISITS The transit agencies among the first-tier site visits were chosen based on several general criteria, including sophisticated applications in at least one of four management or operational areas, a high level of integration, good documentation, and applicable technology. The site visit process was designed to identify well-documented activities at those agencies that exemplified the integration of special-purpose software or advanced technology into their overall MIS. The following overviews were drawn from discussion with key staff as supplemented by project-specific documentation. This discussion is intended to highlight current projects that exemplify the integration process within selected agencies and that also have maximum applicability or transferability to other transit agencies. The full detailed descriptions of each of these projects are contained in Appendix A. The conclusions and recommendations made in Chapter 4 highlight the critical success factors most essential to developing and maintaining effective and efficient MIS in the transit industry. BAY AREA RAPID TRANSIT DISTRICT (BART): FINANCIAL MANAGEMENT SYSTEM (7,8) BART has been through several iterations of its long-range information technology plan (LRITP): BART's first LRITP was initiated in August 1990 and completed in May 1992; the FY '93 update was completed in March 1993; and the third update is currently in progress. BART's executive management has been primarily concerned with the need to promote accountability and budget ownership within district management. BART's financial management system (FMS) consisted of numerous stand-alone systems and subsystems. Although direct interface existed between several of these systems, other systems, such as grant funding in government and community

relations, had no direct automated tie to any computerized system. Users obtained information manually or through spreadsheets. Other systems, which appeared to have no tie-in to FMS, had an impact on financial system modifications. In May 1992, senior staff commissioned a project to develop and implement a fully automated system to capture, develop, and report capital and operating information specific to program budgeting. The new FMS of BART uses state-of-the-art technology to display, process, retrieve, and update financial information. For the first time at BART, FMS application information is available to all users through network access in a production environment. As of September 1993, no other transit agency has systems that contain the range of capabilities of FMS. Integration of current practices into the 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. The team also chose to develop all applications using GUI-based microcomputer software. An application programming software package called Powerbuilder was selected to help with the development of the applications. In November 1993, a corporate relational database that exists outside the framework of the mainframe computer, called INFORMIX, was established to capture and hold the FMS information. BART's FMS plan focused on the following basic requirements: A subsystem that provides for the transfer of funds from one project to another. Controls to ensure that expenses already realized are properly accounted for before transferring information. Direct interface of funding information Automated recording of pertinent information such as payroll, purchase order, and contract data. Agreements made accessible through the use of on-line viewing capabilities. Capture of labor costs and verification against valid cost centers. Review of projects, assignment of FMS numbers, funds, etc, remaining under centralized control. Automated entry of project information into FMS upon approval and release. Capture and reporting of expenses in a timely manner. Centralized grant databases with interfaces to FMS and project management. Automated fund and grant application entry, drastically expanded validations.

 Development of one method for tracking all projects. Development of the new method as the central focus for all project and financial information passed to BART's microcomputer-based systems. Load leveling, scheduling, and interface resourced to BART's standard project scheduling software packages. Development of automated uploads of project information to a centralized holding database for review by a controlling department, assignment of funding, and automatic update of the central FMS database. Project life and yearly budgets would be included. Development of controls for receiving and downloading FMS information in sufficient detail to ensure financial reporting integrity outside of the FMS framework. Development of systems and procedures to verify report results. Figure 1 shows sources of data for BART's new FMS.17 Figure 1 Data sources for BART's FMS. (8) MTA NEW YORK CITY TRANSIT: INTEGRATED MAINTENANCE MANAGEMENT SYSTEM MTA New York City Transit (MTA) carefully detailed its information systems planning process in a series of internal documents, including a Five Year Systems and Telecommunications Plan, 1991 Update (9) (a new 5-year update was being prepared at the time of this study), Five Year Data Communications Plan, and A Third Generation Office Information System Plan (4). (See Chapter 2 for a discussion of office information technology.) Based on interviews with MTA executives and senior managers, and other data gathering and analysis tasks, the 1991 update contained the following: Updated the critical success factors (CSFs) of MTA; 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 participants and nine Information Services participants. These participants received an intensive, 1-week training course in modern structured analysis, a state-of-the-art information engineering technique. The team interviewed 100 Car Equipment operating and support staff to identify the interviewees' activities and information usage. From these activities, the team identified 44 functions (groups of related activities) performed by Car Equipment. In addition, 58 entities (items about which data must be collected) were identified and defined as used within the division. The information needs and functions were presented to 56 Car Equipment participants in 7 validation meetings designed to obtain interim comments on the work performed up to the midpoint of the project. The team used these comments to further develop information requirements for an ideal integrated maintenance MIS. The conceptual system design identified eight subsystems, four internal and four external data groups, that meet the information needs and serve the functions of Car Equipment's maintenance and support operations. Each of these subsystems supports a18 Figure 2 New York's IMMS context diagram. (10) specific area of the division's needs. By integrating these subsystems, data can be recorded once and used universally. This integration of the total functionality and information needs of Car Equipment separates this proposal from the previous system applications.

The estimated tangible benefit resulting from the full implementation of the integrated maintenance management system was $22.5 million per year. Several intangible and unquantifiable benefits could also be derived from such a system. These additional benefits included faster and more informed decisions, better identification of costs, and more businesslike operations. SEATTLE METRO: DISTRIBUTION DATA BASE Seattle Metro is a countywide department of King County 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 department's strategic mission, technology is viewed as facilitating the operation of an easy-to-understand and easy-to-use, interconnected, multimodal transportation system operated by multiple agencies in the region. This vision includes the view that "customers will have convenient and user friendly access to up-todate and accurate information about transit and other shared-ride services whether through their personal computers, TV screens, telephones, personal communication devices, and interactive kiosks. This information in conjunction with timely and accurate freeway and arterial congestion information will provide people with the information they need to choose when, how, and even if to travel" (11). This vision of a technology-based, information-rich transit system has suffused the entire management environment at Metro and helped empower those who are deploying these new tools. 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 scheduling and synchronization of data exchange. The scheduling is primarily time-driven; for example, process X must be run nightly but only after 6 p.m. Synchronizing events involves process prioritizing, process chaining, and system balancing to ensure both data and system integrity. Figure 3 describes the data integration strategy, which is as follows: Controlled and standardized access to information across disparate systems, Control of process scheduling, Synchronization of the process of data exchange, and Ensured integrity of data throughout the DDB. As the data repository required to support the data integration strategy, the DDB does the following: Allows systems to share data so that the data do not have to be duplicated elsewhere, Allows user to access data that come from different parts of DMS' data universe (e.g., different business components), and Gives users the data platform to combine information in new ways spanning multiple, heterogeneous systems. The logical model of the DDB provides a shared concept of the business that is arranged by subject area, not necessarily by business component system. The first version of this logical model was completed in September 1993. Although this first version of the model defines all entities, attributes, and relations, the revisions19 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 ongoing. Figure 4 represents the implementation of the integration strategy using three examples of business component systems. The systems represented are GIS, scheduling, and financials including inventory, general ledger, and accounts payable/purchase orders. These three different business component systems selected represent direct and potentially indirect connection to the DMS DDB.

The DDB conceptual model is the foundation for several integration projects undertaken by Seattle Metro. The two specific integration projects included in Appendix A are the GIS and OSS. TORONTO TRANSIT COMMISSION (TTC): AUTOMATED TRANSIT OPERATORS SYSTEM (13,14) TTC is currently developing a new long-range information technology plan. However, in its 1992 commissionwide long-range plan, TTC identified the need to improve the process of researching and developing new applications and acquiring new technologies. In the discussions with the MIS department, two current projects were identified as meeting the criteria for this study: an automated transit operators system (ATOS) and a new information system to support Wheel-Trans, TTC's paratransit operation. Both projects exemplify an integration approach that included full cost/benefit analyses. The ATOS project was chosen for description because it was believed to have greater overall applicability to other transit agencies. TTC recognized a need to streamline its divisional offices in workforce and performance measurements, while standardizing administrative procedures to create consistency and improve the control, quality, accuracy, and timeliness of information. To accomplish this objective, major improvements to existing databased systems were required and several key manual systems needed to be computerized. With the exception of some on-line subsystems, the majority of information records at the divisions-such as schedules, operators' work selections, and employee general information-were maintained on paper and stored in binders or filing cabinets for daily reference. Information pertaining to employee absence, substitute operator work assignments, and payroll data was collected daily and processed manually. Consequently, the lack of automated databases relative to schedules, general information, absence, and payroll inhibited the productive use of divisional personnel and allowed some preventable problems to go unchecked. To achieve benefits and improvements within the Transportation Branch, an ATOS was proposed. A pilot project at Roncesvalles20 Figure 4 Seattle Metro DMS integration strategy: physical model. (12)21 Division estimated the cost/benefits of the ATOS to be $100,000. Based on this estimate, the total cost of the ATOS project was projected to be approximately $4.9 million. Successful implementation of this full project was expected to yield an annual savings of approximately $1.35 million with additional benefits relative to the use of human resources, reduced

cancellations, and other administrative benefits. The pilot project and evaluation results were completed in the fall of 1993, and citywide implementation is expected in mid 1995. Based on these assumptions and the pilot project, an ATOS committee made the following recommendations: Proceed with systems requirement definition Issue request for proposal to qualified firms. Purchase and test a developed product for 6 months. Evaluate product and make final recommendation. Due to the magnitude of the Transportation Branch operation and the potential for automation, this project was considered to be very important by the Transportation Branch and was given high priority Scope of Project The ATOS project was to improve the availability and use of information by interfacing and automating current systems in the Transportation Branch. The main objectives for the ATOS project were as follows: Automate the slip administration functions. Interface with current schedule, payroll, and personnel systems. Streamline administrative practices to ensure uniformity among divisions. Improve activity levels. By meeting the above objectives, the project was expected to do the following: Ensure uniform application of contractual regulations. Provide accurate and uniform payroll practices. Provide detailed analysis of labor costs and workforce. Maintain accurate and current employee information. Ensure accurate and timely flow of information. Eliminate duplication of activities/reports The ATOS context diagram provided in Figure 5 shows the process whereby information is received and processed. METROPOLITAN ATLANTA RAPID TRANSIT AUTHORITY (MARTA): MAINTENANCE PLANNING AND CONTROL (15,16) MARTA identified an integrated maintenance management information system (MMIS) as its highest MIS need in its 1990 longrange information systems plan. Following an extensive evaluation process, MARTA selected the maintenance planning and control (MPAC) system of The System Works, Inc. (TSW). The MPAC system tracks and schedules all equipment, parts, and labor related to maintenance, which traditionally represents close to 50 percent of MARTA's total operating budget. When the system is completely

functional, an estimated 1,000 MARTA employees will eventually use MPAC in their daily work. The MPAC system is designed to expand with MARTA's bus and rail network, which currently serves 70 million riders each year via 29 rail stations and 150 bus routes. A high-level graphical representation of MARTA's computerized MMIS is represented in Figure 6. The MPAC system includes the following primary components: 1. Maintenance planning and control (MPAC) 1.1 Work orders 1.2 Materials management 1.3 Occurrence reporting 1.4 Curator imaging system 2. S&A fuel/fluid tracking 3. Timeware 3.1 Automated time and attendance tracking 3.2 Work order labor distribution 3.3 Job board assessment 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 and has an interactive, end-user operated system. Timeware is an automated program for collecting employee work hours and distributing labor costs. Relational database technology makes Timeware adaptable to most transit environments. METRO-DADE TRANSIT AGENCY (MDTA): COUNTYWIDE APPLICATIONS ENVIRONMENT (17) Because MDTA is a department of county government, some of the agency's information system components are supported by the countywide information technology department (ITD) and some are supported directly by MDTA's own management and information services division (MISD). ITD is a mainframe environment that supports several countywide applications used by MDTA, including the systems described in the following paragraphs. Equipment Management System (EMS) The EMS is a countywide, multiuser, on-line maintenance management system developed by ITD with representation from 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 of all types of equipment, vehicular or stationary, planning utilization; and cost analysis. Materials Management System (MMS) The MMS was purchased in 1985 from TRES Systems, Inc. MMS is an on-line system used for the control of materials. The

materials database is updated and maintained by menu-driven22 Figure 5 TTC's ATOS context diagram. (13) screens, which also provide inquiry on the status of stock items, purchase orders, and supplying vendors. Financial Accounting Management Information System (FAMIS) FAMIS, originally implemented by Dade County in 1977, is an integrated financial system that was designed to meet the needs of government and other organizations that use fund-accounting principles. Agency Management Control System The Agency Management Control System is designed to operate as a subsystem of FAMIS. The system provides detailed subsidiary financial accountability for fixed assets accounts carried in FAMIS and detailed physical identification of these assets. Payroll/Personnel System The overall objective of the payroll/personnel system is to pay an employee for services performed while working for metropolitan Dade County. As a result, a number of controls and procedures are in place to administer the union contracts and administrative procedures to which employees are subject; at the same time, these controls and procedures establish accountability and budgetary controls to monitor the overall system. Geographic Information System (GIS) The use of GIS to manage the fast-paced growth occurring in urban areas of Dade County has become an absolute necessity, as it 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. Automated Budget Development System (ABDS) ABDS helps departments within the county prepare their 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 projections, performance planning, and predefined reporting. MDTA's MISD is a VAX cluster configuration with a microcomputer LAN environment supporting transit-specific applications. Because of the organizational separation of the two MIS functions in Dade County, it is particularly important to identify the following strategic focus of the MISD: 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 improve information accessibility. Continue to support and encourage adherence to standard architectures and communications protocols to address the

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

project life cycles, and all projects are pursued with a fully rigorous systems methodology and full cost/benefit analysis. To demonstrate the approach Metra has taken in one area of advanced technology, a status report on revenue accounting ticket distribution and sales has been included in Appendix A. This report24 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 purpose (e.g., because "increased ridership and market share" are critical strategic goals, Metra's marketing group's needs are always promptly met by the Information Systems Division.) Application Systems Integration Chart: Interface CrossReference (1) Material requests are automatically generated in the inventory system for items in inspection and standard repair kits (bills of material). Material costs are retrieved from the inventory files and posted to work orders in labor and maintenance tracking. (2) Train consist data are exchanged with TOPS so that maintenance foremen know the location of rolling stock to be maintained and are able to substitute operational units for those being repaired. Repair history is sent to TOPS to drive the inspection forecast. (3) Payroll positions to be worked and employees expected to fill those positions are downloaded to the time-clock subsystem on local shop networks at the beginning of each pay period. Time-clock data are collected each day, summarized, and forwarded to the mainframe payroll time-entry subsystem for gross up. (4) Completed capital projects are split into assets and transferred from the capital projects system with an asset value and a service date as well as other identifying and descriptive 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 ledger voucher file for internal labor and materials used on capital projects. (6) Accounts payable vouchers for goods and services purchased for capital projects are extracted and converted to capital projects transactions. (7) The general ledger chart of accounts is used to validate account numbers on incoming vouchers in the accounts payable system. In the monthly closing cycle, a file representing about 50 percent of the entire set of general ledger journals is passed to the general ledger system. Accruals, reverse accruals, and encumbrances are included in

the set of journals. (8) Vendor names and addresses are shared by the accounts payable vendor master file and the DBE system that tracks minority vendor participation in Metra projects. (9) Vendor masters are established by purchasing. Payee addresses and 1099 eligibility are updated by accounts payable; both systems share a common vendor file. (10) The general ledger chart of accounts is used to validate26 account and project numbers on incoming requisitions and purchase orders. (11) Items received in the purchase order system are passed to rail materials Inventory to update the perpetual inventory file. (12) Ticket purchase orders are extracted and sent to the ticket inventory subsystem of the revenue and ticket accounting system. (13) The general ledger chart of accounts is used to validate account numbers on incoming payroll transactions. Payroll journal vouchers are generated and passed to the general ledger voucher file at the end of each pay period. (14) Positions expected to be worked are downloaded from the mainframe payroll system to a PC time-entry system at each site at the beginning of a pay period. Summarized time card data are uploaded at the end of each pay period. (15) Pay data are sent to the payroll system each day for operating employees scheduled by the crew calling 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. (18) The revenue and ticket accounting system will supply cash journals to the general ledger system at the end of the accounting cycle. (19) The risk (insurance claims processing) system provides a payment and reserves journal in report format to the general ledger system. (20) Crew scheduling provides TOPS with a list of the crew manning each train trip. (21) TOPS shares descriptive table entries with the safety testing system and provides equipment number validation for safety test transactions. (22) Historical data resident in the revenue and ticket accounting system control the volume of laser ticket

printing for each ticket-selling location. (23) Completed billing is transferred to the accounts receivable system for collection. (24) Contracts provide the input for setting up recurring contact billing. (25) Material usage journals are passed to the general ledger system at the end of each accounting cycle.27 CHAPTER FOUR CONCLUSIONS AND RECOMMENDATIONS BARRIERS TO ADOPTION OF NEW MIS TECHNOLOGY Several general barriers that apply to most transit agencies were identified: Organizational barriers: In small agencies, it is often difficult to access MIS staff and/or technical resources from the broader governmental entity. Usually the agency 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 mainframe environment primarily supporting financial systems has persisted in the transit industry. MIS organizations are frequently organized under the finance department rather than under an administrative group that has agencywide responsibility and oversight. This same kind of model has frequently led to the emergence of "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 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 processes. Although transit agencies are more alike than different, a multitude of unique manual processes have grown up at individual agencies over time. This approach to doing business in the transit industry represents a major barrier to acquiring standard software packages to support primary functions and makes transferability across transit agencies of similar size difficult despite significant commonality. Training: Lack of training in existing hardware/software and related technologies and inadequate education regarding new developments in MIS are critical barriers to success. Training needs to occur at two levels in transit agencies: (1) training and development of MIS staff where

they exist, and (2) training and education of user department personnel in appropriate technologies. Funding: Funding is a problem in two areas of transit: (1)lack of funding to acquire, update, and maintain critical MIS and new technologies; and (2) specific funding opportunities that create uneven or inappropriate investment in particular technologies. Because most information technology is acquired through capital grant funding, which is often dictated by particular events and timing, projects in this area do not always conform to strategic need. It is not uncommon to see a significant investment in a particular exotic advanced technology in an otherwise impoverished agency. User Group Framework In the transit industry, a very large investment is made in information systems and related technologies. Because this is such a large investment made through federal, state, and local funds, there is a pronounced need to create an effective, broad-based user group that can help the industry make the appropriate investment in information technology. Based on the size of the investment and commonality in the industry, there is enormous value in creating a new framework to facilitate communication and assist decision making in the acquisition and deployment of information systems technology. At a minimum, development of a public framework to facilitate this investment process could provide the following: 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. CRITICAL SUCCESS FACTORS A set of critical success factors was developed from a comprehensive review of the MIS environments of all the surveyed transit agencies and discussions with key staff involved in MIS project activities during the site visits. These factors were viewed as the most important conditions necessary to position MIS within the agency and have been deemed essential to the long-term success of MIS activities. The following 18 factors were ranked in order of importance by the seven agencies visited. (1) Support key strategic business purposes of the transit agency (2) Establish appropriate organizational structure for MIS (3) Institute an agencywide planning process

(4) Employ systems development methods (5) Decentralize access to management tools (6) Centralize control over the MIS function (7) Use automation to facilitate future expansion (8) Initiate an automation/reengineering process (9) Perform cost/benefit analysis (10) Move toward software packages rather than custom development (11) Avoid prototype solutions (12) Use computer-aided system engineering (CASE) (13) Migrate toward open architecture (14) Migrate to client/server architecture (15) Maximize integrated solutions (16) Facilitate the use of data as a resource (17) Establish a PC help desk (18) Implement a disaster recovery plan.28 Support Key Strategic Business Purposes of the Transit Agency Most fundamental to the overall success of the MIS department is the ability to link its activities and efforts to the broader strategic purposes of the organization. Supporting the organization' s strategic business functions and involving key user groups is critical to the overall success of the MIS effort. Although strategic purposes vary from agency to agency, the following are some recurring, primary issues that have significant MIS implications: Cost containment: With reduced local and state revenues due to economic downturn, growing competition for local resources, and limited federal support, most transit agencies need to exercise a program of cost containment. Programs that improve efficiency and reduce costs at all levels of the organization need to be promoted. MIS implications for cost containment include the following: -- Increase employee efficiency through the use of automated tools and reengineering. -- Provide better and more timely information to management decision making through seamless connectivity and executive information systems. -- Improve financial tools for accounting, budgeting, and capital project planning. Employee productivity: Generally, employee productivity in most transit agencies is perceived as being below private-sector standards. Acquiring the right people in a timely manner, providing them with well-conceived, onsite training and development programs, and creating appropriate incentives promote productivity throughout the work force.

MIS implications for employee productivity include the following: -- Use automation and information technology to increase staff productivity. -- Provide better management tools (performance measurement and executive information systems) to monitor and assess the ongoing components of the agency. -- Acquire better mechanisms to train staff and facilitate development programs. Quality of service: With changes in ridership and continued pressure for cost containment, it is essential to maintain quality of service if an agency seeks to continue to improve its market share. MIS implications for quality of service include the following: -- Establish and monitor standards for quality performance to include both managers and staff. -- Provide employees with the best tools to complete their work and eliminate unnecessary manual and redundant tasks. -- Evaluate service quality as often as possible and provide immediate feedback. -- Use technology to make service safer, easier, and more reliable. Establish an Appropriate Organizational Structure for MIS Although the pendulum continues to swing back and forth between proponents of centralization and decentralization of MIS organizations, some organizational fundamental issues remain that seriously constrain the acquisition and deployment of MIS services and technology. There is no one right way to organize-multiple examples of different organizational structures all work very effectively in the transit industry. However, several factors should be considered in evaluating or altering existing organizational structures. Broadest possible access to and support of the user community-With the expansion of computerization into all aspects of the organization, the MIS department has been appropriately moved to an organizational unit that has organizationwide access and responsibility. Even more recently, with the rise of advanced technology that both generates data across departmental lines and is microchip-based, MIS departments might be moved into more of an umbrella role. Development of organizationwide standards and architectures-To exercise reasonable control over the acquisition, deployment, and maintenance of information systems hardware and software, the MIS department needs to develop and enforce some level of standards and

architectures. These standards and architectures need to be wellconceived and fully justifiable within the context of existing agency investment and the mainstream evolution of hardware/software systems. It is also important that primary user departments are fully involved in the development of these standards and support the concept of reasonable organizationwide control over the acquisition and deployment of MIS and related technologies' resources. Organizationwide oversight mechanism--If organizationwide standards and architectures exist, then appropriate mechanisms must ensure that these are respected and met. If the charter of the MIS organization does not possess that oversight responsibility, it needs to be exercised in other parts of the organization such as purchasing or the administrative sign-off process. Commonly, the most effective way to exercise oversight is through the creation and support of an organizationwide committee. To be effective, this type of committee needs appropriate representation, proper authority, and means of enforcement at its disposal. Further efficiency is achieved when this type of committee meets only as frequently as necessary, and its membership reflects the highest level of management and functions at the proper level of oversight. Establish a technology investment process--Several of the surveyed agencies expressed a pronounced need to establish or reinforce a focused process for controlling and exercising balance over the MIS technology investment. To establish the proper linkage between specific management needs and MIS resources, some agencies have created a single focal point for decision making in the acquisition and deployment of information technology and for setting agencywide policy for MIS. A technology investment committee needs to be composed of top management and preferably chaired by the chief executive officer, with representation by MIS. The charter and responsibilities of this committee need to be clearly established and distinguished from other committees. This committee should have the authority to do the following: Establish mission, goals, and objectives for MIS.29 Set policy for MIS and information technology deployment. Oversee the planning and acquisition of information technology. Establish a cost/benefit methodology and standards for all information technology investments. Control transit agency technical specifications. Institute an Agencywide Planning Process The degree and nature of IS planning varies widely across the site visits and survey respondents; IS ranges from none at all to extensive, annual, long-range information system and strategic

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

contemporary business practices. Some highly visible examples of inefficiency include areas with a high deployment of secretaries and/or clerical people. Today, managers in the private sector perform30 most of their own word processing on PCs and, combined with Email and LAN technology, have moved progressively toward a more paperless environment. Areas like finance, purchasing, and materials management can eliminate many of the manual processes currently performed by clerical staff through the introduction of new, integrated software systems. This can be initiated with a systematic review of all business functions to determine where legitimate opportunities exist and establish candidate areas that suggest stronger return on investment than other areas. Candidate areas are those business functions that appear to have the potential for generating considerable savings if they are properly reengineered and appropriate automation technology is applied. The key to being a candidate area is that the savings must exceed the investment (i.e., it is not enough to simply enhance the effectiveness or quality of a process--tangible financial savings need to occur). Those savings generally will involve the ability to significantly downsize an operation without negatively affecting its products. The tradeoff can be seen as reducing manual labor through technology. In the transit industry, this tradeoff is even more attractive because it can be viewed as a way of substituting capital expense for operating expense. The reengineering/automation process is expected to include at least the following basic stages: Feasibility study: Determine, at a diagnostic level, the potential for change and the consequent savings. Full reengineering process: Evaluate the functional areas' business processes to determine how those processes can be streamlined through the application of automation technology. Findings and recommendations: Quantify the cost savings through full cost/benefit analysis, and recommend an appropriate course of action. Action plan: Detail the steps, resources, and time frame required to implement the recommendations. Implementation process: Align the business acquisition and installation of the appropriate technology. Follow-up reporting: Reevaluate the business processes to verify that savings are being realized and report on effectiveness. Perform Cost/Benefit Analysis From the survey it would appear that too few transit agencies have developed or use appropriate means for evaluating the value

added by information systems technology investment. Though this is not only a quantifiable process, a specific tangible evaluation process needs to be applied to identify the benefits in relation to the costs. Even some of those agencies that have adopted cost/benefit 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, technology investment is inherently good because it represents the latest technology; while second, it is not worth it because it will disrupt the way business is conducted. Information systems technology must be viewed as part of the overall transportation delivery infrastructure and should be assessed, as all other infrastructure components, on its ability to contribute to delivering transportation services in a cost-effective manner. In an environment of reduced operational subsidies and rising costs, transit needs to critically evaluate all parts of its business with the same yardstick. Move Toward Software Packages Rather Than Custom Development Generally, it was agreed that agencies should take advantage of existing software packages from vendors working in the industry rather than develop custom software in-house. This move assumes both that adequate packages exist in the industry and that agency applications will reasonably fit those package solutions. By using standard packages, the agency takes advantage of the research, development, and broader user community input that has gone into vendor products, and avoids expensive in-house development and continued need for in-house enhancement. The more effectively the agency can use existing vendor packages and move away from customization, the more cost effectively it can support management information needs. Finally, in the current systems assessment survey, an area of high user dissatisfaction was in-house system documentation. Software packages, in general, have better documentation than the documentation for custom systems at almost all transit organizations. Avoid Prototype Solutions Where should public transit be positioned on the curve of evolving new information systems and advanced technologies? This issue was discussed at length with strong opinions being expressed by most MIS managers. Generally, it was agreed that new transit applications need to be developed for emerging technology. However, the expenditure and resource commitment to many of these projects seemed to many to be disproportionate to the agency's need and/or the overall level of information technology sophistication in many agencies. It is not unusual to see pockets of exotic technology that may well have some value to the particular agency or even the

industry as a whole but that exist in an otherwise impoverished 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 agency-specific and industry-specific cost/benefit is neither sufficiently developed nor being used effectively to evaluate these projects. Because the transit industry is in a cost-containment environment that emphasizes financial efficiency and service effectiveness, it is generally viewed as appropriate to acquire and deploy proven technologies that are well established and existent in the broader transportation and commercial marketplaces. Use Computer-Aided System Engineering (CASE) CASE is a method that defines business relationships, activities, processes, entities, and attributes (known as data definitions). The information is created and displayed using simple graphical diagrams and is maintained in a central encyclopedia. CASE reduces duplicate information and quickly reconciles data among subsystem31 models. The software maintains all documentation; as system engineers identify application business requirements, the system automatically maintains actual documentation. Once analysis and design are complete, database structures and program source code are automatically generated. CASE allows the rapid development of business applications and the ability to build on previous work-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 systems development. Migrate Toward Open Architecture Many agencies have begun to migrate toward open architecture. This migration addresses user requirements for data access and computer multiplicity. An open architecture implies an interconnectivity among information systems. This technical architecture allows for the access, transfer, and manipulation 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 guideline for developing the information resources to meet the information needs of transit, this architecture is becoming a principle in the migration of the process control systems. Four criteria are often cited for open architecture: (1) An open application or interface is based on technology standards that evolve over time. (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. (4) Hardware and software modules freely interoperate with each other--meaning real information sharing, not just file exchange. Migrate to Client/Server Architecture More and more transit agencies, like businesses in general, are migrating to client/server architecture. This emerging technology is enabling many organizations to extend the life of existing systems, while providing new functionality to the user community. Client/server technology is defined as networked computers with one or more client computers (users) accessing a server computer, which acts as the primary repository of data and procedural control. An example of client/server technology is the FMS (see Chapter 3). Generally, the server computer operates under the UNIX operating system, and client computers operate under any of several operating systems, most often a DOS-based network such as Novell. The server uses fully relational database management systems, with a GUI in place for the client Maximize Integrated Solutions Although clear support exists for a decentralized workstationbased environment, there is a need for integrated solutions and reduced duplication of data in the MIS environment. Integrated solutions assume sufficient centralized control over the computing function and assume an active process of ensuring that appropriate data are made available across management activities. One of the primary functions of MIS is to oversee the acquisition of automation tools to facilitate shared and integrated usage. Departmental relationships should be anticipated and future usage should be planned by the MIS Department. Facilitate the Use of Data as a Resource Many surveyed agencies expressed the need to see all data generated through the transit agency as a resource for all management. If all data are viewed as an agencywide resource, the data's integrity and availability can be better assured, duplication and redundancy of input can be reduced, and better communication across departmental lines can be fostered. The concept of data as a resource is fundamental to decentralizing the tools of computing and centralizing control over the means of computing. Data security needs to be considered in concert with the availability of data. Establish a PC Help Desk In recent years, several transit agencies have established PC help desks. A PC help desk provides direct, continuous software and hardware support for PC users in the organization, regardless of location. The establishment and maintenance of this kind of facility

ensures some level of basic support and creates a valuable communications link for all computer related problems. Implement a Disaster Recovery Plan In the event of a disaster, all transit agencies need a means of 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 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 processing operations to prevent an unacceptable disruption of the services to the company. A good disaster recovery plan contains a complete set of components that address all phases of disaster recovery. The components include recovery plans for all computer platforms, LANs, and PCs. The plan identifies steps to provide all the critical resources needed if a disaster occurs. This plan must be comprehensive enough to ease decision making immediately following a disaster. Two fundamental elements of a disaster recovery plan should be addressed: (1) a risk assessment, and (2) the recovery plan. Risk assessment measures and defines an agency's exposure. This assessment defines potential liability in terms of cost for lost information, missed opportunity, and employee downtime. The plan itself provides a method to address the appropriate areas of risk. RECOMMENDATIONS FOR FUTURE RESEARCH In the process of gathering information for this report and 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 project include the following: Conduct a broad-based industry survey of MIS practices. Perform follow-up reporting on the progress of the seven site visit integration projects. Develop a fully functional framework for an industry MIS user group. Create the single focal point for the user group within the organizations involved in transit MIS issues. The synthesis study focused on the best practices of seven select transit agencies through a detailed examination of specific integration projects and an assessment of critical success factors. Though this area of emphasis was supplemented by additional small agency site visits and questionnaires sent to 20 transit agencies of different sizes, there is a need for a more broad-based industry survey. A larger survey effort could provide additional significant information on the state of the practice of MIS by region, mode, and

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

software, which allows the computer to work. A computer-aided dispatch system is application software, as is each word processing program. AVL--Automatic Vehicle Location. A type of system using any sort of technology to track or locate a vehicle. batch processing--The technique of executing a set of computer programs or entering a large quantity of data without human interaction or direction during their execution. Contrasts with on-line service. Payroll check preparation is typically a batch-processing activity. beta testing--An initial testing of application software. CAD--See computer-aided dispatch. CASE--See computer-aided systems engineering. client/server technology--Networked computers with one or more client computers (users) having access to a server computer, which acts as the primary repository of data and procedural control. Computer--An electronic device capable of accepting and processing data (information) and supplying the results of such processes. Contemporary computers, combined with application software, permit the user to perform various tasks. In some discussions, "computer" means only the central processor. In others, "computer" means the entire package including the central processor, input and output devices, storage, arithmetic, logic, and control units. computer-aided dispatch--An automated system for processing dispatch business and automating many of the tasks typically performed by a dispatcher. Abbreviated CAD (not to be confused with Computer-Aided Design, which is also known as CAD), it is application software with numerous features and functions. A basic CAD system provides the integrated capability to process calls for service, fleet management, and geographical referencing. computer-aided systems--A range of software products that define business relationships, engineering activities, processes, entities, and attributes (abbreviated CASE). The information is created and displayed using simple graphical diagrams and is maintained in a central encyclopedia. CRT--Cathode ray tube. The term is still in use, but gradually being replaced by VDT, video display terminal. CRUD--This matrix demonstrates how a function uses an entity. This acronym represents "Create, Read, Update, and Delete." data--A broad term implying some quantity of information. More often, in a computer context, data implies automated information. data base--1. A repository for stored data that are integrated and shared. 2. A data collection that is organized for computer processing to optimize storage and increase the independence of the stored data structure from the processing programs. 3. A formal, computerized method for storing details of interest to a business so that the stored

items may be accessed and manipulated. Data Base Management--A computerized software system for creating, maintaining, and System (DBMS) protecting data bases. data processing--A generic term in which the computer is instructed to sort, organize, summarize, and otherwise manipulate information. DDB--See distribution data base. digital--Generally, information is expressed, stored, and transmitted by either analog or digital means. In a digital form, this information 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 actions. disk--Computer disks are available in a large variety of forms and sizes, and in every case, a device must be available to operate or 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 so-called hard disk, sometimes referred to as a fixed disk or fixed disk drive. Disks also are found in platter-shaped packs in which a number of disks are formed together. dispatcher--A generic term for the communications center controller. distribution data base--Data that are stored in more than one system in a network and are available to remote users and application programs. entity relationship model--A data model design method that provides a defined, disciplined approach to organizing information. The data consist of entities, their descriptions (attributes), and relationships among entities and/or other relationships. A model of the business, or an area of the business. The model contains the definitions of the business entities, and an English description of the relationships between them, cardinality of the relationships and identification of the unique identifiers. geographical information system--A computer system capable of holding and using data describing places on earth. Like a map, a GIS can depict the location of things in relation to other things and can provide information about those things. GIS--See geographical information system. GPS--Global Positioning System, a navigational concept involving a constellation of some 24 communications satellites orbiting34 the earth at a very high altitude. Using signals broadcast from the satellites, earth-bound vehicles and people can calculate their position with exceptional accuracy. graphical user interface--Programs that simplify user interactions with systems typically through the use of a mouse and screen icons. GUI--See graphical user interface. hardware--A generic term referring to the physical components of a computer system Reference is often made to hardware and software,

and in that context hardware consists of the computer, input and output devices, and other peripheral equipment. information engineering--A formal systems development life cycle that applies engineering rigor and graphic display to define business requirements by focusing first on data, then processes, and then on technology. It consists of planning, analysis, design, and construction phases. input--Any device used to enter information into the computer. This includes, at a minimum, a keyboard, and disk and tape drives. Interface--A shared boundary between various systems or programs. An interface is also the equipment or device that makes it possible to interoperate between two systems. It is common to interface the 911 telephone system with a CAD system. In such a situation, both hardware and software are needed to provide the interface. An external interface implies that a local computer or processor has been interfaced with some external computer or processor or system. An external interface might connect a self-standing CAD system and an agency's administrative computer. keyboard--A panel-mounted array of buttons, each with one or more functions, connected to some device that receives signals when such buttons are depressed, resulting in some action or display. This is considered an input device. Though many styles and keyboard layouts exist, at this time the most common style is known as "qwerty," based on the linear position of those six keys. magnetic media--Information stored in various magnetic forms such as on a disk or tape. mainframe computers micro- and (micro, mini)--Until recently, reference to mainframes, minicomputers were based on cost, memory, and storage capabilities. Today we are seeing PCs with capabilities that vastly surpass the capabilities of older mainframes, together with multitasking capabilities as well. The distinctions among these various categories are no longer clear or necessarily relevant. network (LAN, WAN)--A variety of methods exist to interconnect small and large computers separated by short and long distances, while not experiencing the normal disadvantages of remote operations. Through the use of Local Area Networks and Wide Area Networks, it is possible to have large numbers of integrated users sharing information without any functional deficiencies or loss of operational speed. OIS--See office information systems. office information systems--A variety of hardware and software systems. These systems include word processing, electronic mail, image processing, creation of compound documents, application processing tools, distributed relational data bases, and object-oriented computing.

on-line--The condition in which the terminal is directly connected to the central processor. Contrast this with batch processing, which is not on-line. open architecture--A technical architecture that allows for the access, transfer, and manipulation of data to the greatest extent possible throughout the organization. operating system software--The set of programs that allows a computer system to work, as well as supervise its own operations. Application software cannot work on a computer unless the computer is first loaded with an operating system. output--The product of the computer. Types of output are the information displayed on the computer screen or printed by a printer. PC--Personal computer. Various definitions apply. Some consider that a PC is a personal computer operating only with the MS-DOS operating system. Broader definitions that include small single-user computers with a variety of operating systems are common. peripheral--Any devices or equipment that support the central processor. Peripherals include terminals, printers, disk drives, and tape drives. pilot users--A group of end users who are involved in the testing and installation of new software systems. Printer--Printers are found in an increasing number of styles and types. The more common printers are laser, ink jet, impact, and dotmatrix. Users often select printers based on the quality of production as well as the speed in which documents are printed. program--See application software. relational data base--A collection of relational data that are stored in more than one system in a network and are accessible as though they were in a local system. Software--Programs written for computers. The computer typically has two types of software: operating system software (to make the computer work) and application software (to perform the task required by the user). software, custom--Programs written specifically to meet the requirements of an individual user. A transit agency desiring to have a CAD system unlike any other would arrange for a custom software programs to be written to their specifications. software, off-the shelf--Programs written for multiple users. This software is typically tested and proven prior to marketing. Most offthe-shelf developers allow some degree of modification or customization.35 source code--This is the list of instructions that comprise the software program. Most off-the-shelf software developers retain the source code or place it in escrow for the future protection of clients. 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). workstation--A workstation is a highly-sophisticated VDT (Video Display Terminal) with its own processor and the ability to perform multiple simultaneous tasks.36 REFERENCES 1. Diagnostic Review of OTS MIS Environment, Oahu Transit Services, Inc. Honolulu, Hawaii (1992). 2. Long-Range Information Systems Plan for the Bus, Honolulu Public Transit Authority, Honolulu, Hawaii (1990). 3. Long-Range Information Systems Plan, Orange County Transportation Authority, Garden Grove, California (June 1991). 4. Third Generation Office Information Systems (0IS) Plan, 1991-1995, ISD Strategic Planning, MTA New York City Transit, Brooklyn (November 1990). 5. Software in Transit Handbook, American Public Transit Administration, Washington, D.C. (September 1993). 6. Continuation and Implementation of the National Transit Electronic Resource Center, proposal to FTA, Indiana University, Bloomington (1991). 7. Long-Range Information Technology Plan, San Francisco Bay Area Rapid Transit District, Oakland, California (May 1992). 8. Financial Management System (FMS): Project Overview and Implementation Plan, San Francisco Bay Area Rapid Transit District, Oakland, California (April 1993). 9. Five Year Systems and Telecommunications Plan, Update, ISD Advanced Technology Planning, MTA New York City Transit, Brooklyn (December 1991). 10. Integrated Maintenance Management System Information Requirements, Phase I, Facilities Planning, MTA New York City Transit, Brooklyn (March 1991). 11. Toliver, P., Draft 3/2/94 Speech, Seattle Metro, Seattle, Washington (March 1994). 12. Distribution Data Base Project Overview, Seattle Metro, Seattle, Washington (April 1994). 13. Automated Transit Operators System, Toronto Transit Commission, Toronto, Ontario, Canada (1992). 14. Long-Range Plan Implementation Report, Toronto Transit Commission, Toronto, Ontario, Canada (December 1992). 15. Best and Final Proposal to Provide the MPAC Maintenance Management Information System for MARTA, The Systems Works, Inc., Atlanta, Georgia

(March 1992). 16. Long-Range Information Systems Plan, Metropolitan Atlanta Rapid Transit Authority, Atlanta, Georgia (May 1990). 17. Information Technology Priorities, Metro-Dade Transit Agency, Miami, Florida (1994). 18. Revenue Accounting Ticket Distribution and Sales Workflow, Metra (Metropolitan Rail), Chicago, Illinois (March 1993).37 BIBLIOGRAPHY Advanced Public Transportation Systems: State of the Art Update '92, Federal Transit Administration, Washington, D.C., Report No. DOT-VNTSC-FTA-92-3 (April 1992). Assessment of Computer Dispatch Technology in the Paratransit Industry, Federal Transit Administration, Washington, D.C., Report No. DOT-T-92-3 (March 1992). The AVL Experience at Seattle Metro, Seattle Metro, Seattle, Washington (October 1993). Computers in Maintenance, Metropolitan Atlanta Rapid Transit Authority, Atlanta, Georgia (March 1993). Diagnostic Review of OTS' MIS Environment, Oahu Transit Services Inc., Honolulu, Hawaii (1992). Five Year Data Communications Plan, 1991-1995, ISD Strategic Planning, MTA New York City Transit, Brooklyn, New York (1990). The Formation and Historical Development of Metra, Metra (Metropolitan Rail), Chicago, Illinois (November 1987). Geographic Information Systems Project, Phase I Feasibility Study, Seattle Metro, Seattle, Washington (March 1993). Information Master Plan, Metro-Dade Transit Agency, Miami, Florida (1991). Long-Range Information Technology Plan, FY93 Update, San Francisco Bay Area Rapid Transit District, Oakland, California (March 1993). Office Information Systems (OIS) Task Force, Interim Standards, ISD Advanced Technology Planning, MTA New York City Transit, Brooklyn, New York (July 1992). Operations Contract Management, Reengineering Study, Final Report, San Francisco Bay Area Rapid Transit District, Oakland, California (March 1993). Operation Support System, Concept of Operation, Seattle Metro, Seattle, Washington (March 1994). Operation Support System Project, Proposal for Alternative

Analysis Phase, Seattle Metro, Seattle, Washington (January 1994). Purchasing Reengineering Project, Final Report, San Francisco Bay Area Rapid Transit District, Oakland, California (April 1993). Request For Proposal, Maintenance Management Information System (MMIS), Metropolitan Atlanta Rapid Transit Authority, Atlanta, Georgia (December 1990). Request For Proposals for Procurement and Materials Analysis, Metro-Dade Transit Agency, Miami, Florida (July 1993). Strategic Business Plan, 1993-1997, Metropolitan Transportation Authority, New York, New York (June 1992). Transit Operations System (TOS), Metro-Dade Transit 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 BART's new financial management system (FMS) uses stateof-the-art technology to display, process, retrieve, and update financial information. For the first time at BART, FMS application information will be available to all users through network access in a production environment. As of September 1993, no other transit agency had systems that contain the range of capabilities of FMS. Integration of current practices into the new system, coupled with data bases containing manually interpretable information, have introduced processing complexities requiring extensive testing and verification. In July 1992, BART's project team selected Texas Instruments IEF CASE tool to help define and document business requirements. The team also chose to develop all applications using graphical user interface (GUI) based microcomputer software. An application programming software package called Powerbuilder was selected to help with the development of the applications. In November 1993, a corporate relational data base outside the framework of the mainframe computer, called Informix, was established to capture and hold the FMS information. The FMS plan of BART focused on the following basic requirements: Provide for the transfer of funds from one project to another.

 Ensure that expenses already realized are properly accounted for before transferring information. Provide direct interface of funding information. Automate recording of pertinent information such as payroll, purchase orders, and contract data. Make agreements accessible through the use of on-line viewing capabilities. Capture labor costs and verify against valid cost centers. Centralize review of projects, assignment of FMS numbers, funds, and other functions. Automate entry of project information, upon approval and release. Capture and report expenses in timely manner. Centralize grant data bases with interfaces to FMS and project management. Automate fund and grant application entry, broadly expanded validations. Develop one method for tracking all projects and financial information. Resource load leveling, scheduling, and interface to BART's standard project scheduling software packages. Develop automated uploads of project information, including project life and yearly budgets, to a centralized data base for review by a controlling department, assignment of funding, and automatic update of the central FMS data base. Develop controls for receiving and downloading FMS information detailed enough to ensure financial reporting integrity outside the FMS framework. Develop systems and procedures to verify report results. System Components Applications Applications include the design and development of GUI screens, queries, and reports. Computer engineers and contractors have used a combination of Powerbuilder and Informix microcomputer software products to develop and test the applications. Applications in FMS include project management, capital funds interface, and capital fund accounting. User Procedures and On-Line Help Facilities The DOC-TO-HELP software has been used to define user procedures and create the on-line help facility. WORD has been used to format the information and convert text from the IEF CASE software product. Existing System Interfaces Most financial information is stored on BART's mainframe

computer. The general ledger stores posted financial entries, and the purchasing system stores both contract and purchase order data. Labor information, vendor files containing contractors, DBE status, and other data, are maintained in separate files. Much of these data will be downloaded to the new FMS system. A number of programs have been written to capture and format the data needed in FMS to control costs. Network, Software Installation, Modification, and Testing The network comprises five independent servers running Novell software. The network is connected via fiber optics cables, temporary data lines, and infrared transmissions. Additional software39 has been added to the network to allow for communication with the Informix relational data base server. Microcomputer Hardware and Software The new FMS system is microcomputer based. A minimal and optimal configuration has been defined during development. Necessary upgrades to computers were made for FMS representatives. The FMS software operates in a Windows environment. Client/Server Installation and Testing The FMS information will be stored in different data bases depending on the time of month and the processes required. However, in general, all FMS information is stored in a centralized Informix relational data base. Technical and Application Training Training to use the new FMS system is divided into two phases. 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 conducting classes to train the participants and users. Conversion Conversion is the process of taking information currently stored in various files and transferring the data into a new relational data base format. Many conversions can be automated, whereas some require manual interpretation and input before full conversion is 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 contract data. Deliverables 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 processes. The following major areas are being implemented at this stage. General

The general features of the system include the following: Online user's guide, including standard glossary of terms; user's manual, identical to the on-line manual; Windows software; microcomputer upgrades to minimum configuration; network communication, availability of E-mail; and, upon conversion completion, elimination of closed projects and funds. Capital Fund Accounting Under accounting, the primary functions are to record grant applications, resolutions, restrictions, agencies, contracts, statutes, and assignment to agencies; define distribution of funding sources; identify funding by application (mixed funds eliminated); and monitor fund balance and reporting. Capital Funds Interface In this area of the FMS system, the following functions will be performed: Assignment of funding uses (FTA/100 controls) by project; recording of labor budgets by period and cost center; separate recording of payroll, purchase orders, and contracts; automated RLDS cost center/work order validations; automated debit/credit; transfer of monies between budget controls; reduction of mixed fund requirements (unique identification); allowance of 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 parents; expanded accounts payable to general ledger interface to capture purchase order and contract data; capture of vendor invoice data; and capture and report of vendor DBE status, by contract. Project Management The main features under project management include unlimited level of project/task/subtasks; separate activity recording and tracking; separate recording of FMS work order numbers; recording of budget by resource (budget item); separate recording of payroll, purchase order, and contract information; automated generation of summary cost estimate information; project budgeting by month; recording of weekly pseudo-posted expenses; and recording of deferred payment expenses. Limitations The following are limitations imposed on the FMS system during development. In most cases the limitations are based on the inabilities of other systems to support the FMS data base requirements. Purchasing 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 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 associated dollar amounts on the purchase requisition. There is no identification for the requisition in the purchasing data base, which allows for the identification of purchases containing multiple work orders. The process is again entered by capital program control (CPC) after the purchase order has been completed, typically 3 to 1040 days after entry into the purchasing system. Until the existing purchasing system can be modified or a new purchasing system can be developed, commitment of purchases will continue to be handled manually. This process delays actual commitment of funds and distorts funding availability. The new system allows for inputting key purchase information, then reporting the requisition, order, or contract by the work order or agreement number. Multiple purchase requisitions may be combined into one purchase order, or one purchase requisition may be split into several purchase orders. In addition to the problems of funding delay and distortion, the final purchase order does not reflect from which requisition or set of requisitions it was created. The link to the original purchase requisitions remains manual. Phase II of the FMS system will attempt to bridge the problem by having CPC link the requisition to a particular purchase order through a set of screens; however, this approach still requires manual intervention. Accounts Payable When an invoice is received for payment, accounts payable 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 properly posted. If, however, a purchase or contract contains several work orders, accounts payable must release portions of the invoice based on the work orders manually recorded on the document. If, for any reason, the releases by the work order are not handled properly, recording of expenses against a work order can be incorrect, both against the actual work order and associated fund. Therefore, although it appears that fund dollars have not been spent, they may have been misrecorded. Because the existing system does not provide the ability to uniquely identify and process work orders by individual line items on a contract or purchase order, payments for those contracts or purchases must be handled manually. In addition, automatic validations to stop misapplied dollars by erroneous accounts payable releases are nonexistent. The FMS system captures work orders by contract and by purchase order. Although the system cannot stop the posting, it can

identify differences between the purchase entered into the FMS system and the released payments, based on exceptions. Adjustments could then be made to the general ledger to accurately reflect the new totals. However, unless a subsystem (programs) is developed to reflect the adjustments in FMS, on-line reporting of project and funding information can be distorted. Phase II can address a portion of the problem by uploading the 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 received from FMS. An exception report could be produced for use by accounts payable for the application of adjustments. Capital Funds Interface Based on the problem mentioned under accounts payable, expenses can be inadvertently misapplied to projects and to funds. Funding availability, or lack thereof, may be misrepresented. While the immediate solution mentioned under the accounts payable problem will potentially solve 90 percent of the misapplied expenses, the rate can only be achieved if the adjustments are applied judiciously. The FMS system provides the ability to mix and track grant applications yet process the transaction as one fund. The mix is controlled by allocation within the fund. As an expense is processed, the expense is dispersed and recorded against the grant(s) based on the allocation. A report of this information could ultimately be used to bill back agencies However, a problem becomes apparent in the grant expenditures. When the expense is automatically applied to the grant based on the allocation, the process assumes that (1) the expense has been properly applied, and (2) the allocation is fixed for that fund. If for any reason the fund mix allocation is modified and a previously posted expense is reapplied because of error or reassignment, then the back-out of the expense against the grant application could be 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 requiring separate recording of transactions and billings as separate funds. The new FMS system does provide for the assignment of multiple funds against any given work order. Capital Fund Accounting Prior to the new FMS system, the mixture and movement of grant monies in and out of funds was recorded in nonspecific holding accounts. The recording may not reflect accurate, actual allocations. This has led to discrepancies in reporting of funds, etc. In some cases, data was not recorded; in others, it is misrepresented, or even cannot be properly interpreted.

Reimbursement Labor The current reimbursable labor distribution system (RLDS) is divided into two parts, on-line processing and batch processing. The new on-line system records labor for each unique work order by employee, cost center, and position. The batch system records information by rolling individual employee information into the given cost center and recording the data against the work order. The new FMS system will receive verified/posted labor expenses by work order for a given cost center from the mainframe. However, recording by employee will not be available. This, in part, is due to the lack of all available RLDS labor being recorded on-line. The effort to implement an agencywide on-line system is scheduled to be completed in 1994. Project Management 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 submitted as a total for labor recording. In addition, some cost centers are further divided into sub-cost centers or work units. The current RLDS system was not designed to support work packet capture and reporting. To record both the subdivision of the work order into work packets, the concept of sub-cost centers41 would require extensive modifications to virtually all systems and reports. The FMS project team believes that further breakouts were a direct result of the existing system's inflexibility. The changes to include work packets in FMS' IEF CASE model have been identified, but the modifications have not been included in the initial phase. The project team believes that the new FMS project management system provides individual managers with the ability to further break down and record changes beyond current established FMS boundaries. Implementation The FMS project team recommended that the installation of Phase I of the FMS project be conducted in several stages. The approach provided a climate that can be adequately controlled and results that can be monitored by project team and selected user representatives before complete release of the product's Phase I. Implementation Approach The approach calls for the implementation of FMS GUI application software to be handled in a controlled environment. Initially, selected projects will be converted, tested, and monitored by a selected group of user participants to validate proper reporting and verify dollar values and controls. Conversion of data base information will occur several times during the life of implementation. During the conversion process, user representatives will update pertinent information such as contracts and fund grants.

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 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 department. Stages Stage 1, Conversion: This stage involves the conversion of selected projects, contracts, and purchases from existing data bases. 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. 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 department will participate in training, application beta testing, verifications, and conversion of key information. To accommodate the recommended number of anticipated pilots, individuals will be grouped for ease of training and testing. Information technology training (ITT) representatives will be participating in the pilot program. The individuals are scheduled to participate in all training sessions and testing activities. Information obtained will be used to modify and further build the FMS training manual for BART use. In addition, an assigned procedures writer will participate in the training. On completion of the training and participation in initial stages of beta testing, the procedures writer will incorporate new procedures to define expanded FMS functionality, define process modifications, and eliminate current process redundancies. Once completed, the new/revised procedures will be incorporated into the new Office of Management and Budget's Project Management Manual. Stage 3, Essential users: While the pilot users group continues beta testing, verification, and conversion updates, selected essential 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 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. Stage 4, Parallel testing: Based on the results of the conversion update efforts and the sign-off by the pilot users, the fourth stage can be addressed. After a minimum 1-month period of beta testing and conversion updates, while the pilot and essential user groups 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 participants and FMS project team personnel will prepare a set of criteria. A list of key reports required from both the new and current systems will also be identified. Parallel tests will continue to be run, if necessary, until controls can be verified to be in balance. At completion of the parallel testing, the outcome will be signed off by selected pilot users and the FMS project manager. Stage 5, Production implementation: On completion of all testing and parallel sign-off, the system will then be ready for full production. Final conversion of information may also be required based on the conditions of parallel sign-offs. System Security The overall system is designed with application security in 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 be restricted to CPC. Whereas project managers may modify their approved budget and working monies, actual movement of monies outside certain guidelines will be restricted to approved groups or individuals. Other Implementation Activities Pilot and key essential users hardware will continue to be upgraded. Software to communicate with the network and the FMS data base will also be added to the microcomputers. Tests will then be conducted to ensure that individual microcomputer hardware and software interact with each other. A standard Windows configuration will be included in the user software upgrades. After installation, existing PC software will also be tested with the new configuration. Production systems and networks will be tested to ensure accessibility to Powerbuilder and Informix SQL software. Procedures to effect smooth production implementation and updates will be finalized.42 Implementation Schedule The overall implementation approach calls for a minimum 2 month period for beta development, conversion updates, and parallel testing. A third period may be required to sufficiently verify parallel data. The defined period allows for extensive testing, completion of data conversion updates, and review and approval of monthly production process comparisons run in parallel mode. Finally, a minimum 2 1/2-month time period allows for application of the new systems at the beginning of the first month of a new fiscal year and avoids delays normally associated with fiscal yearend processing. Training The new FMS system uses state-of-the-art technology to display, process, retrieve, and update information. The FMS system

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 environment. With the use of this new technology comes an inherent amount of new requirements for technology training. Coupled with the technology training requirements are application training needs. Analysis of the BART processes resulted in an extremely complex FMS business model. Integration of current and revised practices into the new system, coupled with data bases containing manually interpretable information, have introduced processing complexities requiring extensive training in the use of the FMS system modules. MTA NEW YORK CITY TRANSIT: INTEGRATED MAINTENANCE MANAGEMENT SYSTEM The integrated maintenance management system (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 were 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. The objective of 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. The IMMS Phase I Team consisted of eight Car Equipment participants and nine Information Services participants. These participants received an intensive, 1-week training course in modern structured analysis, a state-of-the-art information engineering 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 (groups of related activities) being performed by Car Equipment. In addition, 58 entities (items about which data must be collected) were identified and defined as used within the division. The information needs and functions were presented to 56 Car Equipment participants in 7 validation meetings designed to obtain interim comments on the work performed up to the midpoint of the project. These comments were used by the team to further develop information requirements for an ideal integrated management information system.

The conceptual system design identifies eight subsystems, four internal and four external data groups that meet the information needs and serve the functions of Car Equipment's maintenance and support operations. Each of these subsystems supports a specific area 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 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 a system, including faster and more informed decisions, better identification of costs, and more businesslike operations. Introduction The mission of Car Equipment is to provide clean, safe, reliable cars to rapid transit operations. To accomplish its mission, Car Equipment must effectively manage its resources: funding, labor, materials, facilities, equipment, and the cars themselves. Effective management of resources requires timely and accurate information. Therefore, information itself becomes a resource that must also be managed effectively. In 1989, the Program Review Committee (PRC) approved a 12month, 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 Equipment in the effective management of its resources while reducing overall costs and improving the quality of railcar maintenance. Part 1 of the Car Equipment/Information Services project, the information requirements, was completed in March 1991. The results are presented in two volumes. Background There is general dissatisfaction with the existing information environment in which Car Equipment operates. Though data abound, most often the needs of the users are not met. Most of Car Equipment's computer applications and systems were developed independently to address specific user needs. This type of development has resulted in incompatible mainframe and minicomputer systems and applications. The introduction of the personal computer has resulted in the proliferation of reports and files that are incompatible with each other and with the existing mainframe and minicomputer systems and applications. This lack of integration results in redundant data entry for many users and requires an enormous effort to verify the accuracy of printed information. One of the fundamental goals of IMMS Phase I was to identify the true data sources so that in the new integrated system,

data would be entered only once. Project Overview The first step of IMMS Phase I was to analyze the information requirements of Car Equipment' s overhaul and maintenance shops,43 which are responsible for carrying out the division's mission. The goal was to identify the information needed to make sound business 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 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 collection of unrelated shops, functions, or processes. In determining the types of data that an ideal integrated Car Equipment maintenance management information system would need to serve all information needs, no limitations, such as the need to be compatible with the existing systems or applications, were imposed. Scope The scope of the information requirements portion of IMMS 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 maintenance activities. Ultimately, this led to an examination of the information transactions between the shops and 14 other organizational units. This examination also served to constantly remind the project team that the information needs of the shops were the focus of the study. Transactions between the groups on the periphery of the diagram fell outside the scope. Methodology 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 stateof-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 appearance office and this arrangement created a closer working environment, fostering a high level of team communication. Additionally, the combination of participant diversity-operating management and supervision staff together with maintenance division support staff and information specialists-and a close working environment resulted in the presentation of unique perspectives, which allow team members to gain a better understanding of the issues and their interrelationships, as well as an overall improvement in the quality of the end product.

The six major activities carried out in Part 1 were as follows: (1) Data gathering (2) Entity definition/glossary building (3) Function definition (4) Validation meetings (5) Determination of entity-entity relationships (6) Determination of function-entity relationships. Data Gathering One hundred key Car Equipment employees were interviewed about their jobs and the information they needed to do their work. From these interviews, the team abstracted the activities each interviewee performed and the specific data within those activities. Entity Definition/Glossary Building As soon as the study began, the need for a project glossary became clear. Throughout Car Equipment, the same word and/or phrase often has several meanings and a single item may have several names. To eliminate this confusion, the IMMS Phase I project team established a project glossary by fixing the definitions of items important to Car Equipment. The glossary contains 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 definition of the entity. Function Definition In a parallel activity, Car Equipment was mapped along a functional rather than the normal reporting/organizational line. Functions continuously categorize what is done without describing how the work is done. Functions do not change unless the business of the organization changes. Car Equipment's reporting/organizational structure changed no less than four times during this part of the project. 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 with RTO, troubleshooting cars and reporting failures, scheduling repair work, deploying resources, and monitoring repair work. Function-Function Relationships The relationships between functions are of logical sequence or precedence. These relationships are based on the categorization of activities of the interviewees and the screening of that information with the team's knowledge of the division. Knowledge of the functional precedence is important to the integration of the overall system because it shows that the data output of a function affects and is needed by other functions. In a well-run organization, the planning of a task will usually precede the actual performance of the task. Similarly, the function planning scheduled maintenance would

precede the function car inspection. This relationship is based on the observation that Car Equipment plans their maintenance before performing the task. Simply stated, each function's data output may affect one or many other functions in ways not immediately realized. Function-to-function relationships within seven broad business categories were used in validation meetings to show the impact of a function's output on other related functions. Seven validation meetings were held in December 1990 to verify the assignment of 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 and functions. The validation meetings allowed the interview teams to confirm the information they had gathered and to44 address additional questions about outstanding issues or areas of confusion. Function-Entity Relationships The next task of the team was to build a create, read, update, and delete (CRUD) Matrix, which is used to show how a function uses an entity. The acronym CRUD is used to represent the methods of entity use by a function. A function either originally creates or records attributes, reads or uses those attributes for further calculation or comparison, updates or changes previously created attributes, or deletes or removes data from an active file. The use of an entity by a function may be one, some, all, or none of these possibilities. The boxes within the matrix contain the appropriate CRUD letter(s) that describe the use of the entity by the function. Entity-Entity Relationships The entity relationship diagram (ERD) is one of the most important portions of the foundation created by the IMMS Phase I. The ERD is a conceptual model that defines entities, or items that are important to Car Equipment, and their relationships with each other. By drawing this graphical model of the entities, the system designer can easily visualize things of importance (not necessarily functions or actions) about the business. The relationships are the business constraints or rules. The model can be used by senior management to do strategic planning of how changes in the business rules and relationships will affect the business of the future. The ERD can be used for decision support by providing a mechanism for eventual open-ended 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 upon knowledge that can be continuously modeled and adapted to current and future business. Entities may be related through one of four possible relationships: a one to one, zero to one, one to many, or zero to

many. The eventual data bases are linked by these relationships. These tools, such as entities, functions, CRUD matrices, entity relationship diagrams, and precedence diagrams, were used in IMMS Phase I to assemble the information requirements. These requirements are the foundation of the IMMS. They permit a faster and more complete understanding of the information requirements of Car Equipment. They are also used as tools in verifying that the right information will be available to the right people at the right time to make the best business decisions for Car Equipment. Information Requirements Information requirements were developed for each of Car Equipment's 44 business functions based on an analysis of the activities and information uses of the selected Car Equipment operating and staff personnel that were interviewed. The requirements describe the type, purpose, and frequency of information needed to support the function. The 44 functions are represented in Table A-1. A description of each business function precedes each of the information requirements for that function. This allows the reader to easily compare the definition and description of the function 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 Planning45

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 after the completion of the first phase. Description of all phases, comparisons of GIS alternatives, and the recommended Phase II alternative for implementation are featured in this overview (see Figure A-1: Seattle Metro GIS Transit Core Data and Sources). Introduction A modern GIS improves the resources available to decision makers by allowing them to access geographical information more quickly and easily. The GIS enables more complex and varied analyses and allows users to produce high-quality map products for internal and external use. The GIS eliminates potential system failures and extends to many advanced applications. Finally, the GIS allows Metro to keep pace with the new demands for information created by the Growth Management Act, the Commute Trip Reduction Law, Americans with Disabilities Act, Waste Water 2020, and the Regional Transit Project. All of these abilities help Metro improve the quality of service provided to the citizens of metropolitan King County. The cost of implementing an agency GIS can be high. Other

agencies have committed or planned much higher expenditures than Metro to develop their systems. The city of Seattle has spent over $5 million so far on a GIS with immediate plans to spend several million more. All other major public agencies in the region have implemented or are planning to implement agencywide GISs Figure A-1 Seattle Metro GIS Transit Core Data and Sources. (1) in recognition of their value for virtually all aspects of planning and operations. Definition 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 location of things in relation to other things and can provide information about those things. More importantly, a GIS is an extremely powerful information system with capabilities far in excess of maps. A GIS allows all the power of modem computer systems to be applied to geographic information; because of its power, speed, and productive efficiency, the GIS has superseded maps. Data describing places on earth are called spatial data. At a minimum, this description consists of a spatial location, such as latitude/longitude, or "120 feet north from the intersection of Eighth Avenue and College Street." At a location, there might be a subject, such as a bus stop or a water-sampling site. Subjects at spatial locations are generically known as spatial objects. Based on geometry, spatial objects consist of three types: point, line, and area or polygon. Examples of spatial objects described by a point are a water-sampling site, a utility pole, or a scheduling timepoint. Examples of spatial objects described by a line are a 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 describe a spatial object. For a bus stop, one might want to know if it has a shelter or if a bus schedule is displayed at the stop. For a utility pole, one might want to know if there is an APC radio emitter on the pole, what the pole is made of, or what the height of the pole is. This 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 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 base to associate a spatial object with its attribute data. To summarize, a GIS holds spatial data, such as spatial location about spatial objects, and relates those objects to attribute data. Specific GIS applications could retrieve spatial and attribute

information, manipulate and analyze the information, and display the results on a computer screen, paper plot, or printout. GIS Architecture A GIS is a system of a group of components, in a certain configuration or architecture, that work together for a common purpose. A GIS has five components: procedures, personnel, data, computer software, and computer hardware. These components work together to capture, store, update, manipulate, analyze, and display 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 infrastructure consists of hardware (e.g., personal computers, Xterminals, workstations, network hardware, file servers, central processors) and fundamental operating software (e.g., operating systems such as ULTRIX, DOS, Macintosh System 7; network software; data base management software such as ORACLE and Ingres; GUI software such as Windows and Motif; etc.). The next 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 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 combine selected software tools from the GIS software with access to specific data and possibly a GUI. Applications are the only level of the GIS visible to most users. To summarize, a GIS is a computer system (infrastructure) that stores data. The GIS software works in applications that allow users to capture, store, update, manipulate, analyze, and display the data. The GIS also associates spatial objects with their attribute information. Specific GIS applications could retrieve spatial and attribute information, manipulate and analyze the information, and display the results on a computer screen, paper plot, or printout. GIS at Metro TransGeo is Metro's main GIS, which, along with other Metro systems, provides the Transit Department with tools for analyzing and scheduling transit services and facilities. For many years, TransGeo has successfully provided spatial analyses and maps of streets and bus routes. TransGeo is also used as the key data base of geographic information for Metro's scheduling information data base (SIDB), and for several other major applications, such as BUSTIME, Automatic Passenger Counter (APC), Automatic Vehicle Location (AVL), the Commuter Information System (CIS), and the Metro Mileage System (MMS). TransGeo Data The TransGeo production base map--an electronic

representation of streets, shorelines, and major jurisdictional boundaries--was originally constructed from the U.S. Census Bureau's digital map, DIME/GBF. However, through the continuous updating and adding of data, the production base map is now more detailed and up-to-date than the DIME/GBF. The production base map shows the street network (including all streets navigable by bus), street names, place names, shorelines, railroads, and political boundaries. In addition to the base map, the TransGeo data base contains spatial objects representing transit service and facilities. Some examples of transit spatial objects are regular service routes, bus stops, signpost emitters, and Park and Ride lots. A new base map has been prepared for TransGeo and its successor and is being used in development. This new map is built from the Census Department's new digital map, TIGER. TransGeo Technical Description TransGeo runs primarily on an IBM mainframe computer. TransGeo data, in a format unique to this system, reside in a RAMIS hierarchical data base and are processed mostly by batch programs written in FORTRAN, IBM JCL, and RAMIS application language. TransGeo Interactive Module TransGeo has a limited on-line, real-time interactive module. This module uses a Tektronix terminal, a protocol converter, communication lines to the IBM mainframe, and TSO (an IBM online facility). The functions available in this module are limited to viewing transit objects (links, streets, zones, and timepoints), adding transit objects, and editing their locations. To perform any other functions, the user must write program code, either rapid access management information system (RAMIS), FORTRAN, and/or IBM JCL. Only one user at a time can edit the TransGeo spatial data. GIS Project Goals and Structure This section describes the general goals and specific objectives for each phase of the GIS project. GIS Project Overall Goal The project goal is to ensure that Metro staff have access to the GIS tools and data they need to do the agency's business with maximum quality and efficiency.47 GIS Project Structure The current GIS project is planned to occur in two phases, the 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-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 Core System Implementation, during 1993-1995. On completion of

the recommended Phase II alternative, Metro will have a basic core GIS in operation. This system will meet about half of the currently identified user needs and will serve as the foundation on which specific GIS-related applications could be developed in Phase III-Future GIS Development Projects. Phase I Overview Project Coordination The purpose of the project coordination effort during the GIS Feasibility Study was threefold: to ensure that all possible GIS stakeholders could make informed input to the user needs assessment, to ensure that all departments in Metro were involved in the oversight of the project, and to guarantee the broadest interagency utility for the proposed GIS. To accomplish the goal of informed user input and management oversight, the GIS team's activities emphasized the education of Metro staff and management, and internal Metro coordination of the project. To maximize the interagency utility of the GIS, the team maintained close contact with other agencies and coordinated plans with them. Management and staff education: Throughout the project, the GIS team sought active, informed participation by client work groups throughout the agency. Early in the project, the GIS coordinator made educational presentations on GIS technology to work groups that could use geographic applications. In all, over 40 presentations 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 assessment about GIS applications that would serve their business needs. Internal Metro coordination: Because GIS technology has agencywide application, the GIS project team consisted of members representing transit, water pollution control, and technical services. Several approaches were taken to ensure internal Metro coordination during the GIS Feasibility Study. A GIS advisory group and a Water Pollution Control Department (WPCD) core team were formed to provide support both to the project team and to the existing advisory and steering committees. The GIS advisory group was appointed by managers to represent their work groups. These key staff people provided direction and review on important project elements: an overall project vision, software requirements, benchmark specifications, and requirements for data and applications. Similarly, WPCD's GIS core team included representatives from throughout the department to provide input and direction to the project. Interagency coordination: By working with other local government agencies, the GIS project team aimed to improve interagency coordination, cost-effective data sharing, and application

development. The team gained a better understanding of GIS technology and implementation strategies by visiting agencies that had already implemented a modem GIS. User Needs Assessment Two user needs assessments were performed-an involved and extensive user needs assessment for the Transit Department and a more modest user needs assessment for WPCD. Transit Department user needs assessment: During the first half of 1992, the Transit GIS Coordinator performed a user needs assessment. His goals were to provide the Transit Department staff 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 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 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 information in performing many of the basic tasks at Metro. Following the presentations, the GIS project team interviewed representatives from the work groups. The purpose of the interviews was to identify four items of information for each work group, as follows: (1) the tasks and business functions performed by the work groups that use geographic information; (2) an estimate of the resources currently expended by each work group to perform those tasks; (3)the ways in which a GIS could support the task identified previously; and (4) the data needed by the GIS to support the task identified previously. In addition to the interviews, existing agency documentation was studied for information on GIS or Metro's business needs. The transit GIS coordinator, in conjunction with the GIS project team, then prepared a report. WPCD user needs assessment: A comparable assessment was accomplished for the Water Pollution Control Department. Evaluation of GIS Software and Hardware This section describes the process used by the GIS project team to identify the GIS software and hardware best suited to Metro's needs. Evaluation of GIS software: First, a request for proposal (RFP) would be released. Second, GIS packages from those GIS vendors submitting the best RFP responses would undergo a functional benchmark test to ascertain their basic capabilities. Third, the most promising packages to emerge from the functional benchmark test would undergo further in-house evaluation to determine how they would meet Metro's specific requirements and how they could be

integrated into Metro's computing environment. The RFP: The RFP solicited information from vendors about their software in the following eight areas: hardware, user interfaces, application development environment, documentation and training, data management, data entry, data manipulation and analysis,48 and data display and product generation. Two criteria existed: Do these GIS packages provide the functions as identified through the user needs assessment? Are the packages compatible with the standards set forth in Metro's information systems long-range plan? Evaluation of GIS hardware: Software was acquired and tested in numerous hardware/software combinations. Personal computers, terminals, workstations, and plotters were tested with specific vendor packages (Arc/Info), data bases, networking software, and various device drivers to gain information on appropriate system configurations. The Recommended Alternative for Phase II--Minimum Buy/Customize By analyzing the user needs assessment, the GIS team identified a minimum core set of functions and data that would meet Metro's basic GIS business needs and serve as a foundation for further GIS development. To meet those basic GIS business needs, Metro would buy a commercial GIS software package, load the core data into the GIS, and customize several of the package's functions into an agencywide Metro Core GIS. Infrastructure The GIS infrastructure is comprised of general computer components that operate below or beneath the specialized GIS components. Computers, operating systems, GUI software, hard disks, printers, and plotters are all examples of these generalized, background items. The infrastructure has three constituent parts: display devices, peripherals, and the central production computer environment. Display devices: Display devices are the hardware and software on which users would run GIS applications. Most users would probably have a DOS PC or Macintosh as a display device. Other users, depending on their individual needs, would have an X-terminal or a workstation. With each computer or terminal, the user would need to have accessories, such as a monitor and a mouse, and operating software, such as an operating system, network software, GUI software, etc. Under the minimum buy/customize alternative, existing display devices would be configured to use the GIS, and the new devices would be purchased. Peripherals: Peripherals are devices that enable data to be input to or output from the GIS. Some examples are a digitizing tablet (input), a printer (output), and a plotter (output). Under this alternative, the agency would have three plotters for general use and

one digitizer for base map maintenance. Users could also use their own local printers. Production computer environment: The production computer environment is comprised of the network, computer hosts (or servers), and a relational data base management system (RDBMS). The hosts are large, powerful computers on which the central GIS software would run and on which the core data bases would reside. Most people signing on to the GIS would be signing on to a host, which would communicate with the user' s display device. Initially, the GIS would use the existing information systems department (ISD) development machine (DEC 5500) as a host server. After the first year, the GIS would be moved to a new information systems department (ISD) production server system. The production environment servers would be shared with other future information systems. Where feasible, an RDBMS would be used to store data, which would make the data readily available to users and systems throughout the agency. The components of the GIS-servers, display devices, and peripherals-would communicate over Metro's existing network: wide area network (WAN) and local area networks (LANs). GIS users would communicate with the servers and RDBMS over the network. Data--Minimum Core Set 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 further GIS development. The core data set has been divided into three subsets: agency core data, transit core data, and WPCD core data. Agency core data is spatial information that would be used throughout the agency and would form a common reference map of streets and boundaries, over which other data would be displayed. Transit core data is spatial information that describes transit bus 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 WPCD. Agency core data: This subset includes the following: 1990 census places; 1990 census tracts; 1990 census/demographic information (households, population, employment, race, age, income, sex); county council districts; forecast analysis zones; municipal boundaries; shorelines; street network; street addresses ranges; and zip code boundaries. Transit core data: This subset includes the following: accident locations; bus stops/zones; bus stop shelters; bus on-time performance data; bus operating bases; commute trip reduction law zones; employer sites (major employers); Park and Ride lots (owned and leased); Park and Ride lots (capacity and usage); ride-free area

boundary; ridership data (for weekdays, by four time periods, by route, and by direction); ridership monitoring points; road classifications; route footprints (deadhead, revenue, and school); security incident locations; service planning districts; timepoint interchanges; timepoints; traffic analysis zones; transit centers; trolley overhead footprint; tunnel and stations; and vehicle volumes-scheduled for weekdays, by revenue/deadhead, by four time periods, by route, and by direction. WPCD core data: This subset includes the following: drainage basin boundaries; flow monitoring locations; permitted industrial dischargers; rain gauge locations; sampling sites (water quality and sediment); sewer/drainage service elements; and site plans (for larger facilities). GIS Software Package The results of the software selection process verified that the Environmental Systems Research Institute's (ESRI) Arc/Info package could best be adapted to meet Metro's GIS requirements. Arc/Info offers many useful functions: GUIs, mapping and plotting49 routines, data editing tools, special analysis modules, data base integration routines, data interfaces, peripheral device drivers, etc. Also, many specialized, third-party products provide interfaces to and from Arc/Info, the GIS industry market share leader. However, Arc/Info stores geographic data in its own proprietary format, Arc, and relies heavily on another data base, Info, for accessing attribute data. These features add an additional level of complexity to integrating the GIS package with other systems and with Metro's planned corporate data base. An agencywide GIS requires development before it can be put into the hands of the users. Arc/Info is a sophisticated GIS software package with some 6,000 separate commands in 7 separate modules. Users would not be able to use native Arc/Info without undergoing extensive education and training. To give users a powerful but simple-to-use GIS environment, specific commands, or tools, in Arc/Info need to be packaged with selected core data into an application that can be presented to users through a GUI. Applications Users would employ one of three GIS applications: the Metro Core GIS, ArcView, or ArcCAD. Metro Core GIS: The Metro Core GIS would be comprised of selected Arc/Info tools, core data sets, and an agency-standard GUI. It could also include third-party software for specialized functions such as geocoding The Metro Core GIS would meet Metro's basic GIS business needs and serve as a foundation for further GIS development The Metro Core GIS would be visible to users through an agency-standard GUI. Like the Apple Macintosh or Microsoft

Windows systems, the GUI is comprised of windows, icons, menus, and a pointing device. Other GUI software, such as X-windows, can be used on terminals running the UNIX operating system and on PCs and Macs. The minimum set of core functions available through the Metro Core GIS would be as follows: Enter, store, and retrieve spatial data (replacement of TransGeo functions). Edit spatial data (replacement of TransGeo functions). Display core data on screen with variable symbols, i.e., icons, colors, shading, line widths, etc. (replacement and enhancement of TransGeo functions). Produce maps using standard plot templates, including Metro's legend, logo, and disclaimers (replacement and enhancement of TransGeo functions). Import and export data (for interagency exchanges). Perform data maintenance. Perform selected spatial analyses (polygon overlays; distance/area calculation; buffering around lines, points, and polygons). Perform geocoding (assigning a geographic coordinate to an address or intersection). ArcView: ArcView is an ESRI product that provides a prepackaged set of Arc/Info functions on a Windows PC or a Macintosh. ArcView enables simple query, display, plotting, and geocoding. Although this product could satisfy the needs of some users, it is not expected to meet the often specialized needs found throughout the agency. ArcCAD: ArcCAD is a product developed by ESRI that integrates the AutoCAD and Arc/Info environments. This product allows users to employ the AutoCAD drafting and editing tools to create and edit graphical data, and to have access to Arc/Info query and selection capabilities. All data created in ArcCAD can be accessed from other Arc/Info modules, including ArcView. This product would permit those familiar with AutoCAD commands to quickly learn new GIS capabilities and would allow seamless access to CAD drawings available throughout the agency. AutoCAD is widely used in Metro's engineering sections and is also used by the facilities planning system in the WPCD. User-specific applications: A number of smaller, user-specific 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). Examples of candidates for the user-specific, small-application

development effort are as follows: an application that plots all routes and stops within a specified distance of a point or points; an application that shows all origins and destinations for a route based on 1992 on-board survey data; and an application to measure compliance and implementation of the Americans with Disabilities Act (ADA) by examining the percentage of ADA-provided trips that would not be eligible based on various route proximity criteria. Interoperation The Metro Core GIS would not be able to immediately perform all of TransGeo's functions. Currently, six major systems depend on data from the existing TransGeo/RAMIS data base: APC, AVL (Radio), BUS-TIME, CIS, SIDB, and Zones/Route Sequence. Until these systems are modified to work with the new GIS, both TransGeo and the new GIS would be operated simultaneously and coordinated. This dual operation and coordination is called interoperation. Initially, the new GIS would download street and transit object information to the TransGeo/RAMIS data base. The data would then pass through the TransGeo interfaces to the other systems. Likewise, information will be taken from some of these other systems and loaded, through RAMIS, back into the new GIS. Existing TransGeo interface components will need to continue operating and will require maintenance. The operation and maintenance will continue until new interfaces are written to work between the new GIS and the other Metro systems. Project Administration, Schedule, and Budget A project plan, training, user support, internal sharing of data, creation of user noncore data, and sharing Metro data outside the agency are all important elements of future administration. Conclusion: GIS-Related Application Development and Phase III Many applications identified in the user needs assessment are beyond the scope of the Phase II-based GIS project. These needs,50 along with future needs, will require funding. Small applications will continue to be identified as recognition of GIS capabilities grows. Large applications (e.g., multimedia driver route qualifying system, trip planning) will be coordinated with the base GIS project. The GIS will be a continually evolving system with ongoing application development. The current GIS advisory group, working with WPCD's GIS core team, will continue to help prioritize and make recommendations regarding additions to the basic system. Seattle Metro's Operation Support System (OSS) (2,3) The OSS project of Seattle Metro intends to develop system support for several service-critical business processes: Transit operator pick, Assignment planning for transit operators, Transit operation base dispatching, and

 First line supervisor pick. In addition to the primary business processes, the OSS also addresses several key support processes: Interface with the scheduling system, Interface with payroll and the human resources information system, and Transit operations information management. A goal of the OSS project is to provide system support for Metro's business processes that will (1) support the current work 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 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 operators. However, the same processes are applicable for part-time operators and many operator work classifications, such as first-line supervisors. It is expected that the system, with minimal modification, will support the primary processes for many other classifications of employees as well (particularly those employee work groups that use a pick-based work assignment process and must make regular adjustments to assignments to ensure that critical work is completed or that shifts are filled). Create Work Process There are three distinct processes that define work activities for employees. (1) The runcut develops operator driving assignments and is a 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 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 modified or disabled for specific assignments during the runcut process to meet other objectives of transit operations management (such as shorter runs on specific routes). The runcut provides as a primary product operator driving assignments to the operator pick process. The runcut system is a function of the scheduling section. (2) The scheduling section determines driving assignment adjustments (extras, changes, deletions) during the service change. These service adjustments are not currently part of the operator pick process and are provided to the assignment planning or dispatching process. (3) Nondriving operator assignments are determined in a 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, these assignments may also be included in the available work of the operator pick process. Pick Preparations The create work process also includes a significant amount of preparation for the pick process. The pick preparation process determines available regular days off (RDO) combinations for each work site, available vacation slots, extra board, and report operator requirements. Pick preparations will include the ability to roster assignments for bid/pick periods of varying time length (one week, four weeks, etc.). Also included is the ability to collect and incorporate pick restrictions to determine what effect the restrictions will have on the amount and location of work and to ensure that work is available to satisfy the authorized pick restrictions. The OSS team will also maintain an historical record of employee pick restrictions. Future Possibilities The OSS team is studying an activity-based scheduling (ABS) concept in which OSS will attach attributes to each work activity before sending it to the plan assignment process. These attributes may include various pay elements such as pay time, type of pay, guarantees, and bonuses. An ABS system will also enhance the ability to provide employees with the choice of a variety of fulltime or less-than-full-time work schedules to accommodate their changing needs. Plan Assignment Plan assignment is the process of matching employees to work activities. Currently, this happens in two distinct processes-pick planning and assignment planning. The future structure could include numerous iterations of a bid/pick process with a final assignment process. Pick Plan logistics: Three major processes are included. (1) Seniority list: The union authenticates the seniority lists, which are then posted in the work sites for all employees to review. Although seniority is strictly a union responsibility, OSS will provide51 current employee lists, status, and hire dates to the union. The union will have the responsibility to maintain seniority, although the OSS support team may provide support to the union in this effort. (2) Verification of employee information: Information to be verified includes address and phone numbers, commercial driver's license status, and training records. In the preferred process, employees will have on-line access to their address and phone numbers with the ability to verify and modify them as necessary. (3) Planning shake-up reliefs: Many drivers will have driving

assignments that conflict with their scheduled pick time. As a result, base first-line supervisors create special work assignments (shake-up reliefs) to provide a relief driver for the picking operator. The shakeup relief must be designed to enable the picking operator to be at the pick site at a specified time. Base staff will provide the shake-up relief information to the picking operators, the communications center, and the pick coordinator. Base staff will add the shake-up relief assignments to the assignment process. If a shake-up relief 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 staff will also inform vehicle maintenance. Preview pick: The pick process receives details on work activities from the create work process. Contractual rules require staff to post (a certain number of days before the beginning of pick) the work activities available for pick so that employees can review the available work. During this time, employees will be able to view all available work activity on computer screens located at the work sites. Employees will be able to apply various filters to the work so that they can screen all available work according to work site, routes, start/quit times, pay time, and other definable filters. This will provide employees with a way to absorb and understand a large amount of information and will allow them to select work that best fits their personal needs and desires. For selected assignments, the employee may be required to have certain qualifications to select a particular assignment. Pick (the actual base/RDO/work/vacation selection): Currently, various work rules constrain the work an operator may select, such as time off between a run and an overtime tripper, time off between work days, and time off over the employee's weekend. Under the current work rules, operators first select the base they will work at. Full-time operators, after selecting their base, choose to be either regular, extra board, or report operators. Each of the three categories will have its own set of available RDO (two consecutive days) and will be further classified as day or night. Fulltime operators must select one base, one category (regular, extra board, or report), and a day or night shift. The following describes the operator decision sequence that is determined by current work rules: have fewer than All operators will first select a base for work. Full-time employees who decide to choose work as regular operators will determine if they want day or night work. They will then choose their RDO and select a run for each of their regular work days. These employees may then opt to choose additional overtime trippers for any weekday, regardless of their RDO combinations. Full-time operators who choose to work the extra board

will select a position on the extra board, either day or night, and then select an RDO combination. Extra board operators may choose an overtime tripper on their RDO only. Full-time operators who choose to be report operators are also required to select a position on the extra board, either day or night, and then select their RDO combination and a specific report for each work day. Extra board operators may choose an overtime tripper on their RDO only. Vacation selection: Current vacation selection results in unbalanced operator resources throughout the year at the various work sites. To change the process and reduce this resource-balance problem, the following solutions exist: implementing a vacation extra board, choosing vacation by day rather than by work week, implementing extra board RDO combinations that change during the pick period, choosing vacation by base and only for the current service change, and limiting base movement. Implementation: Several items must be completed after operators choose and before the first day of the service change: Final verification must be performed to ensure that designated work was selected and that all operators designated to choose have selected work. Reports must be generated: daily vacation usage for system and by base, alpha and numerical employee lists for base and system, preliminary operator projection data, vacation relief seniority lists, and manual planning contingency reports. Employees' base files must be transferred to their new work location. Route qualification requirements must be identified. Employees should be scheduled for necessary training, and training records should be updated. Assignment Planning Assignment planning relies on information from various sources: Operator assignment information produced by the pick process will include regular operators and their assignments for each day and pick options (for overtime assignments), extra board operators with pick options, report operators, and part-time operators with their assignment and pick options. The pick coordinator will provide pick options, assignments, and start dates for new-hire operators starting between picks. Employees will provide information on pick options, work preferences, time off requests and requirements, and

training requests. Base management will provide information on detail requests, assignment changes, management action that will affect employee availability, and gradual return-to-work and alternative work assignments. Vehicle maintenance will provide vehicle assignments and coach type changes. The scheduling section will provide schedule changes, deletions, and additions. The operator training section will provide operator qualification information and student training assignments. 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 for the following day; Collecting information on all operators who are available to work for the following day; Applying work rules to make assignments to the available operators; and When the above processes are complete, posting the results (dispatcher's responsibility) the day before the actual service date so that the employees will know their schedule for the following day. Outputs from this process include a work schedule that lists summary information for each scheduled driving assignment, including the assigned operator; the extra board assignment, listing each board operator with his or her assignment for that day; a list of operators who have been excused or taken off their regularly scheduled assignment; a list of operators who have additional work assignments; and a floater list of operators who are working a different driving assignment in lieu of their regular driving assignment. Some assignment processes occur that are between the pick process and the planning process. Move-ups: This process is conducted by the union. If a piece of work is permanently vacant (for instance, as a result of resignation), eligible operators may request a move-up on that assignment. The union will present to management a list of operators who are changing assignments, including their old and new assignments. Vacation and long-term absence reliefs: Extra board operators may bid on work left temporarily vacant due to vacations or longterm absences. Different work rules apply to full-time and part-time operators. Holiday work selection: On holidays when bus service is operating on a Sunday schedule, certain operators may bid for a

selected subset of work that will be available on that day. The OSS team will identify the available work, provide the necessary information to the operators, accept the operator's bids, assign the work, and post the results. Unavailability: At times, and for numerous reasons, employees will not complete their assigned work. The OSS team will collect, sort, and prioritize all unavailability requests. The system will provide support to the dispatcher and base management in determining which requests to grant and what the ramifications will be in granting the requests. Dispatching--Taking the Plan Live Dispatching is the final step in adjusting and authorizing work assignments. The assignment planning process provides a daily work plan, which is published the day before the actual service date. All the different types of changes to assignments, vehicle assignments, and employee availability that have been accounted for in the planning process will continue to happen after the plan has been completed. Dispatching is the process of making the last-minute changes to the plan to ensure that a qualified employee is assigned and available to provide each service activity. Dispatching also documents changes to employee availability that will affect assignment planning for future days. Adjusting the Plan The assignment plan is finalized the day before the service day and is immediately susceptible to change. The dispatcher is primarily concerned with three areas of change: (1) service adjustments-additions, deletions, and changes to the planned schedule; (2) coach type or coach location; and (3) operator availability. The dispatcher receives information affecting these three areas from several sources: service communications, base staff, vehicle maintenance operators, other bases, scheduling, and custom bus. The dispatcher also has the authority to make limited service changes and to change operator assignments. The dispatcher must document all changes and adjust the operator assignment plan so that there is an operator on each work activity. If an operator cannot be found for a particular activity, that activity will be canceled. The dispatcher is responsible for making cost-effective assignments and considering all available operators, probable events during the remainder of the service day, and applicable work rules. The dispatcher also has the option of transferring work or operators to another work site. Metro is currently seeking the following tools that will streamline the process, reduce errors, increase employee productivity, and provide decisionmaking support: Electronic sign-in, Automated documentation of report operator pay time and

availability, System help to identify operators available to fill work, "What if' information to aid the dispatcher in determining the costs and consequences of his or her decisions with a best option suggestion, Information that will support the dispatcher in determining the most cost-effective road relief points, Travel time calculations based on a table of travel times between various locations, Ability to link assignments without requiring the operator to report back to the base, and Ability to evaluate the status of current service and recommend which cancellations will have the least affect on service. Fitness for duty: The dispatcher authorizes an operator to work by allowing that operator to sign in for work. One aspect of authorization is conducting a fitness-for-duty assessment of the operator as he or she signs in. This assessment includes checking for proper uniform, punctuality, and any physical or emotional impairment that may affect the operator's ability to drive safely or provide quality service. Sign-in process: The OSS team must document the arrival (sign-in) of the employee for work. Most likely, employees will use their employee pass (with a magnetic strip) to "swipe-in" when reporting for work. However, a bar code or some other technology may be preferable to a magnetic card. The operator sign-in process should provide the following tools to the dispatcher: a flag, if the operator has not signed in during the allotted time; an adjustable time frame that the dispatcher can use to monitor pending sign-ins; and an ability to flag certain sign-ins so that the dispatcher can be alerted when a specific individual arrives. The sign-in system will allow the dispatcher to set the time window during which operators may signin. The sign-in will receive real-time information from the work schedule, so that any schedule and operator changes entered into the system will immediately be reflected in the sign-in queue. The signin process will also provide information to the employees that53 is critical to the performance of their assignments, including run card information, reroute information, service adjustments (change to the scheduled service), "see-me" notes from their chief, coach 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 The sign-in process has two products: (1) A qualified, fit-for-duty employee performing the authorized work assignment, and

(2) Documentation of the authorized activity (authorized activity data) for each employee for each day. The authorized duty includes driving assignments, nondriving 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. Provide Service Operating scheduled revenue service includes providing transportation to customers; collecting fares; observing incidents; observing schedule issues; observing facilities; providing information to customers; collecting service comments from customers; making necessary adjustments to schedule routes; providing information to service supervisors and service coordinators; accounting for lost and found items; and providing positive public relations to riders and nonriders. To effectively perform their work, operators must be able to communicate with the communication center while on the road and to service supervisors and other drivers through the communication center. Report on Actual Service There are numerous methods of collecting information on actual events: fare box data, AVL information, service communication logs, service quality logs, dispatcher call records and report sheets, and operator-generated reports. Operator-generated reports include lost-and-found reports, vehicle maintenance requests, incident reports, accident reports, security reports, and safety reports. The preferred process will provide automatic payment for authorized reports, document management capabilities of the various employee-generated reports, and provide management and reporting of the information generated by the various reports. Pay Process The pay process is divided into two primary sections: (1) the OSS portion, which includes collecting and calculating hours; and (2) the finance portion, which includes calculating gross pay, maintaining various pay balances (vacation, etc.), maintaining pay rates, issuing paychecks, and providing information to the general ledger. The primary inputs to the OSS pay process are authorized activity data from dispatching, unscheduled overtime reports from operators, actual event data, and retroactive pay corrections generated by the base staff. The preferred process goal is to eliminate all paper pay transactions and provide electronic transmission of all pay items. The preferred process will also maximize every possibility that the event itself will generate the appropriate timekeeping data, rather than requiring additional data entry to document pay. Approval Metro management will review and approve authorized

activities. Metro will work with internal auditing to clarify the extent of review required and the method of documenting the review and approval. Modifications to pay data occurring during the approval process will be completed on-line, with appropriate security and accountability documentation. Calculate Hours The approval process will forward to the calculate hours process the raw data on hours worked including type of work, along with all nonwork activity (or paid and unpaid absences). Each work activity will have one or more kind of time (KOT) attached to it. Pay time will be calculated from the raw time data using certain employee attributes and applicable work rules. For example, certain employee attributes (such as longevity, safety record, employee classification) will determine which work rules are applicable for a particular activity and how those work rules will be applied. The OSS team will then apply those work rules and determine the individual's pay time for each paid activity. Calculate Gross Pay KOT and pay time will be passed to the finance section, which will calculate gross pay and maintain pay balances (accrued compensation time, sick leave, vacation, personal holiday, military leave). Certain employee information (maintained by finance), along with work rules that govern pay rate, determine the rate of pay for each pay activity. For example, if the OSS passes data stating that an employee was on vacation for 16 hours, but that employee has only 10 hours in his or her vacation account, work rules or policy will determine how to pay the remaining 6 hours. Thus, the KOT of a particular activity may be changed during this process. Process Pay Finance will process pay and produce paychecks and directdeposit notifications. Other pay issues: The OSS pay process will also provide online detailed work-hour data, similar to the current bi-weekly pay report, to employees and authorized management. This pay period report includes KOT, amount of time, and amount of pay for each day and each specific work activity. A work data base, with the pay information from calculate hours and calculate gross pay, will be available on-line to employees and authorized management so that they can review the pay documentation.54 Analysis and Continuous Quality Improvement (CQI) 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 access. Report-writing tools will range from the very sophisticated for the management analyst to powerful but simple to use for supervisory and line staff. Training and Qualifying Transit Operators

The operator training section maintains the operator qualification records currently residing in OSS. The preferred process improves training in several ways: combines ride check 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 whenever an operator's scheduled assignment changes; and integrates student assignments into the operator assignment process. The data base should also include a record of ride checks with comments and notations or other pertinent training notes. Employee Management In addition to the already documented communication functions that assist in employee management, such as the sign-in section and employee information, other improvements are envisioned: An electronic bulletin board could be made available to all employees. An employee could pose a question to "All Route 7 drivers." Employee committees could post activity notes under selected topic classifications. Transit operations is exploring the feasibility of providing all employees, including operators, with access to one-onone electronic communications, using an electronic bulletin board or electronic mail system. For policy and procedure information, employees will use an on-line data base to access items by subject. Communication improvement would also include an electronic document management system. Today, numerous reports must be completed, copied, summarized, 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 ideal system would combine a GUI with pen technology for diagrams and quick-check items on the report. The document management system should include automatic routing of full reports and summary information. Other personnel will be able to review, annotate, or approve various reports. The system will notify employees if additional action is required (e.g., notifying the base chief if an employee documents an on-job, which indicates that some additional action must be taken). The original report, along with comments, addenda, etc., will be available online to employees with appropriate security. Event data will be on-line, and staff will be able to access the data with standard reports and research-oriented tools. Metro's preferred research capabilities will also require access to AVL and MARS data. Process Management

This process involves management review and control over transit operations' business processes. Using data and analysis of all processes, this process allows for changes in primary assumptions or process changes. 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 not currently included in Metro's corporate data base; seamless user access to data; and powerful, flexible, and easy-to-use reporting tools. TORONTO TRANSIT COMMISSION (TTC): AUTOMATED TRANSIT OPERATORS SYSTEM Scope of Project The scope of the automated transit operators system (ATOS) project is to improve the availability and use of information by interfacing and automating current systems in the Transportation Branch. The main objectives for the ATOS project are as follows: Automate the slip administration functions; Interface with current schedule, payroll, and personnel systems; Streamline administrative practices to ensure uniformity between divisions; and Improve activity levels. It is expected that meeting the above objectives will do the following: Ensure uniform application of contractual regulations, Provide accurate and uniform payroll practices, Provide detailed analysis of labor costs and workforce, Maintain accurate and current employee information, Ensure accurate and timely flow of information, and Eliminate duplication of activities/reports. Needs Assessment The user requirements of various levels of personnel, including management, supervisory, and clerical, have been addressed in detail during the development of the system requirements definition, which is the phase in the systems development methodology that is used to manage the ATOS project. The 11 divisional offices within the Transportation Branch currently rely on a variety of manual and automated systems from within and outside the branch to assist them in their day-to-day operation. Most administrative functions fall under the following categories: work selection sign-ups, slip administration, and personnel administration. Currently, schedule information and operator sign-up boards (provided by the Planning Department) and workforce information55 (operators seniority lists provided by the Transit Administration) are

forwarded to the divisions every four to six weeks. This information, along with manually produced vacation boards (provided by the divisional clerks), is posted at each location for the work selection process (operators board period sign-up). Upon completion of this process, the work selection data are electronically entered into a data base (System 38). This system then provides the divisions with computer printouts relative to employee overtime limitations and work assignments. This system also generates hardcopy information relative to operator boards, reporting boards, and vacation boards for use at the divisions. The aforementioned schedule and sign-off information are necessary for daily slip administration. This is a process whereby scheduled and unscheduled service are assigned to substitute operators (or extra operators) and/or collectors as a result of absenteeism and extra service requirements. This substitution requires the application of specific regulations per the collective agreement and government legislation. Currently, to perform their duties, slip clerks rely on a wide range of unrelated sources of information relative to personnel and scheduling. The bulk of this information is in hard-copy format and requires a great deal of manual manipulation in the performance of their tasks. These tasks include detailing of work assignments, time-keeping, and the monitoring of overtime and absenteeism. Each of these functions is performed manually and results in hard-copy-only divisional records. Because most of the day-to-day divisional records are manually produced, the current analysis of workforce usage and related labor cost must be expanded. Furthermore, the divisions do not have an independent data base containing employee information and must rely on outside sources for information relative to absenteeism, vacation selection data, equipment qualifications, and general information (i.e., phone, address, alpha/numeric lists, etc.). In most cases, the information or reports are outdated by the time they are received at the divisions. Justification Situations/Solutions/Benefits Based on initial contact with current users, both divisional and administrative, a number of situations were identified. Some of these situations are described in the following paragraphs along with suggestions for solutions and the resulting tangible/intangible benefits. Currently, most of TTC's automated systems lack integration. This forces TTC to use manual systems to perform key administrative functions and, consequently, TTC lacks the capability to consolidate and summarize data. As a result, TTC cannot produce the ad hoc reports necessary for identifying trends, forecasting future workforce requirements, and assisting in the negotiations process.

Situation: sign-up--The data generated from the completed work selection sign-up (i.e., schedules and workforce selections) are provided as two separate entities and are not on-line. Consequently, this situation results in the extensive manipulation of many unrelated reports for the performance of many daily administrative functions at the divisional level. Divisional clerks frequently require easy access to information pertaining to both employee identification and related schedule information to ensure that the appropriate substitute employee is assigned to the correct crew and paid accurately. To accomplish this, an employee must consult the seniority list, then the operators boards (including swing crews and vacation boards), and then the crew guides and schedules to collect all the required data. Proposed solution: Combining schedule and work selection information into a common on-line data base would allow divisional staff to respond to changing situations on an ongoing basis in a timely and appropriate manner. Furthermore, such a system would provide the data base necessary to automate other key divisional functions. Benefits: This solution would increase productivity. Look-up time would be expedited, thus reducing possible delays to/cancellation of service. This data base will enable automation of slip detailing and time-keeping functions to ensure accuracy of payroll information. This process improvement would primarily result in intangible benefits. Situation: slip administration--All facets of slip administration are manual. This includes assessing and listing all known open work assignments as per scheduled and unscheduled service requirements, as well as ascertaining the available workforce, including volunteers. To compile all these data, divisional slip clerks must refer to a number of documents and manually maintain records regarding absenteeism and overtime hours on an accumulative basis. Then, after all known open pieces of work and the scheduled workforce have been established, the slip clerks must assign the work in accordance with specific union regulations. To fill any remaining work, the slip clerk must refer to a manually maintained volunteer list. Once this process has been compiled, the clerks must manually produce a document listing workforce assignments. Because all of the slip administration functions are manual, limited time remains for the canvassing of available volunteers required for late-breaking open work. 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 accordance with current union agreement. The system would also have to be able to maintain and update files on absenteeism and

resulting work assignments on an accumulative basis for both the current and future operational requirements. The system must also be capable of producing ad hoc reports for the detailed analysis of workforce utilization. Benefits: Maximize utilization of the workforce while increasing the productivity of the clerical staff (decrease service disruptions/cancellations). Ensure accuracy of the information, thus reducing costly errors. Ensure consistent application of the union agreement and other policies and procedures. This will result in reduced labor costs to both the clerical and operator workforce upon citywide implementation. Situation: payment of operators--Currently, payroll data are collected and reported manually at each division for the payment of substitute and extra operators on a daily basis. This process involves the use of a complex set of guidelines and a wide variety of forms. Also, several documents must be referenced to calculate pay values and verify employee identity. This results in a high volume of manual transactions being performed. Consequently, errors occur, which results in costly correction procedures. Because this is a totally manual system, divisional management is unable56 to produce reports that can analyze workforce utilization and related labor costs. Proposed Solution: Develop a system that is capable of generating hourly pay information to electronically feed payroll data 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 capable of producing ad hoc reports relative to workforce utilization and related labor costs. Benefits: Automation will ensure consistency in methods of payment and increase accuracy of payroll information. Provide a data base that will allow for a complete analysis of both labor cost and workforce. This is a process improvement with intangible benefits such as reduction of paper files and improved flow of data to other branches. Tangible benefits will follow citywide implementation of the system, which will result in the realignment and reduction of clerical shifts. Situation: absenteeism tracking--Currently, divisional management is using two methods of tracking and reporting employee absenteeism. One system is a labor-intensive process in which clerical staff extract all absence entries from the off-duty sheets and record them in a ledger-type file that lists all operating personnel. This process provides management with an up-to-date but incomplete profile on each operator. The second system, provided by Corporate Services Branch and 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 automated report is based on pay-ending data (biweekly), the printouts are outdated when received by the divisions. Consequently, management must rely on both documents to monitor employee absence daily. Proposed solution: Extract both inclusive and specific absentee information from the Slip Administration data base, which contains data from the off-duty sheets, as required. Benefits: This automated system would provide management with on-line access to a variety of absence reports that will allow management to take timely, effective action when monitoring employee absence; at the same time, this system would increase divisional productivity. Situation: personnel information--Currently, divisional staff must rely on a variety of unrelated reports (both automated and manual) to maintain general information on each employee such as seniority dates, vacation selections, equipment/training qualifications, and license information to perform important tasks relative to sign-ups and slip administration. Currently, TTC must rely on outside sources for much of this information and, in some cases, the information is outdated by the time the divisions receive it. This can result in costly errors in the work selection process and in the detailing of work assignments. Proposed solution: Create a system that will provide each 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 be able to produce ad hoc reports on demand. Benefits: This improvement to the process will eliminate timeconsuming requests to other departments relative to changes to a variety of data on each employee. The ability to produce timely and accurate reports will reduce costly errors relative to both the work selection and work assignment processes, while increasing staff productivity. Summary The previous are only examples of some of the situations associated with the lack of automated administrative system and/or the lack of integration of the current administrative system both within and outside the branch. The system requirements definition phase of the project will include a detailed analysis of other situations known to exist in other administrative functions both internal and external. It is anticipated that investigation of these other areas will result in further benefits, both tangible and intangible. Interface with Existing Systems ATOS in one form or another will interface with other systems

within the TTC, such as the personnel payroll system, the scheduling system, and others. The relationship of ATOS to these systems will be closely monitored, especially during the prototype/system requirements definition phase. The exact requirements for the interfaces will be identified at the completion of the prototype. Benefit-Related Considerations By automating several key manual administrative functions and interfacing them with current automated systems, cost can be saved in human resources as well as in the improvements relative to the streamlining of administrative practices and the uniform application of contractual agreements. Expected Benefits Total ongoing annual benefits are estimated at $1.4 million. Intangible benefits: ATOS will improve the capability to analyze trends relative to human resources, thus minimizing absenteeism, and maximizing workforce productivity. ATOS will improve the response time to customer complaints and inquiries. ATOS will also improve regularity of service by combining automated workforce and service requirements. The results of these intangible benefits will assist TTC in achieving their primary objectives relative to financial, productivity/human resources, and customer service. If this project were suspended, the users would continue to do their jobs in the current manner. The anticipated benefits would be lost, with a demoralizing effect on the users. Risk Considerations Some economic, operational, and technical risks are involved in developing this project.57 Economic Risks The project is anticipated to be large. The time required for citywide implementation is about three years. TTC anticipates that the payback period is under two years after the system is fully operational. The financial risk can be reduced by using prototyping. By prototyping, the users will learn through hands-on experience and will be able to interact with the system sooner. The major cost of this project is the cost of purchasing application software. This risk will be reduced significantly in the operational environment by thoroughly testing the product during the pilot project. The testing of the system by the users will be encouraged and the organized tests will be documented. These tests will help in the development of 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 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 the citywide implementation will be purchased only after successful prototyping/testing and acceptance of the product. Operational Risks Some risk is involved if the system is not used properly by the unionized and supervisory staff. This risk can be reduced through proper planning, training, and careful introduction of the systems benefits. These risks will be further reduced by senior management's commitment and strong leadership. Continuous user involvement and handson experience during the Roncesvalles pilot project will help reduce the risk considerably (personnel from all divisions will be given the opportunity to attend a demonstration of the working version of the system) Changes to the union agreement could impact the citywide project. Drastic changes in the union agreement could result in extensive programming changes and a major cost to TTC. This consideration is an ongoing maintenance charge to the system. Technical Risks The technical risks involved can range from unmet user requirements to a variety of interface problems, especially when trying to connect purchased packages with existing systems. These risks will be reduced during prototype by passing data from the scheduling system into the ATOS system and creating files for passing data to the mainframe personnel payroll system. (Personnel payroll system interfaces will not be operational during prototyping but sufficient information will be generated to ensure that this facility works.) The system will be thoroughly evaluated for efficiency, determination of necessary editing and validation requirements, and audit and controls. Alternatives Although a number of options could be used to meet the identified requirements and problems, the alternatives generally fall into the following three options. Option 1: Enhancement of existing systems. A number of problems with the existing systems were identified. Programming changes and enhancements could be implemented to meet the existing problems. Option 2: Development of a new system. This option would include the system requirements definition, design, development, and

implementation stages. Option 3: Purchase of a system. A number of packages in the marketplace could most likely be customized to meet TTC's requirements. Analysis of Alternatives Under Options 1 and 2, it will cost more to develop a new system than to purchase a package. Implementation time will also be substantially longer than if TTC purchased a package. The allocation 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 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 enhancement. Good quality, up-to-date documentation is normally available with a package. Implementation time will be shorter than for an internally developed system, since the programming and design phases are eliminated. The Metropolitan Atlanta Rapid Transit Authority (MARTA): Management Planning and Control MARTA identified an integrated maintenance management information system (MMIS) as its highest MIS need in its 1990 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 labor related to maintenance, which traditionally represents close to 50 percent of MARTA's total operating budget. The MPAC system includes the following primary components: 1. Maintenance planning and control (MPAC) 1.1 Work orders 1.2 Materials management 1.3 Occurrence reporting 1.4 Curator imaging system 2. S&A fuel/fluid tracking 3. Timeware 3.1 Automated time and attendance tracking 3.2 Work order labor distribution 3.3 Job board assessment58 MPAC A maintenance and materials management system was developed by TSW specifically for a relational data base operating system. The MPAC system is an extension of a planned maintenance and stores management concept and has an interactive, user-operated

system. Timeware is an automated program for collecting employee work hours and distributing labor costs. Relational data base technology makes this program adaptable to most transit environments. Work Order System The maintenance module of MPAC helps plan the labor and material resources necessary to perform maintenance work. Because of MPAC's integrated approach, schedules do not become outdated before they are implemented. The following features of this module help plan and schedule maintenance labor and materials. Equipment/facility catalog: Contains data about each piece of equipment. This catalog consists of details on both static and dynamic information for each piece of equipment in the system. Page examples include the equipment master file, the work order inquiry, and the cost history. Parts list: A multilevel parts list is maintained for all equipment and spares. The list's inquiries can be made directly or during work order planning to ensure material availability. Where used function: Establishes or reviews where parts are used. The entry of where-used data will update the appropriate parts list. This program provides a reference listing of the equipment or spares that have the specified stock item in their respective parts lists. Preventive maintenance scheduling: All information for both input and review is available on-line. Schedules for all automatically generated inspections, lubes, and repetitive work orders are entered through the inspection/lube/repetitive schedule program. Once established, the work orders are generated for the prescheduled date automatically, until changed or deleted. Exception reports are available to show what preventive maintenance work was not performed and why. Inspection readings data base: Allows a maintenance organization to record and monitor user defined test points such as vibrations, temperature fluctuations, and meter readings. Work order request: Allows communication with the maintenance organization. The needed work is described briefly at the nearest terminal to the maintenance problem. The second phase is the approval process. Additional information may be added and a priority will be assigned. After need is determined and approvals are given, the work order request evolves into the actual work order. These orders are processed on preplanned, routine, and 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 those who have done the job before. A new work order usually requires only adding or changing a line of a previous work order. Eight primary types of work orders exist in MPAC: (1) Emergency or service call: Can be created from any CRT. Once the work order is assigned, labor and material costs can be accumulated against the job. Because only minimal data are required, the user can create an emergency work order in less than one minute. (2) Preventive maintenance inspection: A preventive maintenance inspection work order is used for any given piece of equipment. Up to 100 different inspections can be established for a piece of equipment, with up to 100 pages 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 indicated schedule frequency. (3) Lubrication: Allows the user to create a lube route for each piece of equipment. (4) Repetitive: Used to develop work orders that are routine and occur on a predetermined frequency. Detailed text and parts lists are set up once. (5) Preplanned: A library of work order text and parts lists is stored until needed, then recalled, processed, and scheduled through the work order processing program. (6) Rebuild: Allows the user to develop a work order and parts requirements for rebuildable spare parts such as electric motors and reduction units. The system will automatically generate a work order when the rebuildable part is issued from inventory. (7) Fabrication: Similar to rebuilds. (8) Routine: Work orders generated for routine repairs or modifications such as parts replacements, or other daily, weekly, and monthly routine maintenance events. Stock requests: Can be made often throughout the cycle either as part of the planning process or as a result of a real-time, work-in-progress need. MPAC can create stock requests if brief part information is known. Purchase requisitions: For items ordered outside the normal stock, MPAC issues a requisition and accomplishes the necessary communication for approval. Backlog management: Enables the planner to pull up work orders associated with specified crews, crafts, or equipment.

 Manpower planning: Assists in evaluating labor requirements and balancing available manpower. Calendars are set up to ensure consistent manpower. Backlog scheduling: Provides an electronic tally sheet, an interactive computerized process to decide which work orders need to be scheduled and how they match up with already scheduled work. As manpower is assigned and work orders are scheduled, the system monitors the amount of time consumed. Full 52-week scheduling is supported. Daily schedules and labor reporting: Schedules are printed out by crew, schedule date, and shift. Labor data can be entered by employee or by work order. Equipment/facility history: Retains material and labor costs for maintaining each piece of equipment and can sort this information for historical comparison and future planning. Additional Features: Drawing control: An engineering-oriented product providing an extensive data base of drawings related to equipment in the59 facility. This product allows the user to capture information relative to any given drawing, including a description and a revision history. Drawing control also makes it possible to maintain drawing updates and revisions. Project tracking (optional): A fully integrated, optional module licensed separately from other MPAC modules. This module enables the user to budget, plan, schedule, and analyze work associated with projects. Labor and materials from internal sources can be planned and scheduled by accessing MPAC's maintenance and stores modules directly from project tracking. With MPAC's invoice matching module, contractor invoices can be received into the system, posted against a particular project, and reflected on-line in the current accumulated project cost. Project costs can be individually or automatically charged back to the appropriate account number. Chargeback (optional): MPAC's chargeback module can be used to distribute maintenance costs and in conjunction with MPAC'S maintenance control module. Work order costs are distributed flexibly. The chargeback module also supports cost acceleration, chargeback invoices, general ledger posting, and analysis and reporting. Materials Management System Effective use of MPAC provides many benefits. Equipment downtime is reduced and the life of capital equipment is extended. MPAC performs maintenance tasks by maintaining the necessary

inventory and coordinating appropriate tools and labor. The system keeps historical equipment records to help future planning and budgeting. With MPAC, the effectiveness of maintenance, equipment performance, and cost trends can all be analyzed and reported to those who need the information. Stores/Spares: In this module, plans are made for the material needed to accomplish specific tasks completely and on schedule. The stores module is used to monitor an on-line inventory of parts used by a maintenance organization. This module provides maintenance, stores, and purchasing personnel with powerful information processing tools for effective warehouse management. The overall objective is to economize on dollar investment while efficiently maintaining an optimum service level. The major programs in this module are as follows: Parts catalog: On-line catalog that can be searched by manufacturer part number, company part number, or the name of the part. For each part, MPAC reveals the name, location, cost, amount, and type of use and gives an immediate overview of availability and a list of stock issue requests. The parts catalog stores any requisitions and 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 unit of issue: an item can be received by the case and issued individually. Maintenance and purchasing descriptions are also available. A catalog keeps information on the reorder point and quantity for each item. Automatic requisition: Helpful when a planner needs an item not in stock. Information in the data base supplies the requisition, and MPAC automatically moves the requisition through the approval process. Store personnel can review the report, make manual adjustments to the requisitions, and, in one process, automatically generate requisitions for all low stock items. Warehouse management: Supports the physical management of the warehouse or storeroom. Warehouse management offers a one or two-step receiving process, while controlling issues and returns. Stock Issue Control issues all stock items by requests. A stock issue request may be generated directly from the parts page of a work order or from the stock issue request program in the stores/spares module. A stand-alone, return-to-stock program makes it easy for people to return unused or bad

parts to the warehouse and get credit for them, thus discouraging the growth of unofficial ministorerooms. Inventory Accounting evaluates stores based on the weighted average unit cost method. All inventory transactions, both credits and debits, are reported and summarized using the weighted average cost figures. Physical Inventory allows the user to assign a physical count day to each stock item, and then print inventory count sheets on the scheduled inventory date. Multilocation (optional): Supports organizations with multiple storerooms. Allows for detailed usage histories for each location. 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 in service or taken out of service for maintenance. Serial control is especially valuable with rebuildable stores items. Rebuild tracking: Automatically prepares a rebuild work order when a rebuild item is issued. Tracks entire process to ensure that rebuild items are not left in the plant and unaccounted for. Tool control (optional): Plans the labor and materials required for maintenance, and the tools required to perform the job. It is installed as part of the maintenance module and accesses some of the same files. Tool control allows the user to identify those special tools required for a particular work order. Required tools can be reserved. The checkout date, who removed the tool, and where it is located are all given. Also, information is available on the duration of the checkout and the history of repairs by the tool. Occurrence Reporting System TSW customized the occurrence reporting module to fully integrate with other MMIS modules at MARTA. The existing data base can be converted from the Foxpro data base and mapped to a new system in which appropriate new file structure definitions are given. Curator Imaging System Curator imaging software involves more than just storage and retrieval of information. Curator enables users to access and use stored information to accomplish tasks with greater efficiency. Instead of endlessly searching through files, Curator multimedia imaging software gives immediate access to every file, in any format, anywhere, and at any time desired, across the entire LAN.60 This is accomplished with facile and contemporary point-and-click technology. Curator puts the existing computer network in command of numerous data files, regardless of format. Curator was developed in

an open systems environment, allowing easy integration into most networks. Off-the-shelf printers, scanners, and PCs can be used. Curator is available when the imaging and file management needs are ready to implement or expand. Integration and implementation: The real power of information and digitized image management lies in integration with other systems. Curator multimedia imaging software provides an open, flexible system using the hardware and applications software already in place to run applications being used-word processors, spreadsheets, graphics, and presentation managers. Curator's integration tools represent a significant breakthrough by allowing completely transparent integration of the existing applications. System growth: The Curator imaging system provides a growth path from PCs to mainframes and accommodates every type of digital information storage. Curator imaging system's SQL data base, imaging hardware, and software independence offer a seamless path for future growth, while also being seamlessly integrated with MPAC. The data base automatically retrieves images related to the MPAC task being worked on. All the information needed to plan maintenance activities can be accessed from a Curator workstation. Functional applications: Curator has been successfully implemented in many types of businesses to support a vast array of 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: Manufacturing documentation/drawing control, Purchase order and invoice processing, Accounts payable work-in-process routing of scanned paper documents, Legal records management and litigation support, Personnel records management, Contracts management, Parts management and inventory, and Material safety data sheet tracking. Fuel/Fluid Tracking S&A Systems provides the FLEETWATCH Fluid Management System (FMS) for MARTA. This system is designed specifically for the transit bus-servicing environment, including the FLEETWATCH Fuel Monitoring and Control System for the control and recording of diesel fuel, gasoline, engine oil, coolant, and automatic transmission fluid dispensed in the vehicle servicing areas. Key features include the following: Barcode scanners are stationed overhead in the diesel service bays for automated input of bus numbers; Card readers are located on remote island head (RIH) units

to read barcode labels on employee cards to allow automated input of employee number using the employee's standard card-there is no requirement for a separate card or other input device for the FMS; RIH units are capable of accepting additional automated input such as mileage at a future time when MARTA's buses are equipped with on-board data recorders; On-line edit checks of mileage are inputted through keypad; RIH units display a special message (such as inspection due) to allow link to P.M. Scheduling System; All specified fluid flow is automatically input; Underground tanks are monitored by successfully tested system equipment; Flexible software provides all specified reports. The FLEETWATCH Model 100 System Controller Application Software for a 386-based microcomputer is installed. This software will compile, print, and reconcile fluids dispensed, on-hand fluid inventory in each tank, and receipts of fluid from vendor tank trucks. This software can reside on a PC at each of the facilities with servicing capability or can be installed on a single PC at a central location with data transfer via dial-up once each day. The MMIS central computer receives these data transfer files; and Application software for a PC is provided by S&A Systems and written in dBASE III. The normal dBASE III query commands can be used to produce ad hoc reports for analysis of servicing transaction data. The dBASE III report generator can be used to define new reports to be produced on a regular or on-demand basis. Timeware Timeware eliminates manual time cards. It matches the organization's pay policies and practices and automates all tasks and related recordkeeping associated with hourly employees. Minimum data entry is required for corrections and adjustments. The system is equipped with full-color screens, windows, and available help. Clock transactions can be captured in real time, permitting supervisors to know immediately who is absent or present. Key elements include the following: 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 information needs. Timeware's integrated Report Writer allows for organizations to generate their own reports.

 Extra features include the following: Labor Distribution as employees change department, job, work orders, etc., including temporary rates of pay; Attendance History reports all tardy occurrences, absences by date and reason, and attendance statistics; Benefit Tracking includes automatic accrual of employees' benefits while tracking hours available, hours taken, and the balance of each benefit. Timeware's import/export facility permits transfer of data into the data base or transfer to other applications on the mainframe or other PCs. The interface to the payroll system or outside payroll service is included. Import features bring in master file data from the payroll system, creating the employee data base. Automatic import of new 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 includes61 software, employee badges, and time and attendance terminals. Customized step-by-step operator instructions are provided. Detailed help screens with examples guide operators through every step. METRO-DADE TRANSIT AGENCY (MDTA): TRANSIT OPERATIONS SYSTEM (4) The transit operations system (TOS) is used by transit operations personnel to perform daily operator and vehicle assignments for bus and rail operations. The system has been implemented and is currently in the warranty period. Training in the 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 and payroll, track operator absenteeism, operator performance, discipline, operator profile and behavior, and community services complaints or commendations routing. The computer network includes 65 VT320 computer terminals, 6 highspeed printers, 18 side printers, and 5 badge readers. The system connects all three bus operations divisions and the rail division. Each division has access to the system from computer terminals at the dispatch area, the fare islands, the radio dispatch, the maintenance operations and inspections, the division supervisors, and operations management. In addition, the system is used by several administrative divisions including planning and scheduling, planning and development, controller, and management and information services. Module 1: Operator Personal Information The main function of TOS is to store key information about each operator, including operator number, name, seniority date and

rank, seniority number, status, employee number, and general comments. This module will be used with the Dade County personnel system and will download as much information as possible, thus reducing data entry as well as errors. However, this module will contain information that will be transit specific (e.g., driving record, accident history, vehicles, and equipment qualified for). Module 2: Master Production Schedule The scheduling section of MDTA will pass the appropriate schedule information directly into TOS from MDTA's transit scheduling system. The productions schedule may then be updated by either operations or scheduling and TOS has the capacity to store multiple versions of the schedule. At a minimum, it holds the schedule currently "on the street" and the schedule currently being bid on by operators. Module 3: Operator Bids When operators choose, in order of seniority, their work for the next schedule period, MDTA has a periodic line-up. The operator bidding module allows for on-line entry of each operators' bid during the sign-up process and prints, before sign-up, the reports that must be posted for operators to view before they select their work. Both a rostering (weekly run, current MDTA practice) and a cafeteria style format, as well as entry of vacation-week picks and vacation relief-bids, are supported by TOS. Module 4: Each Day's Schedule and Exceptions Daily schedules have to be modified to handle exceptions. These exceptions include charters, extra trips, canceled trips, and 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 allows storage of a number of the day's schedule and exceptions at any given time. A number of individuals and sections, including scheduling, vehicle maintenance, and public information, can access the screens. This module also produces reports. Module 5: Each Day's Operator Assignments Each day, TOS tracks operator assignments according to the day's schedule and exceptions. The system allows the operations section to call up and change any assignment as required. Although most work and operator assignments are predetermined, industry trends show that 10 to 20 percent may be modified by exceptions. Monitoring this process is a core function of the operations section and of TOS. These exceptions then become the basis for exceptions to the scheduled timekeeping transactions. Module 6: Each Day's Vehicle Assignments As a valuable option for properties that want an inexpensive method of controlling vehicles, this TOS module tracks vehicle

allocation and adherence to the day's schedule. The module is not a replacement for automatic vehicle monitoring (AVM) because location is not automatically tracked; however, information can be radioed in by street supervisors and immediately entered into the system by radio dispatchers, thus enabling dispatchers to track vehicle availability throughout the day. This module is also useful in locating available vehicles to replace vehicles removed from service because of a roadcall Module 7: Operator Timekeeping After the workday has ended, TOS has, through its exception tracking, all the information necessary to automatically generate the timekeeping transactions for each operator. Because some exceptions (e.g., reported sickness) cannot be confirmed by the end of the workday, TOS allows for later adjustments to the timekeeping transactions. This module can summarize and display the transactions in numerous ways-by day, by operator, by type of work, and by garage-to permit evaluation and review by management. 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 8: Operator Absentee Tracking The absentee control module increases management's ability to detect and control costly incidents of sickness, no shows, and62 lateness. Each day the operator assignment module collects exception codes on operators (sick, late, no show, vacation, etc.), and the absenteeism module automatically enters them into each operator' s history. The codes, which can be updated after transfer into this module, should be kept on-line for at least a year. Various reports and screens analyze and display the codes by operator, day, code, and month. Additional Interfaces During the preparation of the management and information services division information systems master plan, several other interfaces were identified to extend this connectivity even further. Information systems requirements for this planning horizon include the following. Customer Information System (CIS)--The system will improve the quality, efficiency, and effectiveness of the route information provided to the public. The CIS system will provide automated trip planning capabilities, schedules, special events, pass sales, and fare information via a voice response unit. Automatic Telephone Information System (ATIS)--The system will use a state-of-the-art digital voice technology from telephones posted at bus stops and rail stations to automatically answer telephone inquiries for scheduled bus and rail arrival times, service status, and other information of interest to the public.

Passenger Information Displays System (PIDS)--The system will implement an information network that continuously displays, on monitors, updated information about the transit service at major bus stops, bus transfer areas, and rail stations. Graphical Aids for Transit Information Agents System (GATIAS)-The system aims to increase and improve the information agents' work productivity and environment. Graphical terminals displaying trip planning components provide telephone information operators with instant access to accurate information on bus routes and locations of bus stops. Voice Response Unit Equipment System (VRUES) Enhancement--The system will expand the number of telephone lines used to support the ATIS to handle more customer inquiries. It will maintain a low operating cost per call and increase ridership and revenue. Automatic Vehicle Location and Control (AVL/AVM)--The system will provide improved effective route control by computerized monitoring and controlling of the location, schedule adherence, and delays of the bus fleet. The system will also provide improved schedule adherence and automatic reporting of running and layover times, delays, and service interruptions. Staffing Forecasting Model System (SFMS)--The system will be used to develop near-optimal staffing strategies and will calculate staffing requirements based on past absences (e.g., sick leave), anticipated absences (e.g., annual leave), and planned revenue service schedules. The model will assist in budget preparation and will determine availability of expected labor hours for "what-if' analysis. Data will be automatically extracted from the appropriate files and combined to generate the required reports, thus reducing substantial hours in the gathering of information and preparation of ad hoc reports by operations staff. Transit Operating System (TOS) Enhancement--The system will expand the functionality of the current system and provide more reporting capabilities from the existing data base. Enhancement of TOS would improve dispatching and maintenance functions by providing more consistent information regarding operators and vehicles. The project will also eliminate the manual preparation of 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 publishing of new service schedules. Replacement of Metrorail Computer and Communications System (MCCS)--The system will replace the existing obsolete communications and computer equipment with new state-of-the-art equipment. This equipment will improve reliability, operation safety, and operational emergency response. Interface of Metromover Computers System (IMCS)--The system

will provide a link between the Metromover computers and the VAX cluster so that a uniform time (e.g., National Bureau of Standards) reference for all transportation services can be maintained. The system will also provide a uniform time throughout the transit system. Rail On-Time Performance System (ROPS)--The system will develop an automated process for collecting and reporting data to verify the on-time departure of Metrorail trains from the stations and will develop more accurate running times. The system will allow MDTA to verify adherence to the established schedule. CHOICE/Special Transit Services (STS) Subsystem Enhancement-The subsystem will improve the current system by enhancing and/or implementing modules' efficiency of current semimanual processes. These modules were identified in the initial project design, namely billing reconciliation, client eligibility verification, and automated geocoding. Paratransit services may assume the responsibility for booking STS trips. To provide additional service, paratransit services envisions expanding the clerical staff. Booking STS trips implies doubling the current work volume, which has increased over 22 percent since CHOICE was implemented. The project will use current technology to enhance system capabilities to support transaction growth and to interface the existing system with other county systems. Transit Marketing Information System (TMIS) EnhancementBy providing access to existing data bases, TMIS will improve the agency's ability to identify market segments and develop target markets. The system will allow marketing staff to concentrate on the development of marketing strategies rather than the collection of data. Geographic Information System (GIS) Enhancement--The system will provide MDTA with the capability to perform analysis and data manipulation based on proximity, contiguity, containment, connectivity, and complex correlations, including topological overlays, polygon merging, feature extraction by attribute, buffer generation, attribute manipulation, and the ability to calculate area and perimeter of polygons and length of lines. Transit Planning Management System (TPMS)--The system will improve the data collection procedures to obtain and maintain current and reliable ridership information at the levels required to make planning and scheduling decisions. This system will provide bus ridership information by route/run/time period and location;63 this will allow planning staff to optimize the bus service schedule by adding or deleting service based on more accurate information. Transit Scheduling System (TSS) Enhancement--The enhancement entails implementing new technology to help the transit schedule makers develop more cost-effective assignments. The use of

graphical scheduling tools has shown significant advantages since its introduction to the industry. In addition, new products to calculate optimum legal runcuts, using mathematical optimization algorithms with computer assistance, have been used recently to reduce operator payroll and increase revenue service. Metropass Sales Analysis Subsystem (MSAS)--The system will be part of the monthly pass/tokens sales system. Because MSAS has grown beyond a PC capability and needs to be converted to a VAX application, the system will improve the monthly pass/token sales analysis capability and use, maintain information on pass sales and use, and allow for sales monitoring at specific outlets. The system will also allow analysis of trends in pass sales and use by transit patrons. Attitude Tracking System (ATS)--The system will be part of the transit survey system and will collect, maintain, process, and provide the ability to analyze all the attitude tracking information collected by the agency in steering future operating and financial policy. The system will maintain information on transit attitudes, identify target areas for marketing campaigns/programs, and identify changes in attitudes resulting from both internal and external factors. Labor Productivity Management Subsystem (LPMS)--The system will be part of the equipment management system and will improve productivity and labor planning in the bus, rail, and mover operations. The system will be used to establish standards for productivity analysis and budget preparation and to increase productivity in maintenance operations. Automated Fuel Management System (AFMS)--The system will provide a more accurate method of capturing information related to fuel and fluids activities in Metrobus and will reduce the need for manual intervention during the fueling process, as well as eliminate the need for the manual recording and data entry of fuel/fluids consumption and odometer readings. The system will provide more accurate monitoring and managing of fuel and fluids inventories in MDTA's potential liability for environmental cleanup. A vehicle monitoring component will provide information related to the operating characteristics of each vehicle, which may aid in the early diagnosis of mechanical difficulties. The vehicle monitoring component will also capture information related to each vehicle operator's driving behavior, such as speed, braking, and idle time. This information will be helpful in evaluating individual driver performance and will serve as a precise record of vehicle operation in instances when accident investigation is necessary to determine accountability. Equipment Management System (EMS) Enhancement--The system will allow the use and tracking of parts outside the original OEM warranties by means of a component control tag. Bus-in-service

failures will be captured in an on-line mode and associated with resulting repair order activity, which will facilitate the analysis of recurring problems and monitoring effectiveness of repairs. EMS/TOS Interface System (ETIS)--The system will develop a communications interface to eliminate the need to enter and maintain vehicle availability information in EMS. These data would continue to be entered into TOS and be automatically transmitted to EMS. The entry of roadcalls, as well as the "deading" of vehicles due to mechanical failures, will also be transmitted to EMS, resulting in the automatic creation of EMS repair orders and elimination of EMS data entry related to vehicle availability. Vehicle maintenance supervisors would no longer need to open EMS repair orders because automated work scheduling functions could be created in EMS and implemented in the vehicle maintenance facilities. Automated Requisition Tracking--This project is an enhancement to the material management system (MMS) and will create an automated system to track the status of Dade County purchase requisitions and small purchase orders. TRES/MMS Automated Issue Ticket System (TMITS)--The system located at all MDTA materials management storerooms (bar coding system) will allow the implementation of on-line, real-time parts issues from TRES, eliminating handwritten issue tickets. Contracts Tracking System (CTS)--The system will create an automated system to assist MDTA users in tracking contracts. The system will also provide the ability to follow the lifecycle progression of contracts and serve as a source of reference for particular individual contracts. Personnel Automated Logging System II (PALS-II)--The system is intended to provide all authorized MDTA users with a single computerized source, which combines and enhances the best features of all other personnel systems currently used in the department. The system represents a decentralized approach to human resources information administration and was designed to benefit all MDTA divisions, including personnel. The system will provide each authorized MDTA user with one consolidated source containing the most current and consistent human resources information; will eliminate the maintenance of conflicting versions of the same data; will reduce paperwork and forms processing by entering all data directly into the system; will reduce the lag time resulting from document forwarding and inter-office mail by electronically forwarding documents requiring multiple levels of review or approval; and will produce personnel-related documents and reports more quickly, using far less manual effort. Authorized users will be provided with the ability to produce ad hoc reports based on any data contained within PALS-II. Rotable Component Control System (RCCS)--A rotable component is

defined as a controlled component consisting of a rebuildable unit. The system will track and document the purchase, issuance, maintenance, failure, and rebuilding (as applicable) of rotable components used to support the operation of equipment in the transit system, as well as maintain the identity of individual rotables. The system will also automate items/components that cause a gap between EMS and MMS. Section 15 Reporting Enhancement (SRS)--The system will facilitate the collection and reporting of data used for the preparation of the Federal Transit Administration's (FTA) Section 15 report forms. Additionally, it will lay the foundation for Data Unification data collection and storage. Executive Information System (EIS)--This system will use graphs and high-level summaries to keep senior management informed of key performance indicators and general agency information. During the past several years, MDTA has implemented several computer64 applications that capture large volumes of data. The effort behind EIS is to make better use of these data by presenting them more concisely. As MDTA continues to grow in the next 5 years, the agency believes that monitoring the MDTA Strategic Plan goals will be the key to success. The EIS will assist MDTA management by providing easy-to-use, current information that will be custom tailored to senior management. Automated Stock Reconciliation System--The system will acquire and implement the necessary hardware and software to effectively and efficiently carry out inventory control. The system will reduce the present level of manual data entry by using bar coding to improve the speed and accuracy of data entry activities. Monthly Pass/Token Sales System Enhancement (MPTSS)--The system will enhance the current one to accommodate increasing pass and token sales by monitoring sales at specific outlets, and analyzing trends in sales and use by transit patrons. The system will make growing pass and token sales more manageable, as well as increase data editing capabilities. Transit Safety Information System (TSIS) Enhancement--The system will include three new subsystems that will be part of the existing transit safety system structure. These systems are as follows:(1) the industrial safety subsystem to accumulate and analyze industrial accident data, which will be used to implement safety programs to reduce the number and severity of industrial accidents; (2) the passenger accident/unusual occurrence subsystem to catalog corrective actions and measure the impact of such actions over the implementation period; and (3) the safety index and documentation subsystem to facilitate document storage and retrieval, and provide the Office of Safety and Assurance real-time identification and retrieval of transit safety documents.

Paratransit Services Routing and Dispatching--This system will provide the capability to create automated fleet routing and scheduling for paratransit trips and to monitor and dispatch vehicles assigned to service paratransit customers. The monitoring system should then provide on-time performance reporting capabilities. The system will improve customer service and schedule adherence capabilities and will minimize customer service cost by taking advantage of improved routing and scheduling technology and increasing accountability of trips provided for billing purposes. STS Management System--This system will automate various areas of the STS operations and management, increasing efficiency and productivity to provide better customer service while controlling expenses. The system will automate the contract monitoring data base-complaints, vehicle condition, and on-time performance-and will provide routine reports on contractor performance. The system will also assess and maintain records of liquidated damages for lack of contractual compliance. Materials Management System (MMS)--This new system will replace the current TRES MMS (inventory system). The primary objective of the proposed system is to create an enhanced, integrated support environment for purchasing, inventory control, material distribution, and financial/audit management. This system upgrade will allow MDTA to improve employee productivity, increase vehicle reliability, improve critical parts availability, reduce overall maintenance costs, and reduce inventory costs. Executive Information System (EIS)--Phase II of this system will provide management with immediate, easily accessible, and reliable information from many sources, both internal and external, on performance, effectiveness, and efficiency measures and indicators. The system will allow management to view operational, financial, and administrative statistical information dealing with agency performance. The system will also allow management to easily project growth based on illustrated performance indicators. METRA (METROPOLITAN RAIL): INFORMATION SYSTEMS FOR REVENUE TICKET DISTRIBUTION AND SALES STATUS Introduction Project Objectives The main objective of this project is to maintain an accurate, up-to-date, and efficient ticketing and revenue system that will help preserve Metra customer satisfaction and confidence. To achieve this, Metra could do the following: Completely automating the ticketing functions from inventory to point of sale to accounting reporting. Automating to include contract carriers. Electronically transferring data to replace current manual

methods. Electronically transferring data to more quickly update the status of all files. Replacing multiple PC systems, which do not presently communicate with one another, with one integrated system. Readjusting ticket services position to other responsibilities if current position functions are eliminated. Reducing customer wait time in line to purchase tickets by using the new technologies now available. Creating a complete set of user and operation documentation. Project Scope The study is to examine all of the following: Revenue accounting functions, Revenue accounting reports, Ticket inventory and distribution procedures, A possible interface with the new crew system, Interaction with the ticket-by-mail system, A possible linkage with the accounts payable system, and Relevance of new hardware and software --Handheld point of sale machines for train workers --Systems that will batch and endorse checks. Technology Under Review Ticket Printing The following two companies have presented information regarding the printing capabilities of their equipment: Features of Telkor, based in South Africa: Prints one type of stock at a time, Thermal printing (eliminates the use of holograms), Magnetic encoding capabilities, and65 Component of the British Rail Ticketing System. Features of Boca, based in Indiana: Prints one type of stock at a time, Thermal printing, and Currently used by NICTD (South Shore Line). Using the information presented, the team identified the following advantages and disadvantages. Advantages included cheaper printing costs (1/2 cent versus 2 cents) by Boca and in-house ticket number assignment. Disadvantages included possible machine malfunctions and degraded counterfeiting safeguards (monthly). Railroad Ticket Accounting Software The CAPRI Financial System, the software used to coordinate British Rail's nationwide system, could accommodate Metra's accounting needs after some downsizing modifications. Currently, Metra is waiting to receive a sample document of the to

specifications needed request a cost estimate. PC Workstation Bar Coding The demonstration presented by Thomas Data Systems, bar coding specialists, generated the following advantages: Increased speed, Increased accuracy, In-house software, Ticket number capture, Decreased bland stock discrepancies, Elimination of sequence selling difficulties, Major reduction of data entry keystrokes, Faster ticket agent end-of-day status reporting, Internal bar code printing on current hardware, and External bar code printing one-time $200 charge. The disadvantage is the estimated one-time expense of $1,500 per workstation. PC Workstation Touch Screen The information gathered so far indicates the following advantages and disadvantages. Advantages include conceptual easeof-use and decreased data entry strokes. Disadvantages include increased number of data screens needed, difficult data screen manipulation, and cost increase of PC workstations. Electronic Register Workstation The demonstration of CASIO electronic cash registers illustrated the following advantages and disadvantages. Advantages included using the price look-up structure to capture the rail line, ticket type, zone, and price with two keystrokes, and generating endof-day totals without additional data entry. Disadvantages included 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. Train Workers Ticket Printing The information gathered indicates the following advantages and disadvantages. Advantages include elimination of cash fare discrepancies, elimination of manual end-of-day calculations, and reduction of cash handling data entry to data transfer. Disadvantages include increased equipment responsibility, difficulties of machine malfunctions, and possible labor union repercussions. Items Currently Under Investigation IBM store system workstation, New network structure of automated files and data collection, and Shift of data entry of train worker form 1332 data from revenue accounting to the train workers. REFERENCES 1. Geographic Information Systems Project, Phase I Feasibility

Study, Seattle Metro, Seattle, Washington (March 1993). 2. Operation Support System, Concept of Operation, Seattle Metro, Seattle, Washington (March 1994). 3. Operation Support System Project, Proposal for Alternative Analysis Phase, Seattle Metro, Seattle, Washington (January 1994). 4. Transit Operations System (TOS), Metro-Dade Transit Agency, Miami, Florida (1994).66 APPENDIX B QUESTIONNAIRE TRANSIT COOPERATIVE RESEARCH PROGRAM SYNTHESIS TOPIC SG-3 MANAGEMENT INFORMATION SYSTEMS 1994 QUESTIONNAIRE 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 (e.g. electronic fareboxes, Smartcards, etc.) into the overall information system of transit agencies. This questionnaire is organized around four basic management and operational areas: ADMINISTRATION, PLANNING AND OPERATIONS, MATERIALS MANAGEMENT, and HIGH TECHNOLOGY SYSTEMS. We are interested in what software systems and hardware platforms are currently in place; what product vendors were involved; what interfaces exist within the management and operations areas as well as across those area boundaries; what current problems exist; and what expansion is planned. In order to obtain the highest quality information and documentation available, we ask you to please attach to 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.) Please provide the name of the person who may be contacted by Mr. Boldt for clarification or further information. Name _______________________________________________________________________ _____________ Title _______________________________________________________________________ _____________

Agency _______________________________________________________________________ ___________ Address _______________________________________________________________________ ___________ Telephone _______________________________________ Fax__________________________________ OVERVIEW OF MIS ENVIRONMENT What is the general MIS Environment? Hardware platform________________________________________ Database________________________________________________ Language_______________________________________________ Network________________________________________________ Are special tools used? Yes [] No [] If yes, 4th generation languages (e.g. SAS, Focus) __________________________________________ CASE _______________________________________________________________________ _ Report/query ___________________________________________________________________ Presentation/graphics ____________________________________________________________ Is a system development methodology (SDM) in use? Yes [] No [] Please identify the SDM__________________________________________________________ What is the size of the system staff? _____________ (If some are part time, please give full-time equivalents) Numbers FTEs (1) Programmers_______________________ _______________________________ (2) Analysts___________________________ _______________________________ (3) Operator___________________________ _______________________________ (4) Administrators/other_________________ _______________________________ (5) Total______________________________ _______________________________ Is a service bureau/major packages used? Yes [] No [] If so, please describe ____________________________________________________________ _______________________________________________________________________ ______ _______________________________________________________________________ ______ _______________________________________________________________________ ______

(If the following functional organization does not conform to your environment please substitute appropriate descriptions.) ADMINISTRATION Please identify: Word Processing and Administrative Systems used: Software (i.e. WordPerfect, Harvard Graphics, dBase IV, Lotus)____________________ Hardware (i.e. IBM PS 2, and PC clones)_______________________________________ Operating System (i.e. MS/PC- DOS) __________________________________________67 Network (Le. Novell 3.x) __________________________________________________________ Please indicate interfaces between systems Interfaces with: Accounting Software (i.e. McCormick & Dodge, COBOL, CICS, Hierarchical DB) _______________ _________________ Hardware (i.e. IBM 9121/210) _______________ _________________ Operating System (i.e. IBM, _______________ _________________ MVS/ESA) Network (i.e. IBM Systems Network _______________ _________________ Architecture (SNA)) Payroll Software _______________ _________________ Hardware _______________ _________________ Operating System _______________ _________________ Network _______________ _________________ Fixed assets Software _______________ _________________ Hardware _______________ _________________ Operating System _______________ _________________ Network _______________ _________________ Grant management Software _______________ _________________ Hardware _______________ _________________ Operating System _______________ _________________ Network _______________ _________________ Human resources Software _______________ _________________ Hardware _______________ _________________ Operating System ____________ _____________ Interfaces with: Network ____________ _____________ Other systems (add additional pages when necessary) Software ____________ _____________ Hardware ____________ _____________ Operating System ____________ _____________

Network ____________ _____________ Please describe future plans for Administration Systems ____________________________________ _______________________________________________________________________ ________________ _______________________________________________________________________ ________________ _______________________________________________________________________ ________________ _______________________________________________________________________ ________________ _______________________________________________________________________ ________________ Please describe problems or obstacles that you have encountered in Administration Systems ________ _______________________________________________________________________ ________________ _______________________________________________________________________ ________________ _______________________________________________________________________ ________________ _______________________________________________________________________ ________________ _______________________________________________________________________ ________________ PLANNING AND OPERATIONS (indicate where there are interfaces between systems) Section 15 Reporting Interfaces with: Software (i.e. dBase III) ____________ _____________ Hardware (i.e. IBM PC Stand alone) ____________ _____________ Operating System (i.e. MS/PC- DOS) ____________ _____________ Network (i.e. none) ____________ _____________ Scheduling/Run-cutting/Rostering Software (i.e. SAGE Minischeduler, Run-cutter & rostering) ____________ _____________ Hardware (i.e. DEC VAX) ____________ _____________ Operating System (i.e. VAX/VMS) ____________ _____________68 Interfaces with: Network (i.e. DEC VAX cluster) ____________ _____________ GIS Software ____________ _____________ Hardware ____________ _____________ Operating System ____________ _____________ Network ____________ _____________ Farebox (including ATM, Passenger counting, Smartcard, etc.) ____________ _____________ Software ____________ _____________

Hardware ____________ _____________ Operating System ____________ _____________ Network ____________ _____________ Safety/training ____________ _____________ Software ____________ _____________ Hardware ____________ _____________ Operating System ____________ _____________ Network ____________ _____________ Other systems (add additional pages when necessary) Software ____________ _____________ Hardware ____________ _____________ Operating System ____________ _____________ Network ____________ _____________ Please describe future plans for Planning and Operations __________________________________________________ _______________________________________________________________________ _________________________________ _______________________________________________________________________ _________________________________ _______________________________________________________________________ _________________________________ _______________________________________________________________________ _________________________________ _______________________________________________________________________ _________________________________ Please describe problems or obstacles that you have encountered with Planning and Operations _____________________ _______________________________________________________________________ _________________________________ _______________________________________________________________________ _________________________________ _______________________________________________________________________ _________________________________ _______________________________________________________________________ _________________________________ _______________________________________________________________________ _________________________________ (Please attach and/or substitute any materials which detail your Planning and Operations Information System) MATERIALS MANAGEMENT (indicate where there are interfaces between systems) Interfaces with: Inventory Software ____________ _____________ Hardware ____________ _____________ Operating System ____________ _____________ Network ____________ _____________

Maintenance Software ____________ _____________ Hardware ____________ _____________ Operating System ____________ _____________ Network ____________ _____________ Purchasing Software ____________ _____________ Hardware ____________ _____________ Operating System ____________ _____________ Network ____________ _____________ Other systems (add additional pages when necessary) Software _______________________________________________________________________ ___________________ _______________________________________________________________________ _________________________________69 Hardware ________________________________________________________________ _______________________________________________________________________ _______ Operating System __________________________________________________________ _______________________________________________________________________ _______ Network __________________________________________________________________ _______________________________________________________________________ _______ Please describe future plans for Materials Management Systems _____________________ _______________________________________________________________________ _______ _______________________________________________________________________ _______ _______________________________________________________________________ _______ _______________________________________________________________________ _______ _______________________________________________________________________ _______ Please describe problems or obstacles that you have encountered with Materials Management Systems ____________________________________________________________ _______________________________________________________________________ _______

_______________________________________________________________________ _______ _______________________________________________________________________ _______ _______________________________________________________________________ _______ _______________________________________________________________________ _______ (Please attach and/or substitute any materials which detail your Materials Management Information System) HIGH TECHNOLOGY SYSTEMS (indicate where there are interfaces between systems) Interfaces with: Automated Vehicle Location Software __________________ __________________ Hardware _________________ __________________ Operating System __________ __________________ Network _________________ __________________ Cable TV Software __________________ __________________ Hardware _________________ __________________ Interfaces with: Operating System _______________ ___________________ Network _______________________ ___________________ Signal preemption Software ______________________ ___________________ Hardware ______________________ ___________________ Operating System ________________ ___________________ Network _______________________ ___________________ Ride matching Software ______________________ ___________________ Hardware ______________________ ___________________ Operating System ________________ ___________________ Network _______________________ ___________________ Other systems (add additional pages when necessary) Software ______________________ ___________________ Hardware ______________________ ___________________ Operating System _______________ ___________________ Network ______________________ ___________________ Please describe future plans for High Technology Systems _____________________________________ _______________________________________________________________________ __________________ _______________________________________________________________________ __________________ Please describe problems or obstacles that you have encountered with High Technology Systems

_______________________________________________________________________ __________________ _______________________________________________________________________ __________________ (Please attach and/or substitute any materials which detail your High Technology Information Systems) Please return completed questionnaire packages by March 8, 1994, to: Roger Boldt 1596 470th Street Kalona, IA 52247 THANK YOU VERY MUCH FOR YOUR PARTICIPATION.70 APPENDIX C INTERVIEW GUIDE TRANSIT COOPERATIVE RESEARCH PROGRAM SYNTHESIS TOPIC SG-3: "MANAGEMENT INFORMATION SYSTEMS" 1994 INTERVIEW GUIDE 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. Name _______________________________________________________________________ ___________ Title _______________________________________________________________________ ____________ Agency _______________________________________________________________________ __________ Address_________________________________________________________________ ________________ Telephone ___________________________________ Fax __________________________ OVERVIEW OF MIS ENVIRONMENT What is the general MIS Environment? Hardware platform _______________________________________________________ Database _______________________________________________________________ Language ______________________________________________________________ Network ______________________________________________________________ Are special tools used? Yes [_] No [_] If yes, 4th generation languages (e.g., SAS, Focus) ___________________________________________

CASE _______________________________________________________________________ __ Report/query ____________________________________________________________________ Presentation/graphics _____________________________________________________________ Is a system development methodology (SDM) in use? Yes [_] No [_] Please identify the SDM _______________________________________________________________ What is the size of the system staff?___________(If some are part-time, please give fulltime equivalents) Numbers FTEs (1) Programmers _________________ _________________ (2) Analysts _____________________ _________________ (3) Operator _____________________ _________________ (4) Administrators/other ___________ _________________ (5) Total _______________________ _________________ Is a service bureau/major packages used? Yes [_] No [_] If so, please describe. ________________________________________________________________ _______________________________________________________________________ ________________ _______________________________________________________________________ ________________ What MIS areas are critical to the strategic and business issues of your organization? ___________________ _______________________________________________________________________ __________________ _______________________________________________________________________ __________________ Are there particular areas of MIS/technology that you are focusing on? _______________________________ _______________________________________________________________________ __________________ _______________________________________________________________________ __________________ What current or recent MIS programs demonstrate the integration of special software systems into your overall management information system? _____________________________________________________________ _______________________________________________________________________ __________________ _______________________________________________________________________ __________________

When did you begin? __________________________________________________________________ What stage are you? ___________________________________________________________________ _______________________________________________________________________ _____________ What is your level of documentation? _____________________________________________________ _______________________________________________________________________ _____________ What is the applicability/transferability to other transit properties? ____________________________________ _______________________________________________________________________ __________________ _______________________________________________________________________ __________________ What problems have you encountered? _________________________________________________________ _______________________________________________________________________ __________________ __ _______________________________________________________________________ ________________ What do you plan to do in the future? __________________________________________________________ _______________________________________________________________________ __________________ _______________________________________________________________________ __________________ What are the key critical success factors (CSF) for transit MIS is their order of priority? _______________________________________________________________________ __________________ _______________________________________________________________________ __________________ _______________________________________________________________________ __________________71 APPENDIX D TRANSIT AGENCIES VISITED First Tier Municipality of Metropolitan Seattle (Seattle Metro) 821 Second Avenue Exchange Building Seattle, WA 98104 1,272 buses; 290 vans Toronto Transit Commission (TTC) 1900 Yonge Street Toronto, Ontario

Canada M4S 1Z2 1,720 buses; 730 rail cars Metropolitan Atlanta Rapid Transit Authority (MARTA) 2424 Piedmont Road, N. E. Atlanta, GA 30324 810 buses; 260 rail cars Metro-Dade Transit Agency (MDTA) 111 N. W. First Street 9th Floor Miami, FL 33128 550 buses; 140 rail cars San Francisco Bay Area Rapid Transit (BART) 800 Madison Street P. O. Box 12688 Oakland, CA 94604-2688 610 rail cars Metra (Metropolitan Rail) 547 West Jackson Boulevard Chicago, IL 60606 220 electric rail cars; 710 hi-liners New York City Transit MTA New York City Transit 130 Livingston Street Brooklyn, NY 10017 4,200 buses; 8,150 rail cars Second Tier Five Seasons Transportation Cedar Rapids, IA 40 buses LIFTS - Linn County Transportation Cedar Rapids, IA 18 paratransit vans Des Moines Metropolitan Authority Des Moines, IA 82 buses; 25 paratransit vans Iowa City Transit Iowa City, IA 21 buses Cambus, University of Iowa Transit Iowa City, IA 14 buses Johnson County SEATS Iowa City, IA 12 paratransit vans72 APPENDIX E OAHU TRANSIT SERVICES, Inc. QUESTIONNAIRE SUMMARY Agency Oahu Transit Services. Inc.

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

(2) Hardware IBM PS/2 N/A (3) Operating System MSDOS __________________ (4) Network N/A __________________ e. Grant management (1) Software N/A __________________73 (2) Hardware N/A __________________ (3) Operating System N/A __________________ (4) Network N/A __________________ f. Human resources (1) Software TOPPS (Clipper In-house) Safety (SINFO) (2) Hardware IBM PS/2 Scheduling (ECASS) (3) Operating System MSDOS __________________ (4) Network Novell 3.11 __________________ g. Other systems (1) Software Notebook (E-mail) __________________ (2) Hardware IBM PS/2 __________________ (3) Operating System MS DOS __________________ (4) Network Novell 3.11 __________________ h. Future plans for administration systems. Enhancements to TOPPS for safety and Payroll, upgrade to Financial Systems. connection of E-mail to City and County of Honolulu Departments, and connection of Halawa Bus Facility to Novell LAN. 1. Problems/obstacles in administration systems. Standardization of regulations and procedures: coordination of all departments on needs and training facilities. 3. Planning/Operations (interfaces between systems are indicated when present) Interfaces with: a. Section 15 Reporting (1) Software FOCUS (In-House) __________________ (2) Hardware IBM PS/2 __________________ (3) Operating System MSDOS __________________ (4) Network N/A __________________ b. Scheduling/ run-cutting/rostering (1) Software CASS (Sage). ECASS (OMG) Personnel (TOPPS) (2) Hardware Micro-VAX, IBM PS/2 Radio Dispatch (TD52500) (3) Operating System VAX/VMS, MSDOS __________________ (4) Network VAX Cluster. Novell 3.11 __________________ c. GIS (1) Software N/A __________________ (2) Hardware N/A __________________ (3) Operating System N/A __________________ (4) Network N/A __________________ d. Farebox (1) Software GFI (Install 20/94) __________________ (2) Hardware IBM PS/2 __________________ (3) Operating System MSDOS __________________ (4) Network Novell 3.11 __________________ e. Safety/training

(1) Software SINFO (Foxbase In-house) Personnel (TOPPS) (2) Hardware IBM PS/2 __________________ (3) Operating System MSDOS __________________ (4) Network N/A __________________ f. Other systems (1) Software Radio Dispatch (TC52500) Scheduling (2) Hardware PDP1184 __________________ (3) Operating System DEC VMS __________________ (4) Network N/A __________________ g. Future plans for Planning/Operations. Upgrade to CASS system to IBM PS/2 Novell Platform. Replacement of Radio Dispatch System. Integration of SINFO (Safety) System into TOPPS. Implementation of a Fuel Monitor System. h. Problems/ obstacles with Planning/Operations. High cost of systems and the complexities of the interface with each other. Requires considerable planning and funds to implement or improve.________________________________________________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

SUMMARY Agency Orange County Transportation Authority Address 550 S. Main St., P.O. Box 14184, Orange. CA 92613-1584 1. Overview of MIS environment a. What is the general? (1) Hardware platform NED Image/Power Mate (2) Database Foxpro, Paradox, RBase (3) Language COBOL, C+, INFORMIX, FORTRAN (4) Network Banyan Vines b. Are special tools used? yes (1) 4th generation languages INFORMIX (2) CASE None (3) Report/query None (4) Presentation/graphics Harvard/MICROGRAFX c. Is a system development methodology (SDM) is use? If yes, identify. No d. What is the size of the system staff? 34 (If some are part-time, please give full-time equivalents) (1) Programmers 2 (2) Analysts 9 (3) Operators 4 (4) Administrators/other 19 e. Is a service bureau/major packages used? If yes, please describe. No 2. Administration (interfaces between systems are indicated when present) 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 Interfaces with: b. Accounting (1) Software IFAS (Interactive Fund Accounting System) (2) Hardware HP 9000 __________________ (3) Operating System Unix __________________ (4) Network Vines __________________ c. Payroll (1) Software COBOL __________________ (2) Hardware Prime/HP9000 __________________ (3) Operating System Primos/Unix __________________ (4) Network Vines __________________ d. Fixed assets (1) Software TRAPEZE/94' __________________ (2) Hardware Banyan Vines __________________ _________________ (3) Operating System Primos/Unix __________________ (4) Network Vines __________________ e. Grant management

(1) Software IFAS __________________ (2) Hardware Prime/HP9000 __________________ (3) Operating System Primos/Unix __________________ (4) Network Vines __________________ f. Human resources (1) Software COBOL __________________76 (2) Hardware Prime/HP9000 __________________ (3) Operating System Primos/Unix __________________ (4) Network Vines __________________ h. Future plans for administration systems Windows-based, applications for information availability. i. Problems/obstacles in administration systems Network - slow processing at times. 3. Planning/Operations (interfaces between systems are indicated when present) Interfaces with: a. Section 15 Reporting (1) Software INFORMIX __________________ (2) Hardware Prime/HP9000 __________________ (3) Operating System Primos/Unix __________________ (4) Network Vines __________________ b. Scheduling/ run-cutting/rostering (1) Software __________________ __________________ (2) Hardware Prime/HP9000 __________________ (3) Operating System Primos/Unix __________________ (4) Network __________________ __________________ c. GIS (1) Software Arc Info/Tranplan __________________ (2) Hardware IBM RX6000 __________________ (3) Operating System Unix __________________ (4) Network Subnet NFS __________________ d. Farebox (1) Software GFI Prime (2) Hardware Data System __________________ (3) Operating System Compaq 386 __________________ (4) Network MS DOS __________________ e. Safety/training (1) Software In-House __________________ (2) Hardware In-House __________________ (3) Operating System In-House __________________ (4) Network In-House __________________ f. Other systems: Fuel System - NBCS (1) Software Proprietary MAPS (Maintenance) (2) Hardware Austine __________________ (3) Operating System MS DOS __________________ (4) Network N/A __________________ g. Future plans for Planning/Operations Network Base Applications for information availability.

h. Problems/ obstacles with Planning/Operations None 4. Materials Management (interfaces between systems are indicated when present) Interfaces with: a. Inventory (1) Software MAPS (Maintenance, Accounting, Purchasing System) (2) Hardware Prime/HP9000 __________________ (3) Operating System Primos/Unix __________________ (4) Network None __________________ b. Maintenance (1) Software MAPS IFAS (material costs) (2) Hardware Prime/HP9000 PR (Labor) (3) Operating System Primos/Unix PR (employee info) (4) Network None __________________ c. Purchasing (1) Software MAPS __________________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.

3 http://departments.agri.huji.ac.il/economics/gelb-manag-4.pdf MANAGEMENT INFORMATION SYSTEMS Stephen B. Harsh Department of Agricultural Economics Michigan State University harsh@msu.edu INTRODUCTION Management information systems encompass a broad and complex topic. To make this topic more manageable, boundaries will be defined. First, because of the vast number of activities relating to management information systems, a total review is not possible. Those discussed here is only a partial sampling of activities, reflecting the author's viewpoint of the more common and interesting developments. Likewise where there were multiple effects in a similar area of development, only selected ones will be used to illustrate concepts. This is not to imply one effort is more important than another. Also, the main focus of this paper will be on information systems for use at the farm level and to some lesser extent systems used to support researchers addressing farm level problems (e.g., simulation or optimization models, geographic information systems, etc.) and those used to support agribusiness firms that supply goods and services to agricultural producers and the supply chain beyond the production phase. Secondly, there are several frameworks that can be used to define and describe management information systems. More than one will be used to discuss important concepts. Because more than one is used, it indicates the difficult of capturing the key concepts of what is a management information system. Indeed, what is viewed as an effective and useful management information system is one environment may not be of use or value in another. Lastly, the historical perspective of management information systems cannot be ignored. This perspective gives a sense of how these systems have evolved, been refined and adapted as new technologies have emerged, and how changing economic conditions and other factors have influenced the use of information systems.

Before discussing management information systems, some time-tested concepts should be reviewed. Davis offers a commonly used concept in his distinction between data and information. Davis defines data as raw facts, figures, objects, etc. Information is used to make decisions. To transform data into information, processing is needed and it must be done while considering the context of a decision. We are often awash in data but lacking good information. However, the success achieved in supplying information to decision makers is highly variable. Barabba, expands this concept by also adding inference, knowledge and wisdom in his modification of Haechel's hierarchy which places wisdom at the highest level and data at the lowest. As one moves up the hierarchy, the value is increased and volume decreased. Thus, as one acquires knowledge and wisdom the decision making process is refined. Management information systems attempt to address all levels of Haechel's hierarchy as well as converting 2 data into information for the decision maker. As both Barabba and Haechel argue, however, just supplying more data and information may actually be making the decision making process more difficult. Emphasis should be placed on increasing the value of information by moving up Haechel's hierarchy. Another important concept from Davis and Olsen is the value if information. They note that in general, the value of information is the value of the change in decision behavior caused by the information, less the cost of the information. This statement implies that information is normally not a free good. Furthermore, if it does not change decisions to the better, it may have no value. Many assume that investing in a better management information system is a sound economic decision. Since it is possible that the better system may not change decisions or the cost of implementing the better system is high to the actual realized benefits, it could be a bad investment. Also, since before the investment is made, it is hard to predict the benefits and costs of the better system, the investment should be viewed as one with risk associated with it. Another approach for describing information systems is that proposed by Harsh and colleagues.

They define information as one of four types and all these types are important component of a management information system. Furthermore, the various types build upon and interact with each other. A common starting level is Descriptive information. (See Figure 1). This 1 Figure 1 Types of Information information portrays the what is condition of a business, and it describes the state of the business at a specified point in time. Descriptive information is very important to the business manager, because without it, many problems would not be identified. Descriptive information includes a variety of types of information including financial results, production records, test results, product marketing, and maintenance records. Descriptive information can also be used as inputs to secure other needed types of information. For example, what is information is needed for supplying restraints in analyzing farm adjustment alternatives. It can also be used to identify problems other than the what is condition. Descriptive information is necessary but not completely sufficient in identifying and addressing farm management problems. The second type of information is diagnostic information, This information portrays this what is wrong condition, where what is wrong is measured as the disparity between what is and what ought to be. This assessment of how things are versus how they should be (a factvalue conflict) is probably our most common management problem. Diagnostic information has two major uses. It can first be used to define problems that develop in the business. Are production levels too low? Is the rate earned on investment too low? These types of question cannot be answered with descriptive information alone (such as with financial and production records). A manager may often be well supplied with facts about his business, yet be unable to recognize this type of problem. The manager must provide norms or standards which, when compared with the facts for a particular business, will reveal an area of concern. Once a problem has been identified, a manager may choose an appropriate course of action for dealing with the problem (including doing nothing). Corrective measures may be taken so as to better achieve the managers goals. Several pitfalls are involved for managers in obtaining diagnostic information.

Adequate, reliable, descriptive information must be available along with appropriate norms or standards for particular business situations. Information is inadequate for problem solving if it does not fully describe both what is and what ought to be. As description is concerned with what is and diagnostics with what is wrong, prediction is concerned with what if...? Predictive information is generated from an analysis of possible future events and is exceedingly valuable with desirable outcomes. With predictive information, one either defines problems or avoids problems in advance. Prediction also assists in analysis. When a problem is recognized, a manager will analyze the situation and specify at least one alternative (including doing nothing) to deal with it. Predictive information is needed by managers to reduce the risk and uncertainty concerning technology, prices, climate, institutions, and human relationships affecting the business. Such information is vital in formulating production plans and examining related financial impacts. Predictive information takes many forms. What are the expected prices next year? What yields are anticipated? How much capital will be required to upgrade production technologies? What would be the difference in expected returns in switching from a livestock farm to a cropping farm? Management has long used various budgeting techniques, simulation models, and other tools to evaluate expected changes in the business. 3Without detracting from the importance of problem identification and analysis in management, the crux of management tasks is decision making. For every problem a manager faces, there is a right course of action. However, the rightness of a decision can seldom, if ever, be measured in absolute terms. The choice is conditionally right, depending upon a farm managers knowledge, assumptions, and conditions he wishes to impose on the decision. Prescriptive information is directed toward answering the what should be done question. Provision of this information requires the utilization of the predictive information. Predictive information by itself is not adequate for decision making. An evaluation of the predicted outcomes together with the goals and values of the manger provides that basis for making a decision. For example, suppose

that a manager is considering a new changing marketing alternative. The new alternative being considered has higher predicted returns but also has higher risks and requires more management monitoring. The decision as to whether to change plans depends upon the managers evaluation of the worth of additional income versus the commitment of additional time and higher risk. Thus, the goals and values of a farm manager will ultimately enter into any decision. HISTORICAL PERSPECTIVE The importance of management information systems to improve decision making has long been understood by farm management economists. Financial and production records have long been used by these economists as an instrument to measure and evaluate the success of a farm business. However, when computer technology became more widely available in the late 1950s and early 1960s, there was an increased enthusiasm for information systems to enhance management decision processes. At an IBM hosted conference, Ackerman, a respected farm management economist, stated that: The advances that have taken place in calculating equipment and methods make it possible to determine the relationship between ultimate yields, time of harvest and climatic conditions during the growing season. Relationship between the perspective and actual yields and changing prices can be established. With such information at hand the farmer should be in a position to make a decision on his prediction with a high degree of certainty at mid-season regarding his yield and income at harvest time. This statement, made in 1963, reflects the optimism that prevailed with respect to information systems. Even though there was much enthusiasm related to these early systems they basically concentrated on accounting activities and production records. Examples include the TelFarm electronic accounting system at Michigan State University and DHIA for dairy operations. These early systems relieved on large mainframe computers with the data being sent to a central processing center and the reports send back to the cooperating businesses. To put these early efforts into a management information system framework, the one proposed by Alder (House,ed.) is useful. (See Figure 2). They would be defined as data oriented systems with 45 2 Figure 2 Types of Information Systems

limited data analysis capabilities beyond calculating typical ratios (e.g., return on assets, milk per cow, etc.). By the mid 1960s it became clear that the accounting systems were fairly effective in supplying descriptive and diagnostic information but they lacked the capacity to provide predictive and prescriptive information. Thus, a new approach was needed a method of doing forward planning or a management information system that was more model oriented. Simulation models for improving management skills and testing system interaction were developed. As an example, Kuhlmann, Giessen University, developed a very robust and comprehensive whole farm simulation model (SIMPLAN) that executed on a mainframe computer. This model was based on systems modeling methods that could be used to analyze different production strategies of the farm business. To be used by managers, however, they often demanded that the model developer work closely with them in using the model. Another important activity during this period was the Top-Farmer Workshops developed by Purdue University. They used a workshop setting to run large linear-programming models on mainframe computers (optimization models) to help crop producers find more efficient and effective ways to operate their business. As mainframe timeshare computers emerged in the mid-1960's, I became possible to remotely access the computer with a terminal and execute software. Systems such TelPlan developed by Michigan State University made it possible for agricultural producers to run a farm related computer decision aids. Since this machine was shared by many users, the cost for executing an agriculturally related decision aid was relatively inexpensive and cost effective. These decision aids included optimization models (e.g., least cost animal rations) budgeting and simulation models, and other types of decision aids. These decision aids could be accessed by agricultural advisor with remote computer terminals (e.g., Teletype machine or a touch-tone telephone). These advisors used these computer models at the farm or at their own office to provide advice to farm producers.

These were exciting times with many people becoming involved in the development, testing, refining, and implementation of information systems for agriculture. Computer technology continued to advance at a rapid pace, new communication systems were evolving and the application of this technology to agriculture was very encouraging. Because of the rapid changes occurring, there were international conferences held where much of the knowledge learned in developing these systems was shared. One of the first of these was held in Germany in the mid1980s. It was also clear from these early efforts that the data oriented systems where not closely linked to the model oriented systems. Information for the data oriented systems often did not match the data needed for the model oriented systems. For example, a cash-flow projection model was not able to directly use financial data contained in the accounting system. In most cases, the data had to be manually extracted from the accounting system and re-entered into the planning model. This was both a time consuming and error prone process. Because of the lack of integration capabilities of various systems, they were devoid of many of the desirable characteristics of an evolving concept describes as decision support systems (DSS). These systems are also known as Executive Support Systems, and Management Support System, and Process Oriented Information Systems . The decision support system proposed by Sprague and Watson (House, ed.) Has as its major components a database, a modelbase, a database/modelbase management system and a user interface (see Figure 3). The database has information related to financial transactions, production information, marketing records, the resource base, research data, weather data and so forth. It includes data internally generated by the business (e.g., financial transactions and production data) and external data (e.g., market prices). These data are stored in a common structure such that it is easily accessible by other database packages as well as the modelbase. The modelbase component of the system has decision models that relate to operational, tactical and strategic decisions. In addition, the modelbase is able to link models together in order to

solve larger and more complex problems, particularly semi-structured problems. The database/modelbase management system is the bridge between database and modelbase components. It has the ability to extract data from the database and pass it to the modelbase and vice versa. The user interface, one of the more critical features of the system, is used to assist the decision maker in making more efficient and effective use of the system. Lastly, for these systems to be effective in supporting management decision, the decision maker must have the 67 3 Figure 3 Decision Support System skills and knowledge on how to correctly use these systems to address the unique problem situation at hand. Several follow-up international conferences were held to reflect these new advances in management information systems. The first of these conferences focused on decision support systems was held in Germany. This conference discussed the virtues of these systems and the approach used to support decisions. Several prototype systems being developed for agriculture were presented. From these presentations, it was clear that the decision support systems approach had many advantages but the implementation in agriculture was going to be somewhat involved and complex because of the diversity of agricultural production systems. Nevertheless, there was much optimism for the development of such systems. A couple of years later, another conference was held in Germany that focused on knowledgebased systems with a major emphasis on expert systems and to a lesser extent optimum control methods and simulation models. Using Alters scheme to describe information systems, for the most part these would be described as suggestion models. It was interesting to note that the prototype knowledge-based systems for the most part did not utilize the concepts of decisions support systems which was the focus of the earlier conference. Perhaps this was related to the fact that many of the applications were prototypes. The international conference that followed in France focused on the low adaption rate of management information systems. This was a topic of much discussion but there were few conclusions reached except the systems with the highest adaption rate were mainly dataoriented ones (e.g., accounting systems, field record systems, anaimal production and health records, etc.)

which provide mainly descriptive and diagnostic information. The international conferences that followed had varying themes. One of the major themes was precision agriculture with several conferences held. These conferences extolled the use of geographic information systems (GIS) in conjunction with geographic positioning systems (GPS) to record and display data regarding cropping operations (e.g., yields obtained) and to control production inputs (e.g., fertilizer levels). Other conference addressed the use of information systems to more tightly control agriculture production such as those developed for greenhouse businesses. To briefly summarize the historical developments, there have been significant efforts devoted to improving the management information systems from the early computerized activities forty years earlier. The decision aids available have grown in number and they are more sophisticated. There has been some movement toward integration of the data oriented systems and the model oriented systems. An examination of our current usage of management information systems, however, suggests that we have not nearly harnessed the potential of the design concepts contained modern management information systems. CURRENT STATUS OF INTERNAL INFORMATION SYSTEMS The current status of management information systems is remains dynamic. Several adoption surveys and personal experiences lead to some interesting observations. These observations will be reviewed in the context of a decision support system as defined by Spraque and Watson. On-Farm Information Systems -- Computer Hardware The percentage of farms owning a computer continues to grow. Most commercial farms now own a computer and have access to the Internet, many with high speed connections. Most of the computers are of recent vintage with large data storage and memory capacity. It is safe to state that the hardware is not the bottleneck with respect to management information systems. 8On-Farm Database and Modelbase Applications The decision support system literature stressed that the database and modelbase remain separate entities. They should be bridged by the database/modelbase management system. In examining

much of the software developed for on-farm usage, it appears that most of it does not currently employ this design concept. Indeed most of the software is a stand-alone product with the database an integral part of the modelbase. However, some packages have the ability to export and import data, allowing for the sharing of data across the various packages, but these data sharing features are usually rather narrow in scope and flexibility. The most common software packages used by agricultural producers are data oriented with the most common being one designed for financial accounting. Accounting packages explicitly designed for agricultural businesses and general business accounting packages are used for keeping the financial records. Because of their rather low cost relative to the agricultural specific packages, the general purpose packages are growing in market share. These financial accounting systems are used beyond completing tax documents. They are also important for providing information to creditors and for planning and control. Production management also accounts for a significant proportion of computer usage. There are many software packages available that address livestock problems. Some are database programs to keep track of animal related data and/or feed inventories. There are models to address operational and tactical decisions such as ration balancing, culling decisions, alternative replacements options, etc. However, many livestock producers also use off-farm production records processing such as using the DHIA service bureau for processing dairy records. These service bureaus provide a downloading feature so the data can be moved to the on-farm computer. For cropping operations, there are similarities in software availability. Database systems are available for keeping track of information on fields and sub-fields, particularly fertilizers and pesticides applied, varieties planted and yields achieved. Though there is increasing interest in geographic information systems by agricultural producers, the main usage is for yield monitoring and mapping. This approach is used to evaluate the effectiveness of alternative management practices employed in the production of the crop (e.g.,

comparison of varieties, seeding rates, pest control measures, tillage systems, etc.) and to identify field problems (e.g., soil compaction, drainage problems, etc.). This yield monitoring approach is finding the greatest acceptance and this may be in part because the yield monitoring and mapping systems are common option on grain harvesting equipment. One of the real concerns with using yield monitoring and mapping systems relates to the issue of arriving at the correct inference of what causes the variation in yields noted. The potential layers of data (e.g., pH, precious crops grown, soil structure, planting date, nutrients applied, variety grown, pesticides used, rainfall, etc.) has been suggested to exceed 100. To be able to handle the large number of 9data layers in an effective manner would suggest a full-feature geographic information system (GIS) might be needed. However, few agricultural producers have access to a fullfeature GIS and/or training to utilize these systems, and there are substantial costs related to capturing and storing various data layers. Nevertheless, the more obvious observations originating from these systems (e.g., such as poor drainage and soil compaction) have resulted in sound investments being made in corrective measures. To a limited extent, some agricultural producers are starting to make use of remote sensing data to identify problems related to the growing crop such as an outbreak of a disease. Those using remote sensing feel they are able to more quickly identify the problems and take corrective action, minimizing the damage done. Precision agriculture applied to the animal industries is on a different scale. Information systems are playing a major role on the integrated mega-farms. When using information systems to carefully track genetic performance, balance rations, monitor health problems, facilities scheduling, control the housing environment and so forth, it is generally acknowledged that it is possible to achieve a fairly significant reduction in cost per unit of output (10-15%) over that of more traditional, smaller farming operations. These are proprietary information systems and the information from these systems are used to gain a strategic competitive advantage.

Lastly, the general purpose spreadsheet is the most common software used for planning purposes. Some of these applications are very sophisticated and address complex problems. User Interface The user interface has improved in greatly in quality. Most agricultural software now uses the windowing environment. This environment makes it easier for the user to use and access data and information, and to move data from one application to another or to link applications. However, this still remains a user-initiated task and in some cases can be complex. Also most of the data contained in the software package is unique to that package and not easily shared with other software packages. Thus, from a DSS viewpoint there are still significant shortcomings. The Decision Maker An often overlooked component of a decision support system is the decision maker. Prior surveys suggest that the primary user of the on-farm computer system is the farm operator. Operators that are younger and college educated were much more likely to routinely use the computer. Also large farms were more likely to utilize a computer in their farming operation. It is also observed that there is a fair amount of learning cost related to use of on-farm information systems. These cost can be large enough to hinder the adoption of management information systems. 10CURRENT STATUS OF EXTERNAL INFORMATION SYSTEMS There is increased interest and excitement about the role external information systems available to agricultural producers, particularly Internet and satellite data transmission systems. Each of these technologies is a vast resource of data which can be used to enhance the various levels (e.g., information, intelligence, knowledge, wisdom) of Haechel's Hierarchy for an individual or organization. Another information source is the outside advisor. As the complexity and breadth of the farm level decision process has increased, the use of consultants and advisors has grown. This is particularly true of the larger farming operations. Internet The growth in Internet is phenomenal. The growth in its use by agricultural producers is also

phenomenal. Email is a common communication tool used by agricultural business. The same is true for the world-wide-web (WWW). They made extensive use of the web to find information that fit their unique requirement. Even though they find it a major source of information for their operation, it takes good skills to locate the information desired. One of the common complaints is the amount of time it takes to utilize the Internet effectively and the lack of depth of information. One of the critical questions relates to how effective Internet is in addressing the higher levels of Haechel's hierarchy. Other Internet resources available to agriculture include sites for downloading agricultural software. Much of the economic data compiled by the government is now available online. Lastly, in some cases it is being used as a marketing tool for products produced by the business. Satellite Data Transmission Systems The satellite data transmission systems are widely used by producers. These systems are passive data acquisition systems from the user's viewpoint. Data is continuously broadcast to the leased data terminal from a satellite. The data is automatically stored in the data terminal and can be accessed by a menuing process. These systems provide current data/information on a number of topics. Amounts and types of data/information received depends upon the options purchased. The basic subsystem provides for the latest market prices and news, weather maps (e.g., rainfall, jet streams, severe weather, crop soil moisture index, soil temperature, air temperature, etc.), government reports on market developments, long- and short-term weather forecasts, political developments that pertain to agriculture, and product information. Premium service options add even more features. Outside Advisors Several recent studies suggest that use of outside advisory services by farmers to enhance and supplement their on-farm information systems was fairly prevalent. The tax preparer is the 11advisory most commonly used. Other important sources of information include the local Extension agents, veterinary consultants, accountants, crop/pest management consultants, and

livestock management advisors (e.g., a nutritionist). The outside advisors utilize many different software packages to help provide advice to producers. FINPAK developed by the University of Minnesota is an example of a software package widely used by outside advisors with farmers. This financial analysis and related projection package helps evaluate the financial process being made by the farm and compares alternative future business options. This package (an accounting type model) is widely used in the U.S. THE FUTURE Predicting the future is not an exact science. But with the structural changes occurring in agriculture today, the management problems are significantly different from the problems of yesterday. Earlier emphasis in information systems was on improving production management decisions. Today, major issues that are commonly faced in management relate to financial, human resource, and marketing management. These management areas and their importance are identified in the strategic management workshops I have conducted with agricultural producers. Thus, managers will have less time to address production issues because more time and effort are being focused in the other management areas. This will have an impact on information systems to address production management. Addressing Structured Decisions In the future information systems to address production management will likely be of five general types: 1) software for systems analysis, 2) theory testing, software for teaching purposes, 3) software for advisors, 4) software for use by producers, and 5) software to control and monitor the supply chain. Software for systems analysis and theory testing will be developed with the primary objective of defining the structure and studying the dynamics and interaction of the various system components. Its main use is in research. These models are fairly complex and often have robust data requirements. Their utilization often depends upon availability of the developers to run the model or assist in the use of the model. This software is very useful in testing various hypotheses regarding system dynamics (e.g., would supplemental irrigation in the early growth stages greatly affect yields?)

These models play a vital role in generating a better understanding of the overall system and can give valuable insight on how to manage the system. They are also useful in identifying areas for further research. The results from these models are communicated in various ways (e.g., journal articles, trade journals, and advisory service publications and conferences) and these 12communicated results are often used by producers to adjust production practices. However, direct use by producers to evaluate their own unique situations is not common with these models. There are several reasons for this limited use including a poor user interface or lacking the data to drive the model. Also, it is generally unlikely that transformation of a model of this nature into one that is to be used by the producers will be successful. Software developed for teaching purposes is likely to continue. Sometimes these software packages are referred to as simulation games. Because these models teach concepts and principles, they are often a simplification of reality. They tend to use the case analysis approach, making it difficult to use the model to analyze various options and alternatives utilizing actual business data. The models are often used in an interactive mode (e.g., in a classroom or workshop environment) where knowledge is gained by testing what if questions, then observing the results. These models can be very powerful teaching tools, but are rarely used to analyze actual business situations. Producers often lose interest in using this software because it is too simplistic, takes too much time and effort to extract knowledge for better decisionmaking, or it does not adequately reflect the reality of the business. Software for advisors is a class of software that is used by agricultural advisors (e.g., Extension staff, consultants, and agribusiness firms) to assist producers in making decisions. The advisor is a necessary intermediary, because the software could demand a thorough understanding of a difficult set of concepts (e.g., long range planning) or it may be rather demanding of the users time and effort (e.g., a large amount of data has to be collected, entered and analyzed), or the time and effort to become proficient in the use of the model is considered excessive. This type of software will grow in importance as the use of outside consultants and advisory services by

agricultural businesses grows. These outside advisors and consulting services will increasingly use many different software packages to help provide advice to the producer. The package they use depends upon their area of specialization. For instance, those that are offering production advise may use one of several production decision aid models. Advisors also serve as an intermediary to extracting information from Internet (external data). They often subscribe to threaded discussion groups. They use these groups for posting problems and receiving back suggested solutions. They also learn from the exchange of ideas between others using the system. Also, advisors more readily see the merit of using a software program designed for systems analysis for enhancing their personal knowledge and skills and solving problems for their clients. This is particularly true if the software has a good user interface. Software for use by producers is and will continue to be some of the most demanding software to develop. As indicated earlier, a large amount of software has been written, but much of it has fallen short of expected usage rate. One reason is the decision makers have found the software fails to address their problems. The software must be fairly easy to utilize, and the producer expects it to provide information that has a perceived value greater than the cost of attaining that information. 13Software being used by producers can be grouped into two subcategories. The first subcategory is used to process transaction data and meet regulatory requirements. These are the software applications most used by the actual businesses. They must keep accounting, personnel and crop production records (e.g., pesticides used) because of government regulation. They also use software to reduce the time, effort and cost of processing the transaction records. This is why payroll packages, and shipping and billing systems are commonly employed on these operations. This usage will continue to grow in importance. The other subcategory of software is used for management purposes. This currently accounts for

a lesser portion of the computer usage. A large growth in this usage of this software is unlikely. The time and effort to master this software is major commitment. Since management time is being diverted to areas other than production management, they will have less and less time to become proficient in the use of this software. Thus, very thorough and sophisticated systems (e.g., the SAP software system) currently being employed by large companies are not likely to be common on farm businesses because of their complexity and cost. Software for process control is used to control and automate many of the structuredoperational decisions of the business enterprises, such as controlling temperature, light, irrigation and fertility in greenhouses. These models are generally of a closed-loop optimal control design. The process control models are generally knowledge based systems and have been developed using knowledge from many sources including the systems analysis models discussed earlier. The use of process control systems will grow in importance and acceptance. This acceptance implies that the managers have confidence in the models and that they improve the efficiency and effectiveness of the business. These models also free them to concentrate on more complex decisions. Software to control and monitor the supply chain will greatly grow in importance. The will be many factors driving this grow including concerns about food safely, country of origin labeling, organic foods, foods to meet special dietary requirements, and concerns about product liability suits. In will likely become commonplace that a food item purchased by the consumer at the retail level will have attached its entire history, including identity preservation and traceability, included with the purchase. The new advances in RFID chips and the requirements by certain major retailers to label all products with these chips will impact agricultural businesses including those engaged in producing farm products. The system imposed upon the entire supply chain will likely be designed by the retailers and the entire chain will need to adjust to the defined information structure. To adapt to the defined information structure may mean a major

restructuring of the information system currently being used by the business with substantial costs associated with the conversion. Addressing Ill-Structured and Unstructured Decisions To address the management areas related to human resources, finances, and marketing, suggest information systems that can address ill-structured or unstructured problems. Some would state that we are in the process of moving from the old economy to new economy. With this 14paradigm shift, among the changes is a movement from resource based to idea based wealth creation, from a stable comparative advantage to a dynamic one, from investment in physical assets to investment in human capital, from protected to open markets, from subsidies to encouragement to adapt, from hierarchal organizations to strategies alliances and partnerships. In addition agriculture will move from commodity markets to product markets and it will become more environmentally friendly, concerned with food safety, and quality and supply coordination. If this transition from the old economy to the new economy occurs for agriculture, then the information systems of the past will not be adequate for the future. They will need to be much broader and more comprehensive than the current systems. The future systems must: address the larger scope of financial management rather than financial record keeping, tax reporting, and analysis; help define marketing strategies and alliances; help identify potential niche markets rather than supplying data on current commodity market trends; support the creation of new ideas; nurture the growth of knowledge since this will become a major source of wealth creation; deal with the many dimensions and complexity of human resource management; signal needed production changes in an overall system of supply chain management; assist in negotiating contractual arrangements; help the producer adopt to an economic climate that has more risk and uncertainty because of less government intervention in markets; provide the capacity to track the identify of a product from its genetics to the consumer; assist in producing a product that meets customer desires rather than the production of a commodity. Developing farm-level information systems to fulfill these needs will be a major challenge. It

will take a major rethinking with regard to the role of management information systems. It will involve more than enhancing hardware, communications infrastructure, and software components of the information system. An equally important consideration will be the analytical skills, knowledge, wisdom, and interests of the agricultural decision maker. The information system of the future will need to concentrate more on the upper levels of Haechel's hierarchy -- knowledge and wisdom. As Honaka and Hirotaka observe, knowledge has two forms, tacit (subjective) and explicit (objective). Tacit knowledge is gained from experiences and practice, whereas explicit knowledge is based more on theory and rationality. As decision makers address problems, they convert knowledge between the two forms. An information system that focuses only on one form will have shortcomings. The information system of the future must have both forms of knowledge, and encourage the conversion of knowledge between the forms as a continuous process. Only by this process will the manager's knowledge base grow in size and function. 15Information systems of the past have tended to concentrate on explicit knowledge (e.g., linear programming to balance a ration) and, to lesser extent tacit knowledge. Many of the problems of the future will involve tacit knowledge. The challenge will be designing information systems that will allow for an easier and more effective means of sharing tacit knowledge. The Internet will no doubt play a key role in meeting this challenge. Perhaps a system for documenting experiences (e.g., structured case studies) can be used to enhance the sharing of tacit knowledge. SUMMARY Agriculture has a long and proud past history in applying information systems including farming operations. Although there have been significant strides forward in improving the decision making of farm managers there are still areas for improvement. The decisions of the future will be different from those of the past. There will be no quick and easy solutions on how to design the farm information system of the future. Indeed, each farm business will likely have its own unique system that has been tailored to meet the special informational requirement of the farm

business and address the needs of the entire supply chain. Those that are able to build and effectively utilize the farm information systems of the future will have a strategic advantage over their competitors. SELECTED REFERENCES Barabba, V.P. (1991). Through a Glass Less Darkly, Journal of the American Statistical Association, Vol. 86, No. 413, pp. 1-8. Harsh, Stephen B., L. J. Connor, and G. D. Schwab. (1981). Managing The Farm Business. Prentice-Hall, Inc., Englewood Cliffs, New Jersey. House, William C. (1983). Decision Support Systems A Data-Based, Model-Oriented UserDeveloped Discipline. Petrocelli Books, Inc. New York, NY. IBM Agricultural Symposium (1963). Endicott, New York, September 23-26. Integrated Decision Support Systems in Agriculture - Successful Practical Applications. (1990) Papers from International DLG - Congress for Computer Technology held in Frankfurt, Germany on May 27-30. Keller, Gerhard and Thomas Teufel. (1998). SAP R/3 Process-Oriented Implementation. Addison Wesley Longman, New York, NY. Knowledge Based Systems in Agriculture - Prospects for Application. (1988) Papers from International DLG - Congress for Computer Technology held in Frankfurt, Germany on June 19-22. 1617 Microelectronics in Agriculture - Facts and Trends. (1986) Papers from International DLG Congress for Computer Technology held in Hanover, Germany on May 4-7, 1986. Nonaka, I. and H. Takeuchi. (1995). The Knowledge-Creating Company: How Japanese Companies Create the Dynamics of Innovation, Oxford University Press:NewYork. Sullivan, Laurie (2004). Heavyweight Retailer Looks Inward to Stay Innovative in Business Technology. InformationWeek, 27 September 2004. Prof. Stephen B. Harsh is Professor and Distinguished Faculty Member at Michigan State University in the Department of Agricultural Economics. He received his undergraduate degree from the University of Nebraska and graduate degrees from Cornell University. He has been a Visiting Professor at the University of Naples, Italy and Justus-Liebig University, Giessen Germany. His research interests are in the areas of production economics, information systems for management support, economics of alternative energy systems, human resources management, and strategic and operations management. He teaches courses in operations

management and quantitative methods. He also has an Extension appointment that allows him to closely work with agricultural advisors and farming and agribusiness firms. He has published widely with more than 250 publications including a book and several chapters in books. He is the recipient of several national and international awards for his efforts in the area of information systems and he has lectured widely on this topic.

4 http://en.wikipedia.org/wiki/Information_systems

5 http://ceris.metropolis.net/pac/pac07.pdf HOW TO DEVELOP A MANAGEMENT INFORMATION SYSTEM The workshop discusses the strategy and approach to developing management information systems in community oriented projects and programs. Participants will discuss their approaches and experiences in researching information needs, designing performance measurement frameworks, developing indicators, evolving work plans and reporting results.CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 3 GOAL Contribute to a better understanding of organizations, communities and clients OBJECTIVES To stress the importance of Management Information Systems in keeping records of services provided by Community based organizations Purpose Understand the basics of management information system (MIS) familiarize with the stages of development of a simple MIS and its applications.CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 4 - WORKSHOP BACKGROUND FOR CERIS WORKSHOP LENGTH Three hours TRAINING METHODS Adult education Participatory Experiential learning Use of visual aids Small group work: discussion, exercises TEACHING AIDS AND EQUIPMENT REQUIRED Transparencies Flipchart, markers and masking tape Overhead projector and screen Notepads Nametags Pens FACILITATION MEDIUM English ASSUMPTION Community based agencies benefit from developing a management information system. This is an introductory program for frontline workers, practitioners and coordinators

without background in MIS.CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 5 FACILITATOR: REQUIRED KNOWLEDGE AND SKILLS Familiarity with CERIS-PAC Project Knowledge of immigrant and refugee serving agencies in Greater Toronto Area Sound understanding of management information system Good skills and knowledge of adult education methods Experience with development of MIS in non-profit sector NOTES TO THE TRAINER Trainer needs to arrange copies of overheads in order of the modules. On the left side pouch in the folder insert draft agenda, a notepad and the evaluation form. The goal and purpose statements and the workshop objective could be written on flipcharts and taped on the wall before the workshop commencement. Round table(s) would be ideal for effective participation. Overhead projector, screen and flipcharts will be needed. Find out the facility for coffee, tea and drinking water at the venue and the location of wash rooms for men and women. While choosing a venue, prefer one with handicap accessibility. Effective use of participants as volunteers will be useful in conducting discussion sessions and in displaying flipcharts.CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 6 - AGENDA Welcome Introduction Review of agenda and objectives Current Practices in MIS Experience sharing Importance of Management Information System Concepts of Information, Information Systems and Management Dos and Donts in developing MIS Steps in developing MIS Evaluation ClosureCERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 7 - CURRICULUM 1. Welcome (5 minutes) The representative of the agency hosting the workshop venue (agency whose facility is hired for the workshop) or the facilitator introduce themselves could welcome the participants and introduce the facilitator. Further, the representative could walk through the physical facilities such as the arrangements for coffee/tea, washrooms and telephone facility. 2. Introduction (Discussion, 5 minutes) The facilitator may choose to introduce herself/himself briefly in terms of directly related work experience and academic background. Then, explain the purpose of CERIS-PAC Project on Knowledge for Action and Action for Knowledge and how the present

workshop is related to it. The participants could be invited to introduce themselves by name, job title and their organizational affiliation. 3. Review of agenda and objectives (Flipchart, discussion, 10 minutes) The facilitator could explain the agenda for the workshop including the break time and end time. S (he) could elucidate the goal and purpose of the workshop. S (he) could also explain the context and background expected of the participants. The facilitator could ask each participant to describe his or her expectations and learning objectives. Then the facilitator may consider amending the agenda to build in participant requirements. 4. Role and significance of Management Information System (Overheads, discussion, 25 minutes) The facilitator sets the tone for a participatory atmosphere for the workshop by asking participants what do they think of MIS. This could generate a good discussion and contribute to unfreezing. Why MIS? The facilitator introduces the overhead on `Why are we focusing attention on developing MIS. An important concept emerging in non-profit sector is `competitiveness of agencies and how to become competitive in an environment of funds crunch. The facilitator could discuss the dependence and interrelationships among different units such as finance, program development, outreach, etc within an agency. Canadas workforce largely consists of knowledge-workers. The facilitator stimulates discussion in reviewing the impact of globalization, funding cuts, need for increased productivity and demands from funders to demonstrate results. Underline the fact that about 80 per cent of a frontline workers time is devoted to receiving, processing andCERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 8 sharing information in community agencies. Two significant resources of a modern organization are people and information and success depends on how these are managed. The facilitator needs to explain that developing a MIS has costs as well. These relate to equipment, hiring of personnel, orientation and training and staff time adjustment. The decision to develop a MIS is an important one and has to be ratified by the Board based on a recommendation from agency management. Introduction of MIS calls for newer skills among the staff to cope with the changes. Management functions and MIS The facilitator shows the overhead on management functions. Information is gathered around critical functions of management such as planning, organizing, staffing, controlling and communicating. Among these functions, MIS is closer to the controlling function as it provides feed back on organizational performance and helps in monitoring. Types of management information Executive decisions are made using a variety of information. The facilitator introduces the

overhead on types of management information and enables the participants to distinguish various types and uses of management information. It is vital for the organization to survive and grow by accessing and processing not only internal information but also external information. The facilitator could use the examples to elucidate the messages. External information could include socio-economic situation of clients, public policies, amendments in social legislation of importance to an agency, funding programs introduced or planned by federal or provincial governments, grants from foundations and the work of other agencies. Role of Information The facilitator highlights the role and uses of information and introduces the overhead on why management information system. The facilitator promotes discussion by clarifying the differences between data and information. Discuss the attributes of information, particularly the issues of authenticity, timeliness and confidentiality. These factors underline the significance of information as a resource. Types of Information Systems In continuation of the discussion on role of information in community agencies, the facilitator draws the attention of participants to four types of commonly used information systems. Introduce the overhead on types of information systems and explain with examples each type. For example, office information system exists in each agency as most of them have telephone and fax and undertakes correspondence. The decision support system is a way by which the Board uses the information provided by agency management to determine policy or other decisions.CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 9 5. Steps in developing MIS (Overheads, flipchart, and discussion 40 minutes) After facilitating an understanding of basic concepts and elements of MIS, the facilitator initiates the discussion on what are the steps involved in creating a MIS. The set of two overheads on steps in MIS development is to be introduced while discussing the different stages. These steps are more appropriate for a computer based MIS. Preliminary Investigation In this phase, the agency needs to critically assess its current system in order to justify the cost and time involved before deciding on having a new MIS. The facilitator needs to clarify the MIS need not always involve computers. However, if there are computers the work gets accelerated. Requirements Analysis The facilitator discusses the methods and means of ascertaining the information needs to be addressed by MIS. Further, the mechanisms for gathering information from primary and secondary sources are to be determined by agencies. A critical factor is ascertaining MIS needs of primary and secondary users. System Design The facilitator explains basics of a MIS system elucidating the inputs, the processing and

the outputs. While inputs include information provided by front-line workers, the outputs could be various types of reports, including those sent periodically to funders . The procedures define how and in what format the information will be inputted and by whom and at what intervals. The storage could be manual or electronic or both. Design specifies the operational parameters at a drawing board stage. One of the inputs for MIS could be information from a client database. Other stages The facilitator systematically discusses the different steps in MIS development in a universalized perspective. In other words, it needs to be specified that these steps need to be tailored to ones own situation. In the acquisition stage, hardware is procured after appraisals and cost analysis. Draw attention to the need to ensure compatibility between what is being acquired and what is already available within the agency. The implementation step is a crucial one consuming considerable amount of time in MIS development. Here the application development is done customized to the agencys needs. The procedure and user manuals are developed and personnel are oriented in using MIS. The software is installed once it is tested and debugged.CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 10 6. Operationalizing MIS: Role descriptions (overheads, flipchart, discussion, 30 minutes) In operationalizing MIS, who needs to do what needs specification. Two key roles in MIS development are those of a MIS coordinator and MIS application developer/programmer. An application developer may not be needed where the level of programming effort is minimal. Role of MIS Coordinator The facilitator illustrates the role and responsibilities of a MIS coordinator by introducing the overhead on role of MIS coordinator in developing a MIS. It needs to be clarified that a MIS coordinator could be anyone in the agency with enthusiasm and basic knowledge of MIS concepts with computer literacy. This is important, as most of the agencies do not have resources for a full-time MIS coordinator. The coordinator acts as a linking pin among staff finding out needs, enabling design of forms, plotting information flow, preparing reports and motivating everyone. Role of an application developer The facilitator will show the overhead on role of application developer in MIS. In the introductory remarks, the facilitator could mention that depending upon the complexity of MIS design, an application developer might be needed. In some cases the MIS coordinator could also undertake application development by writing programs. Often a ready-made package from the market may eliminate the need for application development. Developing MIS Dos and Donts The facilitator initiates a discussion on dos and donts to be observed while creating a MIS. Introduce the overhead on developing MIS dos and donts. This could stimulate

an interesting discussion on participant experiences and perceptions. Record on flip charts the observations and suggestions of participants. Then reflect on the outcome of the discussion. 7. What components could form part of MIS? (overhead, flipchart, discussion, 25 minutes) The facilitator reflects on the materials shared on developing MIS. The overhead on what components could form part of a MIS in a not-for-profit organization is presented. The facilitator discusses each component presented in the overhead. Then the facilitator could organize a brainstorming session to enlist ideas of the participants and post it on flipcharts. Alternatively, the facilitator could stick flipcharts and invite the participants to add to those areas identified in the overhead.CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 11 8. Closure (5 minutes) The facilitator provides in about five minutes a quick recap of the major events in the workshop. Thank the participants for their participation and for their active participation in the discussions. Encourage the participants to explore the need for MIS in their agencies. 9. Evaluation (10 minutes) Hand out the evaluation form with a request to fill it. Collect the filled-in forms.CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 12 Overhead sheet - 1 WHY ARE WE FOCUSING ATTENTION ON DEVELOPING MIS? The information explosion growing base of knowledge workers(70% Canadian work force) The rapid pace of change(globalization, rapid social changes, legislative changes, downloading, funding cuts, job losses, tax reforms and so on) The increasing complexity of Management (demands on quality, competitiveness, timely delivery, etc.) The interdependence of organization units (finance, family welfare, fund-raising, personnel, etc.) The improvement of productivity (better outreach, more clients, more programs, better accuracy, etc.) The availability of computers for End-users(easy access, handon service, wide literacy and interest) The recognition of information as a resourceCERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 13 Overhead sheet- 2 WHY MANAGEMENT INFORMATION SYSTEM?

A majority of workers today are knowledge workers they spend time creating, distributing, or using information. Example: bankers, coordinators, caseworkers, counselors, community organizers, programmers, etc About 80% of an executives time are devoted to information receiving, communicating, and using it. Information is the basis for virtually all activities performed in an organization Best use of two key ingredients in organizations people and information Effective utilization of information systems in management. Productive use of information nformation is a resource to increase efficiency, effectiveness and competitiveness of an enterprise Some Examples of MIS Airline reservations (seat, booking, payment, schedules, boarding list, special needs, etc.) Train reservation Bank operations (deposit, transfer, withdrawal)CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 14 Overhead sheet - 3 WHAT IS INFORMATION? Information is data presented in a form that is meaningful to the recipient. It adds to knowledge and is relevant for the situation. Two types of information are accounting information and management information. Data becomes information when they are transformed to communicate meaning or knowledge, ideas or conclusions. By itself data is meaningless. The attributes of an item of information are: accuracy, form, frequency, breadth (scope), origin, time. horizon. Attributes of a set of information are relevance, completeness and timeliness.CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 15 Overhead sheet - 4 TYPES OF INFORMATION SYSTEM Information system aims at processing data: to capture details of transactions, to enable people to make decisions, and/or to communicate between people and locations. 1. Transaction processing system Reasons for TP are recording, classification, sorting, calculation, summarization, storage and display of results 2. Management Information System (Management reporting system)

Provide information for decision support where information requirements that can be identified in advance Decisions supported by this frequently occur. 3. Decision Support System Assist with unique and non-recurring decisions, which are relatively unstructured Mainly what factors to consider and what information are needed. 4. Office Information system Combines word processing, telecommunications and data processing to automate office information. Draws on stored data as a result of data processing. Includes handling of correspondence, reports and documents.CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 16 Overhead sheet - 5 MANAGEMENT FUNCTIONS Management is the act or skill of transforming resources (land, labor, capital and information) onto output to accomplish a desired result or objective. Planning establishing goals and developing policies, procedures, and programs to achieve them Organizing grouping activities and establishing organizational structures and procedures to ensure that the activities are performed Staffing obtaining and training personnel to work in the organization in order to achieve goals and objectives Controlling measuring performance against goals and objectives and developing procedures for adjusting goals, procedures, or activities. Communicating transferring information on goals, objectives, and performance to personnel throughout the organization and the environmentCERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 17 Overhead sheet 6 TYPES OF MANAGEMENT INFORMATION Seven types of information are necessary for top-level managers. 1. Comfort information: informs about current situation or achievement levels that are tuned to expectations. (Clients served, target achieved, patients treated, operations conducted, etc.) 2. Status information or progress information: keeps abreast of current problem and crises and changes.(progress on office construction, status of research study, labor negotiation, grant application) 3. Warning information: signals that change for good or worse are

occurring (stock price, turn over, client complaints, etc.) 4. Planning information: descriptions of projects/programs due in future, knowledge of anticipated developments(future of funding, future of federal/provincial support ) 5. Internal operations information: indicators on how organization/ program is performing. 6. External intelligence: information, gossip, and opinions about activities in the environment of the agency. Competition, funding policies, political changes, emerging social policies, etc. 7. Externally distributed information: annual report before release, quarterly progress report for donors, press releases about the agency, publicity material before printing, etc.CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 18 Among these, the first five are internal to the organization. Two are external to the organization:CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 19 Overhead sheet - 7 STEPS IN MIS DEVELOPMENT Preliminary Investigation The problem Magnitude and scope Alternatives Viability and cost effectiveness Requirements Analysis Knowing the primary and secondary users Ascertaining user needs Primary and secondary sources of information Design, development and implementation needs Systems design Inputs Processing Outputs Storage Procedures Human resourcesCERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 20 Acquisition/procurement Compatibility Cost effectiveness Performance standards After sales service Configuration

 Portability Implementation/installation Application development Testing Debugging logical and syntactical Procedure and user manual preparation Orientation and training Maintenance and upgradationCERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 21 Overhead sheet - 8 WHAT COULD BE THE ROLE OF MIS COORDINATOR IN DEVELOPING A MIS? Interact with user groups Identify the needs of users of MIS Designing of reporting formats Identify systems of information flow Ensure smooth flow of information within and outside the organization Time management tracking inputs/reports Act as interface among sections and management tiers Identify training needs of staff in MIS jointly with application developer Organize monthly/periodic meetings to assess performance, maintain minutes and follow-up on the decisions Interface with the various divisions/units in the organization for information sharingCERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 22 Overhead sheet - 9 WHAT COULD BE THE ROLE OF COMPUTER PROGRAMMER/APPLICATION DEVELOPER Participate in assessing users information needs Develop computer based applications Undertake initial testing and debugging applications Operationalize the applications Staff training Extend on-going support to users in handling the applications Focus on customizing inexpensive market software for agency needsCERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 23 Overhead sheet - 10 DEVELOPING MIS DOS AND DONTS DOs DONTs Have simpler and

manageable system Develop common understanding between consultant and the organization Involve programmer in needs assessment Customize off-the-shelf software Have simple software for users to handle Extensively involve users in MIS development Adopt modular approach for s/w development Be ambitious Be unrealistic in developing action plan Delay decisions on hiring application developer/s Depend heavily on the Consultant Invest heavily in in-house application development Let vendors determine hardware needs for LAN Go for large applicationsCERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 24 Overhead sheet - 11 STEPS IN MIS DEVELOPMENT Preliminary Investigation The problem Magnitude and scope Alternatives Viability and cost effectiveness Requirements Analysis Knowing the primary and secondary users Ascertaining user needs Primary and secondary sources of information Design, development and implementation needs Systems design Inputs Processing Outputs Storage

 ProceduresCERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 25 Human resources Acquisition/procurement Compatibility Cost effectiveness Performance standards After sales service Configuration Portability Implementation/installation Application development Testing Debugging logical and syntactical Procedure and user manual preparation Orientation and training Maintenance and upgradationCERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 26 Overhead sheet -12 WHAT COMPONENTS COULD FORM PART OF A MIS IN A NOTFOR-PROFIT ORGANIZATION? Here are the applications selected by an NGO wishing to develop MIS. 1. A database to record transactions of the different units within the NGO with their client system (local groups, CBOs, etc.) to record all interactions in key functions of the organization. 2. A work plan application to enable people to plan/schedule their activities 3. A performance measurement application to ascertain and report the progress of the activities in a results based management framework 4. Financial information system to query, view and modify activity related information and finances 5. Documentation and information resource system 6. Personnel information system These need to be compatible and build on the existing systems to minimize costs and time of the staff. This is an indicative list. You need to decide what you want.CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 27 Overhead Sheet 13 WHAT DOES THE CASE STUDY RECOMMEND ON SOFTWARE? To reduce costs it could be cheaper to buy software off the shelf in the market for:

 File management system Documentation and information resource system Routine/repetitive operation programming (leave, attendance, travel, etc.) Financial information system Personnel information system These need to be compatible and build on the existing systems to minimize costs and time of the staff.CERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 28 Handout case study HOW TO DEVELOP A MANAGEMENT INFORMATION SYSTEM? A CASE ILLUSTRATION Here the experiences of a not-for-profit organization in developing a management information system are presented. This is a typical case as it lucidly brings out the pros and cons of going in for developing a MIS. This experience is recent as it pertains to 1997-98. However the organization is yet to complete the installation of its MIS. The actual name of the organization is not mentioned for the purpose of confidentiality. Task Force A task force was established to examine the idea of having a MIS in the organization. Once it was decided to go in for a MIS, the Task Force was enlarged with the hiring of an external consultant. The consultants role was to help the staff in design of the MIS plan of action and assist in technical areas of application development, testing and implementation of the Project. Besides the consultant, an Application Developer was hired to join the MIS development team. A few representatives of the staff constituted the users representatives on the team. Orientation for staff Initially a two-day orientation session was held for all staff by the consultant on the concept and uses of MIS. Need Investigation and Identification Considerable time was spent with user groups in the organization to identify their needs. Based on the needs a system was designed. The needs included: A database to record transactions of the different units within the NGO with their client system (local groups, CBOs, etc.) to record all interactions in key functions of the organization. A work plan application to enable people to plan/schedule their activities A performance measurement application to ascertain and report the progress of the activities in a results based management frameworkCERIS PAC Research Training Project Knowledge For Action Action for Knowledge How To Develop a Management Information System (MIS) 29 An executive/financial information system to query, view and modify activity related information and finances. Why delays?

Target achievement in developing MIS was behind the schedule due to: Overambitious plan of action of the consultant Expanded scope of work and complexity of MIS. Unrealistic action plan. Delays in hiring computer programmer Delay in selection of what hardware and software to acquire for MIS Non-involvement of computer programmer in needs assessment and initial design process Increased dependency on the consultant Absence of common understanding between the consultant, programmer and the management Based on the delays and problems in launching MIS in Phase I, the Project was revised and the Phase-II was started with modest operational goals. Lessons from the case Concurrently develop capabilities in-house Have a technically simple system MIS needs to address basic needs of agency and user groups Use a modular approach linking modules gradually(do not develop a large application) Buy software as much as possible from market off the shelf and customize

6 http://www.occ.gov/static/publications/handbook/mis.pdf Management Information Systems Comptrollers Handbook May 1995 M-MIS Comptroller of the Currency Administrator of National Banks MComptroller's Handbook i Management Information Systems Management Information Systems Table of Contents Introduction 1 Background 1 Risks Associated with MIS 3 Assessing Vulnerability to MIS Risk 4 Achieving Sound MIS 5 MIS Reviews 6 Examination Objectives 9 Examination Procedures 10 Internal Control Questionnaire 17 Purpose 17 MIS Policies or Practices 17 MIS Development 18 User Training and Instructions 19 Communication 20 Audit 20 Conclusion 21 Verification Procedures 22Comptroller's Handbook 1 Management Information Systems Management Information Systems Introduction Background A management information system (MIS) is a system or process that provides the information necessary to manage an organization effectively. MIS and the information it generates are generally considered essential components of prudent and reasonable business decisions. The importance of maintaining a consistent approach to the development, use, and review of MIS systems within the institution must be an ongoing concern of both bank management and OCC examiners. MIS should have a clearly defined framework of guidelines, policies or practices, standards, and procedures for the organization. These should be followed throughout the institution in the development, maintenance, and use of all MIS. MIS is viewed and used at many levels by management. It should be supportive of the institution's longer term strategic goals and objectives. To the other extreme it is also those everyday financial accounting systems that

are used to ensure basic control is maintained over financial recordkeeping activities. Financial accounting systems and subsystems are just one type of institutional MIS. Financial accounting systems are an important functional element or part of the total MIS structure. However, they are more narrowly focused on the internal balancing of an institution's books to the general ledger and other financial accounting subsystems. For example, accrual adjustments, reconciling and correcting entries used to reconcile the financial systems to the general ledger are not always immediately entered into other MIS systems. Accordingly, although MIS and accounting reconcilement totals for related listings and activities should be similar, they may not necessarily balance. An institution's MIS should be designed to achieve the following goals: Enhance communication among employees. Deliver complex material throughout the institution. Provide an objective system for recording and aggregating information.Management Information Systems 2 Comptroller's Handbook Reduce expenses related to labor-intensive manual activities. Support the organization's strategic goals and direction. Because MIS supplies decision makers with facts, it supports and enhances the overall decision making process. MIS also enhances job performance throughout an institution. At the most senior levels, it provides the data and information to help the board and management make strategic decisions. At other levels, MIS provides the means through which the institution's activities are monitored and information is distributed to management, employees, and customers. Effective MIS should ensure the appropriate presentation formats and time frames required by operations and senior management are met. MIS can be maintained and developed by either manual or automated systems or a combination of both. It should always be sufficient to meet an institution's unique business goals and objectives. The effective deliveries of an institution's products and services are supported by the MIS. These systems should be accessible and useable at all appropriate levels of the organization. MIS is a critical component of the institution's overall risk management strategy. MIS supports management's ability to perform such reviews. MIS should be used to recognize, monitor, measure, limit, and manage risks. Risk management involves four main elements: Policies or practices. Operational processes. Staff and management. Feedback devices. Frequently, operational processes and feedback devices are intertwined and cannot easily be viewed separately. The most efficient and useable MIS should be both operational and informational. As such, management can use MIS to measure performance, manage resources, and help an institution comply with regulatory requirements. One example of this would be the managing and reporting of loans to insiders. MIS can also be used by

management to provide feedback on the effectiveness of risk controls. Controls are developed to support the proper management of risk through the institution's policies or practices, operational processes, and the assignment of duties and responsibilities to staff and managers.Comptroller's Handbook 3 Management Information Systems Technology advances have increased both the availability and volume of information management and the directors have available for both planning and decision making. Correspondingly, technology also increases the potential for inaccurate reporting and flawed decision making. Because data can be extracted from many financial and transaction systems, appropriate control procedures must be set up to ensure that information is correct and relevant. In addition, since MIS often originates from multiple equipment platforms including mainframes, minicomputers, and microcomputers, controls must ensure that systems on smaller computers have processing controls that are as well defined and as effective as those commonly found on the traditionally larger mainframe systems. All institutions must set up a framework of sound fundamental principles that identify risk, establish controls, and provide for effective MIS review and monitoring systems throughout the organization. Commonly, an organization may choose to establish and express these sound principles in writing. The OCC fully endorses and supports placing these principles in writing to enhance effective communications throughout the institution. If however, management follows sound fundamental principles and governs the risk in the MIS Review area, a written policy is not required by the OCC. If sound principles are not effectively practiced, the OCC may require management to establish written MIS policies to formally communicate risk parameters and controls in this area. Sound fundamental principles for MIS review include proper internal controls, operating procedures and safeguards, and audit coverage. These principles are explained throughout this booklet. Risks Associated With MIS Risk reflects the potential, the likelihood, or the expectation of events that could adversely affect earnings or capital. Management uses MIS to help in the assessment of risk within an institution. Management decisions based upon ineffective, inaccurate, or incomplete MIS may increase risk in a number of areas such as credit quality, liquidity, market/pricing, interest rate, or foreign currency. A flawed MIS causes operational risks and can adversely affect an organization's monitoring of its fiduciary, consumer, fair lending, Bank Secrecy Act, or other compliance-related activities. Since management requires information to assess and monitor performance at all levels of the organization, MIS risk can extend to all levels of theManagement Information Systems 4 Comptroller's Handbook operations. Additionally, poorly programmed or non-secure systems in which data can be manipulated and/or systems requiring ongoing repairs can easily disrupt routine work flow and can lead to incorrect decisions or impaired planning.

Assessing Vulnerability To MIS Risk To function effectively as an interacting, interrelated, and interdependent feedback tool for management and staff, MIS must be "useable." The five elements of a useable MIS system are: timeliness, accuracy, consistency, completeness, and relevance. The usefulness of MIS is hindered whenever one or more of these elements is compromised. Timeliness To simplify prompt decision making, an institution's MIS should be capable of providing and distributing current information to appropriate users. Information systems should be designed to expedite reporting of information. The system should be able to quickly collect and edit data, summarize results, and be able to adjust and correct errors promptly. Accuracy A sound system of automated and manual internal controls must exist throughout all information systems processing activities. Information should receive appropriate editing, balancing, and internal control checks. A comprehensive internal and external audit program should be employed to ensure the adequacy of internal controls. Consistency To be reliable, data should be processed and compiled consistently and uniformly. Variations in how data is collected and reported can distort information and trend analysis. In addition, because data collection and reporting processes will change over time, management must establish sound procedures to allow for systems changes. These procedures should be well defined and documented, clearly communicated to appropriate employees, and should include an effective monitoring system.Comptroller's Handbook 5 Management Information Systems Completeness Decision makers need complete and pertinent information in a summarized form. Reports should be designed to eliminate clutter and voluminous detail, thereby avoiding "information overload." Relevance Information provided to management must be relevant. Information that is inappropriate, unnecessary, or too detailed for effective decision making has no value. MIS must be appropriate to support the management level using it. The relevance and level of detail provided through MIS systems directly correlate to what is needed by the board of directors, executive management, departmental or area mid-level managers, etc. in the performance of their jobs. Achieving Sound MIS The development of sound MIS is the result of the development and enforcement of a culture of system ownership. An "owner" is a system user who knows current customer and constituent needs and also has budget authority to fund new projects. Building "ownership" promotes pride in institution processes and helps ensure accountability. Although MIS does not necessarily reduce expenses, the development of

meaningful systems, and their proper use, will lessen the probability that erroneous decisions will be made because of inaccurate or untimely information. Erroneous decisions invariably misallocate and/or waste resources. This may result in an adverse impact on earnings and/or capital. MIS which meets the five elements of useability is a critical ingredient to an institution's short- and long-range planning efforts. To achieve sound MIS, the organization's planning process should include consideration of MIS needs at both the tactical and strategic levels. For example, at a tactical level MIS systems and report output should support the annual operating plan and budgetary processes. They should also be used in support of the long term strategic MIS and business planning initiatives. Without the development of an effective MIS, it is more difficult for management to measure and monitor the success of new initiatives and the progress of ongoing projects. Two common examples of this would be the management of mergers and acquisitions or the continuing development and the introduction of new products and services.Management Information Systems 6 Comptroller's Handbook Management needs to ensure that MIS systems are developed according to a sound methodology that encompasses the following phases: Appropriate analysis of system alternatives, approval points as the system is developed or acquired, and task organization. Program development and negotiation of contracts with equipment and software vendors. Development of user instructions, training, and testing of the system. Installation and maintenance of the system. Management should also consider use of "project management techniques" to monitor progress as the MIS system is being developed. Internal controls must be woven into the processes and periodically reviewed by auditors. Management also should ensure that managers and staff receive initial and ongoing training in MIS. In addition, user manuals should be available and provide the following information: A brief description of the application or system. Input instructions, including collection points and times to send updated information. Balancing and reconciliation procedures. A complete listing of output reports, including samples. Depending on the size and complexity of its MIS system, an institution may need to use different manuals for different users such as first-level users, unit managers, and programmers. MIS Reviews By its very nature, management information is designed to meet the unique needs of individual institutions. As a result, MIS requirements will vary depending on the size and complexity of the operations. For example, systems suitable for community sized institutions will not necessarily be adequate for larger institutions. However, basic information needs or requirements are similar in all financial institutions regardless of size. The complexity of the operations and/or activities, together with institution size,

point to the need for MIS of varying degrees of complexity to support the decision-making processes. Examiners should base MIS reviews on an evaluation of whether the system(s) provide management and directors with the information necessary to guide operations, support timely decisionComptroller's Handbook 7 Management Information Systems making, and help management monitor progress toward reaching institutional goals and objectives. Although examiners should encourage management to develop sound information systems, they also should be reasonable in their expectations about what constitutes suitable MIS. Examiner MIS reviews are normally focused on a specific area of activity, on a clearly identifiable departmental or functional basis, or as a part of the activity being examined within a larger department. During the examination, the MIS review should occur at both a macro (big picture) level and also at the micro (functional/product oriented view of the business) level. The examiner-in-charge of the MIS-review program should look at the useability and effectiveness of the corporate-wide MIS structure. The examiner should also collect MIS related observations and information from the examiners-in-charge of the other areas under review. It would be very difficult for one examiner to attempt to perform a detailed MIS review for all of an organization's functional and operational areas of activity. It is practical and reasonable, however, to have this lead examiner coordinate and consolidate the MIS reviews from the other examination areas. The MIS related feedback received from other area examiners provides important and practical input to the MIS review examiner. The consolidation, coordination, and analysis of this MIS feedback can be used to reach supportable macrolevel conclusions and recommendations for corporate-wide MIS activities. MIS reviews in the functional or product review areas generally should be performed by an examiner who is considered to be a subject matter expert (SME) in the area of activities or operations that are being supported by the MIS systems or processes under review. The SME must have a thorough and complete understanding of the baseline "business" supported by the MIS system(s) under review. A solid understanding of the business is fundamental to the completion of a meaningful MIS review. The decision regarding the overall quality and effectiveness of MIS generally should be made by the SME for the area under review. The SME for each area where MIS is under review must subsequently communicate MIS related findings, conclusions, and opinions to the examiner charged with the responsibility for the complete MIS review work program at that examination. This is clearly a collaborative effort among area SMEs and the examiner charged with the responsibility for this area of review. The examiner coordinating the overall MIS review program should be a commercial examiner with broad experience and understanding which Management Information Systems 8 Comptroller's Handbook covers many areas of organizational operations and activity. Alternatively, a bank information systems (BIS) examiner could serve in this capacity. BIS examiners should be consulted whenever there are questions, issues, or

concerns surrounding the use of information systems (IS) or electronic data processing (EDP) technology or the effectiveness of MIS-related internal controls in any automated area of the organization's activities. When performing MIS reviews, examiners should use the guidelines in this booklet to determine if management has: Identified the institution's specific information requirements. Examiners can focus on specific information needs related to issues such as asset quality, interest rate risk, regulatory reporting, and compliance. If possible, the MIS review should be concurrent with examinations of the commercial, consumer, fiduciary, and BIS activities. This would enhance interaction and communication among examiners. Established effective reporting mechanisms to guide decisions. This process includes reviewing controls that ensure that information is reliable, timely, accurate, and confidential.Comptroller's Handbook 9 Management Information Systems Management Information Systems Examination Objectives 1. To determine examination procedures necessary to achieve stated objectives. (Note: BIS examiner support of commercial staff should be considered to enhance the depth of coverage for the MIS review if there are known MIS issues or deficiencies which represent an undue level of risk and/or if MIS activities are particularly complex or sophisticated.) 2. To determine if MIS policies or practices, processes, objectives, and internal controls are adequate. 3. To evaluate whether MIS applications provide users with timely, accurate, consistent, complete, and relevant information. 4. To assess the types and level of risk associated with MIS and the quality of controls over those risks. 5. To determine whether MIS applications and enhancements to existing systems adequately support corporate goals. 6. To determine if MIS is being developed in compliance with an approved corporate MIS policy or practice statement. 7. To determine if management is committed to providing the resources needed to develop the required MIS. 8. To determine if officers are operating according to established guidelines. 9. To evaluate the scope and adequacy of audit activities. 10. To initiate corrective action when policies or practices, processes, objectives, or internal controls are deficient. 11. To determine if any additional work is needed to fulfill the examination strategy of the institution.Management Information Systems 10 Comptroller's Handbook Management Information Systems Examination Procedures 1. Obtain the following documents: G Examination Report and related management responses. G Supervisory Monitoring System (SMS) comments.

G MIS-related workpapers. G MIS-related audit/compliance reviews. G Institution's formal MIS policies and practices framework/guidelines. G Board/MIS Committee-related minutes. G Organization charts detailing MIS responsibility. 2. Review previous MIS review-related examination findings. Review management's response to those findings. Discuss with OCC examiners their perception of both the usefulness and applicability of the five MIS elements applicable to MIS systems that have been reviewed or are pending review. Request copies of any reports which discuss either MIS deficiencies or strengths from the SME examiners. Determine the significance of deficiencies and set priorities for follow-up investigations. 3. Request and review copies of recent reports prepared by internal or external auditors of targeted MIS area(s). Determine the following: The significance of MIS problems disclosed. Recommendations provided for resolving MIS deficiencies. Management's responses and whether corrective actions have been initiated and/or completed. Audit follow-up activities. 4. Review the Supervisory Strategy in the Supervisory Monitoring System and Scope Memorandum issued by the examiner-in-charge (EIC). 5. Review reports for the MIS target area(s). Determine any material changes involving the usefulness of information and the five MIS elements:Comptroller's Handbook 11 Management Information Systems Timeliness. Accuracy. Consistency. Completeness. Relevance. 6. Review MIS-related policies or practices and processes. Pay special attention to any changes since the previous review. 7. Review the Internal Control Questionnaire (ICQ) and determine which questions and/or sections should be used to support the examination's MIS review. 8. Based on the performance of the previous steps, and discussions with the EIC and other appropriate supervisors, determine the scope of the examination and set the objectives. Select from among the following examination procedures those steps that are necessary to meet the objectives. Examinations may not require all of the steps. 9. In conjunction with the EIC, identify each of the functional or productrelated areas to be reviewed at this examination. Once the scope of the MIS review has been determined:

 Provide copies of the MIS objectives, ICQs, and examination procedures to the SME examiner(s). Highlight those areas of MIS review that need to be addressed during the review. The MIS review examiner will aggregate these observations, conclusions, and recommendations for each of the functional areas addressed and incorporate them (as appropriate) into the final MIS Review conclusions. If there are issues, observations, conclusions or recommendations related to operational or technology aspects of the institution's MIS, the commercial examiner should coordinate these with the BIS examiner or BIS manager if the BIS examiner is not already involved in the MIS review process.Management Information Systems 12 Comptroller's Handbook 10. For the selected sample of MIS system(s) and as appropriate to support the defined scope, obtain: G User manual. G User training manual/instructions. G Project plan and related workpapers. G Sample of MIS Output Reports. G MIS project development/enhancement workpapers. 11. As examination procedures are performed, test for compliance with established policies or practices and processes, and the existence of appropriate internal control measures. Refer to the Internal Control Questionnaire as needed. 12. Identify any area with inadequate supervision and/or undue risk. Discuss with the EIC the need to perform verification procedures. As required, perform appropriate verification procedures. 13. Select and review samples of ongoing executive reports for the targeted MIS area(s). Determine whether: The source of the information collected originates from the expected business area. Users of the information are the appropriate employees or managers within that area of activity. The reports are ultimately distributed to the appropriate users. The flow of these MIS information/reports is consistent with the responsibilities reflected on the area's official organization chart. 14. Determine the degree to which management and the staff in an area under review use MIS adequately and can support that the MIS being used is appropriate and effective. Perform the following steps: Discuss the five MIS elements with a senior manager(s) of the respective business unit. Repeat this work step with an employee of the business unit who has experience with the MIS system. (Note: This task is designed to determine if significant differences regarding the adequacy of the MIS exist among management and/or staff.)

 Based on management's self-assessment of the useability of itsComptroller's Handbook 13 Management Information Systems MIS, identify any planned activities to enhance, modify, or expand these systems. 15. Review minutes of the board of directors or committee(s) representing the MIS target area(s) for a relevant time period. Determine any areas where the "packet" of information does not seem to meet the five required elements of MIS. Identify MIS issues for follow up. 16. Request a copy of the development plan for significant MIS-related projects. Examples could include executive information packets, credit approval and take-out commitments, and funds management systems. Review MIS project objectives and determine if they address reported MIS weaknesses and meet business unit plans. Review the project management technique used by management and determine the status of important MIS projects. Sample a significant MIS project(s) and determine whether it follows an approved and implemented development methodology that encompass the following phases: ) Analysis of system alternatives, organization of tasks, and approval of phases by system users/owners. ) Program development and negotiation of contracts for equipment and software vendors. ) Development of user instructions and system testing procedures. ) Installation and maintenance of the system. 17. Select a system and request copies of relevant user instructions. Determine whether the guidelines are meaningful, easy to understand, and current. 18. Determine whether user manuals provide adequate guidelines in the following areas: Complete description of the system. Input instructions, including collection points and times to sendupdated information.Management Information Systems 14 Comptroller's Handbook Balancing/reconciliation instructions. Full listing of output reports, including sample formats. 19. Obtain from the user manuals or the appropriate manager a work flow showing data from the point-of-entry, through user processes, to final product. The purpose of this task is to review how information is identified, gathered, merged, manipulated, and presented. (Depending on the organization's sophistication and system size, examiners may have to develop this work flow themselves.) Discuss the area's MIS process with a representative sample of users and determine if they know where the data is coming from, where it is going, and how it gets there. A complete understanding would suggest the interviewees both use and

understand the MIS system(s) supporting them. Identify and note the points where adjustments to data occur. Identify the department staff who are responsible for the MISrelated input data and reports; i.e., obtain a list of users, ad hoc software report writers, and the programmers involved. Compare this information with the material acquired in the immediately preceding item. Determine if preparation and reconciliation processes are sufficient to reasonably ensure integrity of information. Determine if data adjustments are adequately documented. Determine the effectiveness of ad hoc report-writing capabilities by reviewing the software vendor's user manual for data presentations. Through observation and interview determine useability, commonality, simplicity, and effectiveness of MIS reports supporting the decision-making process for that area of activity. 20. Review the lines of communication within the institution and determine the effectiveness of MIS in the following areas: Communication paths linking executives, appropriate users, and information systems employees. The flow of communication throughout the organization. The documentation of which underlying MIS process supports the area's management.Comptroller's Handbook 15 Management Information Systems 21. Determine the adequacy of MIS training including whether: Training needs are properly identified and prioritized. Training is organized in a formal classroom setting, is on-the-job, or is a combination of both approaches. Training manuals or other material besides the user manual exist. The training material adequately covers relevant and current issues. Training material is distributed to the appropriate employees. 22. Determine whether established procedures are sufficient to ensure the proper testing of system developments or enhancements. 23. Review whether final versions of software enhancements are installed in a controlled environment that promotes integrity of information. 24 Determine if authorized processes are followed as data is acquired, merged, manipulated, and up-loaded from subsystems. 25. Determine if the organization has had recent merger and/or acquisition activity. If it has, determine how management at the senior and departmental levels ensure that the resulting MIS supports and includes the five MIS elements mentioned previously. If mergers and acquisitions are frequent, determine whether: Appropriate policies or practices and procedures have been developed to support such activity from an integrated MIS perspective. The consolidation of MIS systems in a merger still meets the

requirements of a quality MIS system. 26. Review the results of your work, summarize your findings and initial conclusions, and discuss issues with an appropriate officer(s): How well risks are controlled. Identify significant control deficiencies. Recommend action to remove deficiencies. Obtain management's corrective commitments and firm time frames.Management Information Systems 16 Comptroller's Handbook 27. Prepare a memorandum of your conclusions and supporting findings. Identify suggested OCC follow-up actions. 28. After a full discussion with the EIC prepare a memorandum and document work programs to facilitate future examinations.Comptroller's Handbook 17 Management Information Systems Management Information Systems Internal Control Questionnaire Purpose The following questionnaire is provided as a tool to assist examiners in the assessment, review, and documentation of the quality of the bank's MISrelated internal controls, policies, practices, and procedures. However, because the nature and scope of MIS among banks, not all of the questions will be relevant in every bank. Similarly, a negative answer to a particular question does not necessarily indicate a weakness in the bank's MIS or surrounding internal controls if other equally effective or alternate controls are in place or there are other circumstances that mitigate the risk. Where appropriate, documentation may include narrative descriptions, flowcharts, copies of forms used, and substantiation through observation or testing. Examiners should use their own judgement in deciding which internal control questions are relevant for a particular bank and whether a negative response to any particular question should be considered a matter of supervisory concern. MIS Policies or Practices Yes No 1. Has management developed and maintained a current MIS policy or practice? 2. Does the policy or practice provide guidance in the following areas: The definition, purpose, and fundamental components of MIS? How to achieve effective two-way communication between management and employees and specific avenues to maintain such communication? Processes for initiating, developing, and completing MIS enhancements? Guidelines for installing MIS enhancements in a

controlled change environment?Management Information Systems 18 Comptroller's Handbook Yes No Procedures for acquiring, merging, manipulating, and up-loading data to other systems? Guidance for delineating the need for internal/external audit coverage and testing? 3. Is the policy or practice reviewed and updated regularly? 4. Is the policy or practice distributed to appropriate employees? 5. Does the policy or practice incorporate or require: User approval for each phase? Installation of MIS enhancements in a controlled change environment? Employees to follow policy or practice and processes as data is acquired, merged, manipulated, and up-loaded to other systems? Employees to be sufficiently trained for new systems and subsequent enhancements? MIS Development 6. Does the internal planning process consider and incorporate the importance of MIS at both the strategic and tactical level? Are longer term strategic goals (beyond 2 years) supported by the development of appropriate MIS? Are shorter term tactical goals over the immediate one-to-two year period regularly and appropriately reviewed and monitored by management? Comptroller's Handbook 19 Management Information Systems Yes No 7. Do project objectives address reported MIS weaknesses and meet business unit requirements? 8. Does management have a process for monitoring project schedules? 9. Does management use a project management technique to monitor MIS development schedules? 10. Does the organization use a consistent and standardized approach or a structured methodology for developing MIS projects? 11. Does the methodology encompass the following phases: Analysis of the concept, organization of tasks, completions of phases, and approvals? Development of the program and contracting for

equipment and software? Development of user manuals and testing of the system? Post-review of the system and future maintenance of it? User Training and Instructions 12. Is the user manual for the MIS system(s) meaningful, easy to understand, and current? 13. Do user manual requirements include the following information: A brief description of the application or system? Input instructions, including collection points and times to send updated information? Balancing/reconciliation instructions?Management Information Systems 20 Comptroller's Handbook Yes No A full listing of output reports, including samples? Communication 14. Does management encourage communication lines to meet the following objectives: To effectively link executives, other appropriate users, and information systems employees? To ensure effective two-way communication between management and employees? To document the MIS process? Audit 15. Has the MIS target area(s) been internally or externally audited in the past two years? If it has, review the scope of the audit, the findings, and management's response(s) to that report. If it hasn't, interview audit management to determine what their plans regarding an audit review of the MIS system are.Comptroller's Handbook 21 Management Information Systems Yes No Conclusion 16. Can this information be considered adequate for evaluating internal control of MIS activities? This question presumes that there are no additional significant internal auditing procedures, accounting controls, administrative controls, or other circumstances that impair any controls or mitigate any weaknesses noted above. (Note: Explain negative answers briefly, and indicate conclusions as to their effect on specific examination or verification procedures.)

17. Based on a composite evaluation, evidenced by answers to the previous questions, internal control is considered to be _________ (good, medium, or bad).Management Information Systems 22 Comptroller's Handbook Management Information Systems Verification Procedures 1. Using an appropriate sampling technique, select an additional MIS project(s) from the organization's development plan. Review project objectives and determine if they address reported MIS weaknesses and meet business unit plans. Determine whether the MIS projects follow an approved and implemented development methodology that encompass the following phases: ) Analysis of system alternatives, organization of tasks, and approval of phases by system users/owners. ) Program development and contracts for equipment and software vendors. ) Development of user instructions and testing the system changes. ) Installation and maintenance of the system. 2. Using the expanded sample, check copies of relevant user instructions. Verify whether the guidelines are meaningful, easy to understand, and current. 3. Test whether user manuals provide adequate guidelines in the following areas: Complete description of the system. Input instructions, including collection points and times to send updated information. Reconciliation instructions. Full listing of output reports, including sample formats. 4. Obtain work flows from the user manuals or managers showing data from the point-of-entry, through user processes, to final product. Test the processes with users to determine if they know where the data is coming from, where it is going, and how it gets there. Identify the points in which data adjustments occur.Comptroller's Handbook 23 Management Information Systems Identify the individuals accountable for contributing to data and reports. Compare information with the material acquired in the step immediately preceding this step. Test the preparation and reconciliation processes to verify the integrity of information. Determine if data adjustments are adequately documented. 5. Expand the sample by interviewing additional managers and experienced unit employees to determine their perceptions of MIS. Discuss MIS principles of timeliness, accuracy, consistency, completeness, and relevancy.

 Determine if the employees hold any significant perceptions that the MIS is ineffective. 6. If available, obtain samples of important recurring executive reports for the targeted MIS area(s). Test the following areas to determine if: Information originates from the expected source business area. Users of the information are the employees one would expect and the data is being used for correct purposes. Distribution of the reports ultimately is supplied to all appropriate users. 7. Review a sample of audit workpapers relating to reports that disclosed material MIS weaknesses. Review documents to determine if auditors tested MIS activities against policies or practices and processes. Test to determine if documented findings support the audit scope and report comments