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The role of GIS in asset management: County of Kauai Department of Parks and Recreation a need for an asset management program

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The role of GIS in asset management: County of Kauai Department of Parks and Recreation a need for an asset management program

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THE ROLE OF GIS IN ASSET MANAGEMENT: COUNTY OF KAUAI
DEPARTMENT OF PARKS AND RECREATION A NEED FOR AN ASSET
MANAGEMENT PROGRAM

by

Nancy Ann McMahon

A Thesis Presented to the
Faculty of the USC Graduate School
University of Southern California
In Partial Fulfillment of the Requirements for the Degree
Master of Science
(Geographic Information Science and Technology)

May 2016

Copyright ® 2016 by Nancy Ann McMahon

ii

I thank all the souls who helped me in this herculean task.

iii

Table of Contents
Acknowledgements v
List of Tables vi
List of Figures vii
List of Acronyms ix
Abstract xi
CHAPTER 1 - INTRODUCTION 1
1.1 Study Objective 9
1.2 GIS and Asset Management 10
1.3 GIS Implementation at the County of Kauai 12
CHAPTER 2 - LITERATURE REVIEW 14
2.1 Asset Management 14
2.2 GIS and Asset Management 21
2.3 Review of CMMS and EAM Software 24
 ARCHES 24
 ESRI AND ASSET MANAGEMENT TOOLS 24
 CITYWORKS 25
 NAVILINE/SUNGARD 26
 LUCITY 26
 M-PET.NET 27
 MAXIMO 27
 NEXGEN 27
 AS/400 28
CHAPTER 3 - METHODS 30
3.1 Scope of Study 30
3.2 Database Design 46
3.3 Populating the Database 51
3.4 Use and Maintenance 52

CHAPTER 4 - RESULTS 61
4.1 Fieldwork Results 61
4.2 Analysis 68

iv

CHAPTER 5 - CONCLUSIONS 79
5.1 Summary 79
5.2 Limitations 82
5.3 Future Directions 83
REFERENCES 87

v

Acknowledgements

During the development and writing of this thesis study, it became apparent to me that
it could not be accomplished alone and I needed the help of others. This project could not have
been completed if it were not for the access to data, people, software, and other resources
granted to me as an employee of the County of Kauai. I would like to thank our summer interns,
for their help in the development of the asset database structure. I would thank my thesis advisor
Dr. Yao-Yi Chiang for his countless hours of assistance and support, guiding me in various
geodatabase topics and ideas. I would also like to thank the other thesis committee members,
Dr. Jordan Hastings for his added input to my thesis study. Dr. Hasting suggested I really look
into databases in GIS for a thesis topic. I appreciate Dr. Darren Ruddell, Dr. Jennifer Swift and
Dr. Wei Yang for agreeing to be on my committee and their insightful help, guidance and
suggestions. Dr. Swift spend considerable time editing my final manuscript which was very
appreciated.
vi

List of Tables

Table 1 Number of Existing Parks by Judicial District and Recreational Facilities by
Park Type 36

Table 2 Kauai Park Acreage by Type 37

Table 3 Asset List Example 50

Table 4 Supported RDMS and Esri Platforms 74

vii

List of Figures

Figure 1 Deferred Maintenance over Time (Vanier, 2001) 2

Figure 2 Schema on the development of Data- Information-Asset Context 20

Figure 3 Core Water Utility Business Patterns. Source: Crothers 2011 22

Figure 4 DOPR's Park Web base Map 31

Figure 5 DOPR organizational chart. (Kauai Parks & Recreation Master Plan 2013) 32

Figure 6 County of Kauai Judicial Districts 34

Figure 7 Budget Allocations by DOPR Division.(Kauai Parks & Recreation Master Plan
2013) 35

Figure 8 Access Database of DOPR facilities 39

Figure 9 Example of the Access Database Structure 39

Figure 10 Detail from the Access Database of Information about Anahola Hawaiian
Homes Park 40

Figure 11 DOPR intern with measuring wheel at a comfort station in Anini Beach Park 41

Figure 12 Parks Assets Inventory Complied Summer 2015 by Summer Intern, screenshot
of excel spreadsheet Anini Beach Park 43

Figure 13 Screenshot of Excel Spreadsheet for Salt Pond Park and other Parks in Waimea
District 44

Figure 14 Screenshot of Pictometry maps and photo file on the COK server 45

Figure 15 GIS Database Structure Tree Designed for This Project 48

Figure 16 Screen shot of AS400 “Green Screen” Work Orders 53

Figure 17 Screen shot of Work Order Request 54

Figure 18 Screen shot of coding list 55

Figure 19 Screen shot of Category Selection 56

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Figure 20 Screen shot of Department listing 57

Figure 21 Screen shot of the Work Order Request form on AS400 58

Figure 22 Facilities for Parks by Fiscal’s List 59

Figure 23 Fixed Assets – Parks by PW List 60

Figure 24 Asset Management Steps 63

Figure 25 Mapping from Summer intern showing Anini Beach Park. Pavilion (P1-3) and
Comfort Station (C1). GPS locations overlain on Pictometry oblique imagery 64

Figure 26 More of Anini Beach Park and Comfort Stations (C2-3). GPS locations overlain
on Pictometry oblique imagery 65

Figure 27 Salt Pond Beach Park GPS locations overlain on Pictometry oblique imagery 66

Figure 28 Waimea Pool overlain on Pictometry oblique imagery 67

Figure 29 Vidniha Stadium and Baseball Field overlain on Pictometry oblique imagery 68

Figure 30 M-Pet.Net Mock up for DOPR of maintenance object listing 77

Figure 31 Screen shot of M-PET.NET showing a Park and details within the Park 78

ix

List of Acronyms

ASCE American Society of Civil Engineers
ADA American Disabilities Act
AMWA Association of Metropolitan Water Agencies
APWA American Public Works Association
AWWA American Water Works Association
AM Asset Management
AMP Asset Management Plan
AMS Asset Management Server
CAPEX Capital Expenditures
CIP Capital Improvement Project
CMMS Computerized Maintenance Management Systems
COK County of Kauai
DOPR Department of Parks and Recreation
EAM Enterprise Asset Management
EPA U.S. Environmental Protection Agency
Esri Environmental Systems Research Institute
GAO U.S. General Accounting Office
GFOA Government Finance Officers Association
GASB Governmental Accounting Standards Board
x

GIS Geographic Information System
GPS Global Positioning System
GUI Graphic User Interface
IT Information Technology
IIMM International Infrastructure Management Manual
M-PET.NET Maintenance Productivity Enhancement Tool
NACWA National Association of Clean Water Agencies
NSWC National Association of Water Companies
O&M Operations and Maintenance
OPEX Operational Expenditures
PLL Permit, Licensing and Land
PW Public Works
RDMS Relational Database Management System
ROA Return on Asset
SCADA Supervisory Control and Data Acquisition System
SDI Spatial Data Infrastructure
SQL Sequential Query Language
US United States
WEF Water Environment Federation

xi

Abstract

This study demonstrates the integration of Geographic Information System (GIS) with
asset management. Asset management can be explained in many ways – for example, an
organized infrastructure management system, an economic approach to help planning and
decision-making, a methodology to ensure the future level of service life of a facility. It is a
systematic process of maintaining, upgrading and operating physical assets cost effectively. It
provides the tools necessary to facilitate a more organized, logical approach to decision-making
and implementing. It gives a comprehensive view of resource allocation and utilization. Asset
management strategies and systems used by the facilities management, construction, and
information technology industries provide a framework – a multidisciplinary approach that
enables us to consider whether such systems might be able to organize better the data for GIS
applications. The aim of this thesis is to investigate the potential of an asset management and
GIS approach to organize and manage the data. This thesis demonstrates that using a Microsoft
Excel spreadsheet was not appropriate for holding all the data and running an accurate asset
management system. This thesis investigates the requirements for a geographic data-focused
asset management system and makes a recommendation to the administration on using the M-
Pet.Net system to provide County of Kauai, Department of Parks & Recreation (COK DOPR)
with the capability to identify all of the COK DOPR’s assets and track all maintenance associated
with the assets. This thesis shows that the system will then provide the means to support and
determine budgets and future long-term expenditures thru the extensive database of information.
1

CHAPTER 1 – INTRODUCTION

Most United States (US) government agencies have not developed an asset management system to
guide maintenance, repair, rehabilitation and replacement of existing facilities and construction of
new facilities (County of Hawaii Limited Scope Performance Audit 2011). Deferred maintenance
has led to deteriorating structures and decreased levels of service, and disruption or cancelation
activities due to unsafe conditions. The words maintenance and repair are frequently seen as an
extension of each other to the extent that they could be considered interchangeable in conversation.
In the context of this thesis, maintenance is considered a preventative measure that should be
performed on an asset throughout its life but is not required for continued use of the asset. Repair,
on the other hand, is herein defined a required, one-time measure necessary to return an asset to
service because of some failure.
The value of maintenance over repair becomes evident through the discussion of deferred
maintenance. According to Vanier (2001), deferred maintenance is the cost to bring an asset up to
its current value, if maintenance has not been completed on a regular basis. This notion is based on
the understanding that an organization has not or cannot perform regular maintenance on a given
asset. Vanier relates the costs associated with deferred maintenance to De Sitter's Law of Fives,
which reads that repairs will cost five times the amount of maintenance if it is not performed on a
regular basis and replacement of the asset will cost five times the cost of the repair (De Sitter 1984).
Figure 1 provides some insight into the deferred maintenance costs based on an investment in
maintenance from year to year by displaying the exponential cost increase to return an asset to its
full potential when maintenance investments may or may not be completed.
An asset management program would facilitate leveling of budgets from year to year and
2

permit analysis as to whether the combined costs of building rehabilitation, American Disabilities
Act accessibility upgrades, and hazardous material remediation would be greater than the cost to
completely replace a structure. Asset management tools are needed not only for agencies with
inventories of structures/facilities, but also for historic properties, amusement parks, water and
wastewater utilities, etc. The need to manage these resources is widespread.

Figure 1 Deferred Maintenance over Time (Vanier, 2001)

Management of resources is needed in vast fields from cultural resources to facilities
management. In the context of this study, management of resources should be handled in a database
management system. This thesis considers the historical development and current state of database
management systems and, more recently, geographic information systems (GISs) in the
management of archeological/facilities information. A computerized maintenance management
system (CMMS) stores crucial information about a company or municipality’s assets and is the
primary tool for managing an organization’s maintenance and reliability practices (e.g., North
Myrtle Beach Parks and Recreation’s MainTrac, Kapp 2013). Enterprise Asset Management
(EAM) and CMMS implementations have become significantly more complex over the last decade
3

(Management Resources Group, Inc. 2013).
Today, with larger and more complex enterprises, management needs to have near real-time
access to data housed in an accessible database application incorporated with GIS capabilities. That
data ranges from facilities and assets types to inventory to features in parks such as a picnic tables,
crew makeup, and more. Collectively there is usually a lot of data (e.g., infrastructure assets, work
orders, equipment). At its most basic level, data is anything recorded about an object or
phenomenon. This simple definition belies a need for further context and identification for the
collected data to become useful. Geographic data is somewhat differentiated by involving both a
spatial and temporal location, as well as subject-specific data (Lo and Yeung 2002). The
complexity inherent in the simple recording of a single data point location on a map becomes
apparent through this description, as the person collecting the data must record the spatial location,
the time the data was recorded, and potentially numerous other associated data attributes based on
the needs of the end user. Lo and Yeung (2002) use this model to break the recording of real-life
elements into representations of objects and phenomena. In a GIS, discrete objects are considered
as definable locations on the earth's surface, such as a comfort station, picnic table, or a roadway.
These definable objects are represented using point, line, and polygon vector graphics in GIS.
Phenomena are herein defined as elements that are distributed continuously across a given
landscape. These continuous representations are often raster-based, meaning they include a single
cell representation of some value, such as temperature, rainfall, or crew make-up [manager,
supervisor, and laborer].
At the core, software programs used for asset management (M-Pet.Net, NaviLine,
CityWorks, Maximo, etc.,) can all store, categorize, and report on events, but they are only as good
4

as the information collected within them. At some point after the system is in place, there will be a
need to evaluate it for viability in regards to usefulness or to re-determine requirements. Effective
CMMS relies on high quality, up-to-date data. The value of the system is directly proportional to
the accuracy, quality, and detail of the information that the system houses (Belanger, 2013). For
example, work orders need to be entered into the system for all new work, and old work orders need
to be closed out so the information can be accurately tracked. It is assumed that if an individual
knows the data being entered will be used to complete a future task, he or she will take more care
to enter accurate, detailed information.
Asset management programs can be defined as managing infrastructure capital assets to
minimize the total cost of owning, operating, and maintaining assets at acceptable levels of service.
Enterprise Asset Management encompasses the entire organization and recognizes the
interdependencies of maintenance, operations, asset performance, personnel productivity, life cycle
costs, and capital planning. EAM Systems and CMMS are being implemented by a growing
number of water and wastewater utilities and their use in these areas appears to be growing
(Management Resources Group, Inc. 2013). A CMMS is a software package which maintains a
computer database about maintenance operations. The terms asset management and maintenance
management are often used interchangeably. Even though they are related, they are different
processes with different objectives. Asset management is focused on reducing the maintenance cost
of ownership, while maintenance management is focused on reducing the maintenance cost while
extending the useful life of an asset (McKibben and Davis, 2002). An effective asset management
system must include an effective maintenance management system and is considered the most
important core of an asset management system (Shamsi, 2005).
5

An EAM is a CMMS focused on maintenance work orders and performance combined with
an asset registry or inventory. A CMMS and asset registry are the center of an asset management
program. A growing trend is for the GIS geodatabase to be the starting point for an asset
management program and the asset inventory. Municipalities need to know the location and
condition of their assets. GIS is the best software option for gathering asset data because spatial
location is typically an important aspect of the data at a water utility. A GIS geodatabase combined
with a CMMS forms a comprehensive customer request, asset inventory and work management
system and becomes the foundation for the EAM. This combination captures asset data, work
history and condition assessments necessary for cost-effective, condition and predictive
maintenance programs (Baird, 2011).
McKibben and Davis (2002) give many reasons for the integration of GIS and CMMS. GIS
can significantly enhance a CMMS by providing the ability to access, use, display, and manage
spatial data. This is important for utilities with geographically dispersed networks. Also, it can
provide access to other spatial data. A GIS combined with a CMMS can provide maps of a utility
that can be used in locating facilities included in work orders. It can be used to schedule effectively
and assign maintenance work crews to certain work locations, saving time and cost. Baird (2011)
points out that using a GIS with full functionality, beyond just map-making, will result in lower
maintenance costs and a lower cost EAM.
At the time of their study, McKibben and Davis (2002) found there were only six CMMS
vendors that had links to Esri GIS software. Of these, only three, Azteca Systems (CityWorks),
GBA Master Series, and Hansen Information Technologies (Hansen's Citizen Relationship
Software) had useful CMMS systems. While primarily focused on the tracking and maintenance of
6

hardware assets, a CMMS can provide a strong beginning for the tracking of geographic data. One
of the greatest benefits of the CMMS is the elimination of paperwork and manual tracking activities,
thus enabling maintenance staff to become more productive. It should be noted that the functionality
of a CMMS lies in its ability to collect and store information in an easily retrievable format. A
CMMS does not make maintenance decisions; rather it provides the manager with the best
information to affect the operational efficiency of a facility.
There are two methods of integrating GIS with CMMS, and these are based on where the
asset data is stored – the CMMS or the GIS. GBA and Hansen maintain the asset data in the CMMS
database and GIS software is used to access the asset data or provide information stored in the
CMMS. GIS features are linked to the CMMS database. Adding a new asset requires the addition
of the asset to both the GIS and CMMS databases. The work order and maintenance data are stored
in the CMMS (McKibben and Davis, 2002).
An effective asset management system must include an effective maintenance management
system, which is focused on reducing the maintenance cost while extending the useful life of the
asset (Shamsi, 2005). Many utilities use a react- to-crisis management approach in dealing with
infrastructure problems. This is usually not the best approach given the additional costs of
emergency crews and property damage. With the use of effective asset management, it is
possible to reduce overall infrastructure costs instead of waiting until the assets fail to incur higher
than necessary costs (Shamsi, 2005).
A study was conducted in spring 2014 to determine the status of asset management
worldwide initiatives.
1
Almost 1,000 companies responded to the study, with 50 percent of the

1
www.reliabilityweb.com/index.php/articles/asset_management_practices_investments_and_challenges_2014-2019
7

respondents from the US, the United Kingdom, and multi-national companies. The size of the
companies is split evenly, with one-half of the companies having more than 1,000 employees and
one-half with less than 1,000 employees. Interestingly, there is also an even distribution of
responding companies across industry verticals.
There are three questions that most executives would find interesting. The first is: “Why are
you interested in asset management?” The top three responses are all related to the financial impact
that asset management could have on their organizations. The first response was to increase system
reliability (77%). This response focuses on the need for capital expenditures (CAPEX) for new
assets to compensate for poorly performing assets and operational expenditures (OPEX), such as
asset maintenance, to compensate for assets that continue to perform poorly. If an organization
utilizes proper asset management policies, the asset reliability would have a positive impact on both
CAPEX and OPEX expenditures.
The next two responses were to improve financials (66%) and increase service levels at a
lower cost (61%). Financials related to assets are typically measured by some type of return on asset
(ROA) indicator. If a company is to improve its financials, it has to derive the optimum value from
its assets. To achieve this goal, the company must be able to derive the maximum output from its
assets, often referred to as design capacity. Additionally, the company would need to carefully
manage the maintenance resources utilized to ensure the maximum output from the assets. This
would include optimization of maintenance resources through effective planning/scheduling and
good materials management policies and processes.
The second question is: “What benefits do you expect from asset management?” The first
answer was lifecycle cost reduction. This links to the responses from the aforementioned first
8

question. If an investment is made to develop a formal asset management process, executives expect
to see a reduction in the overall lifecycle costs for the asset. Achieving this requires lifecycle
tracking of the company’s assets (e.g., design, installation, operation/ maintain and
decommission/disposal). Then, decisions can be reached that will optimize the investment made in
each phase of the lifecycle of the asset.
The next two responses were data to support decisions (58%) and determining optimum
maintenance approaches for the assets (57%). These responses show that most executives do not
fully trust that the current asset management information is accurate enough to make policy and
process decisions. This leads to second-guessing many CAPEX and OPEX decisions that are made
based on current asset conditions.
The third question reveals the biggest obstacle faced by companies implementing asset
management. The first response was organizational culture (40%). This indicates that many
companies have the technical abilities to develop and implement an asset management program,
but lack the organizational understanding to do so. This also indicates a need for extensive training
to help employees develop a clear understanding of the value proposition for asset management.
Additionally, it indicates a need to break down organizational silos so a clear line of sight can be
developed. This allows the organization to focus on deriving the maximum value from its assets.
This leads to the second ranked answer, funding/cost (25%). This shows that most
executives realize that asset management will not be successful by just throwing money at it. They
must have a clear line of sight from the departments/employees to the assets and to the bottom line.
It is only through this clear linkage that an organizational culture can be developed that allows for
the funding/cost to be controlled and, ultimately, maximizes the value derived from the assets.
9

A CMMS can be implemented for the more efficient maintenance of a utility because it
accurately tracks problems within the utility network. A GIS and CMMS integration can facilitate
proactive (preventative) maintenance. Global Positioning System (GPS) is a key technology
because it is used to increase the accuracy of existing system maps by verifying and correcting
locations of system components.

1.1 Study Objective

The purpose of this thesis is to demonstrate and evaluate the integration of GIS and asset
management. The project built as part of this thesis involves the developing an asset inventory for
the County of Kauai (COK) Department of Parks and Recreation (DOPR) for a current asset
maintenance management system. Currently, the DOPR assets, including parks, playground, pools,
ball fields, tennis courts, golf course, neighborhood centers, pavilions, stadiums, convention hall,
tables, etc., are represented as a point feature in the GIS. Developing the database for spatial
attributes associated with assets is necessary to perform critical analysis and score each facility’s
asset risk. Specifically, the objective is to develop a critical analysis for DOPR in order to determine
proactive maintenance and replacement schedules. Also maps for parks can be created if they do
not exist and their attributes can be collected for populating a GIS database.
Even though the majority of the assets are capital expenditures in cost maintenance, repair,
or replacement. It is important to develop ways to try to economize with these expensive assets.
One of the GIS strategic plan objectives is to develop and implement an asset management program
plan to extend the useful life of the capital assets. Another objective of this study is to explore
whether spatial factors can assist in determinations regarding which asset need to be replaced, and
10

which assets take precedence above others when failure or replacement occurs at the same time.

1.2 GIS and Asset Management

Because assets occupy a location, maps have always been a desirable method to catalog an
organization’s assets. As every organization knows, assets are interconnected and in proximity with
other assets and features, even if the location is not fixed. Modern “mapping systems” like ArcGIS
are able to provide far more than graphical representations of data. The ArcGIS geodatabase is a
database system with all the typical data assessment tools to categorize, classify, diagram, index,
order, schematize, sort, and tabulate. In addition, it can render data as maps, analyze
interconnectivity, proximity, and other complex spatial relationships; and model the physical world.
The geodatabase as an advanced database structure is inherently location-aware, providing far more
power for managing assets than traditional non-location-aware database systems, including the
ability for three-dimensional modeling. The ability to build an asset inventory based on feature
locations with multiple levels of related objects assures all of an organization’s assets are
maintained in one asset data management repository, easily accessible enterprise-wide.
GIS had been proven to be an effective and powerful tool in asset management. An
application is an applied use of technology which bridges the gap between pure science and applied
use. Overall, effective GIS integrates separate municipal databases (including those stored on
obsolete technologies) into a centralized whole. GIS allows users to visualize, question, analyze,
and interpret data to understand relationships, patterns, and trends. It can have many functions. For
example, it can provide maintenance cost and history along with providing asset inspection data
and asset condition assessment. Integrating with a GIS can improve the capabilities of a CMMS
11

by supporting spatial analysis and locating geographically dispersed facilities in the water system.
A GIS is a special type of information system in which the database of spatially distributed features
and procedures collect, store, retrieve, analyze, and display geographic data. GIS relates database
records and associated attribute data to a physical location, creating a "smart map" (Vanier, 2004).
A GIS is also a means of effectively analyzing large amounts of spatially related data. Making
informed infrastructure maintenance decisions requires large amounts of diverse information on a
continuing basis. GIS integrates all kinds of information from disparate sources into one
manageable system so better and informed decisions can be based on all relevant factors.
With the integration of information from a variety of sources, it is possible to determine
important geospatial relationships and factors on which utility maintenance would be based. For
example, failure could be caused not only by age, but also by material, surrounding soil, weather,
and vandalism. By analyzing these factors and other related factors, it would be possible to
determine which assets are the "hot spot" areas and constitute a priority for maintenance activities.
According to Shamsi (2002), the use of GIS technology can be an ideal solution for the
effective management of infrastructure because it offers the power of both geography and
information systems. GIS can locate the exact position of facilities or their attributes displaying
them on a computerized map. It can also store important data about each asset, including
contractor, year of built, repair history, or almost any other type of information. Efficient
management must include location information so good decisions can be made relative to the
surrounding area and affected assets. With the use of GIS in the area of asset management, it is
possible to visualize and understand the geographical context of an asset and improve the
efficiency of asset management.
12

Recent decades, the development of new digital information technologies, particularly
GIS, has substantially improved the effectiveness of cultural resource inventories and facilities
management. Rapidly growing global access to the Internet has made possible broadly accessible,
web-based information systems for the inventory and management of cultural resources/facilities.
GIS are designed specifically for the management and analysis of spatial relationships. However,
the development of an effective system can be a costly and substantial undertaking well beyond
the reach of many cultural resource agencies. Perhaps taking a look at various programs that are
designed for facilities management with a GIS component should be looked at for cultural
resources, as well as looking at programs designed for specific cultural resources management
should be analyzed.

1.3 GIS Implementation at County of Kauai

The COK does not use its GIS to its full potential of GIS. COK has a contract with Esri for
ARCGIS. It is available for staff who ask for it and have used it before. It is usually used by many
of the planners or engineers for mapping, zoning overlays. Major data needed by the department
has been collected in varies formats, including financial spread sheet, excel spreadsheets, files and
access database. The data is very significant in size capturing the major attributes of the facility
infrastructure. For its operations, the department needed to keep a complete and detailed inventory,
including location and condition of all assets. GIS has been shown to be a state-of-the-art
technology which can efficiently perform the department's data related processes (Zhao and
Stevens, 2003). Obtaining records involved physically going into the record room and manually
searching for the needed information. This process was inefficient, error-prone and hindered the
13

productivity (Zhao and Stevens, 2003).
While collecting this data, the department saw the need to integrate a variety of information
and applications with a geographic component into one manageable system. The focus of GIS
became one of a centralized asset for sharing and managing information rather than a cartographic
tool.
Enterprise GIS is an organizational approach that integrates various departmental projects
into a centralized GIS which serves as a foundation in integrating other tabular database systems
within the district. The core of the integrated systems for the district relates to customers, financial
management, work management, and GIS. In 2003, the COK adopted AS400 as its CMMS
mainly as the work order management tool. It is still in use.
A key component in the enterprise GIS is the database design. The district used Esri's water
utilities data model as the prototype to design the enterprise GIS database. The Structured Query
Language (SQL)-based Geodatabase served as the basis for the island-wide enterprise system
integration. The open platform of this database structure made it possible for the district's GIS
system to integrate with other systems. Between-system integration is essential to make the most
of enterprise GIS.
Compared with the GIS technology capability of a decade ago, new GIS technology is
enterprise enabled and the district is headed in that direction (Zhao and Stevens, 2009). With the
enterprise approach, all operational data should be available and integrated. As part of COK
strategic plan, the DOPR wants to leverage its investment with an enterprise integration
strategy. This includes a GIS-centric management system. This initiative is the inspiration for
this thesis study which was undertaken.
14

CHAPTER 2 – LITERATURE REVIEW

The first section of this chapter provides an explanation of asset management and a literature review
of this topic. Section 2.2 presents an overview of the GIS and Asset Management. Section 2.3
describes various CMMS and EAM software solutions.
Literature in the area of asset management comes from a variety of sources, including
government publications, trade magazines, and conference proceedings. The development of asset
management approaches with water utilities originated around 2000 (Ward 2005). The techniques
involved in asset management have been refined by the international community, particularly in
Australia and New Zealand.
Literature relevant to providing background for this study includes both an overview of
work done in asset management with water utilities and the narrower topic of the integration of
GIS with asset maintenance management, specifically CMMS. This chapter also includes the
reviews of the few articles found concerning the use of vertical assets, CMMS, and asset risk, the
focus of the thesis study. In most of the software evaluated the geographic data is applied as an
attribute for assets.

2.1 Asset Management

The use of asset management in water utilities is a relatively new concept. Until around
2000, it was relatively unknown in North America (Lutchman, 2006). The term originally described
the management of financial assets. In the past decade, interest in asset management for water and
water utilities has grown mainly due in part to an aging water utility infrastructure. Many
15

professional and government organizations have defined asset management and developed plans
for the practice and implementation of asset management in the area of water utilities (Sinha, n.d.).
Common definitions of an asset include an implication of ownership or custodianship, with the
ability to apply a quantifiable value to the asset (American Heritage Dictionary 2015). Literature
from the asset management discipline is focused primarily on cataloging, valuing, tracking and
maintaining data through various methodologies and systems.
In 2007, the U.S. Environmental Protection Agency (EPA) and six national water and
wastewater associations (Association of Metropolitan Water Agencies (AMWA), American Public
Works Association (APWA), American Water Works Association (AWWA), National
Association of Clean Water Agencies (NACWA), National Association of Water Companies
(NAWC) and Water Environment Federation (WEF)) collaborated on a guide promoting effective
utility management (EPA, 2008b). The guide discusses ten attributes of effectively managed water
utilities. It concludes that effective asset management can enhance the infrastructure, improve
performance in many critical areas, and respond to current and future challenges. The EPA also
works with water utilities to provide technical assistance to help utilities implement asset
management (EPA, 2008a).
A report by the United States General Accounting Office (GAO) discusses the benefits of
comprehensive asset management for drinking water and wastewater utilities. It also addresses the
challenges of implementation and the federal government's role in encouraging utilities to use it
(GAO, 2004). Utilities reviewed by the GAO reported that collecting accurate data about their
assets in areas like maintenance, rehabilitation, and replacement costs can lead to better investment
decisions. The challenges include collecting and managing needed data and integrating information
16

and decision making across departments. Also, it is reported that the shorter-term focus of those
in charge of utilities can hamper long-term planning efforts. The federal government has invested
billions of dollars in drinking water and wastewater infrastructure and wants to protect its
investment by having future funds go to those utilities that implement comprehensive asset
management plans (GAO, 2004).
One of the goals of asset management is to replace reactive maintenance with planned
maintenance with more practices geared toward predictive and condition maintenance (Harlow,
2000, part 1). Good asset management must minimize long-term asset costs and at the same time
insure reliable customer service. Effective asset management must be based on practices that are
easily implemented, cost effective, and sustainable in the long run (Lutchman, 2006). Lutchman
(2006) also believes that good asset management needs to be focused on economic, social and
environmental concepts and not just the financial bottom line.
A typical asset management framework consists of the following four parts: 1.) Facilities
inventory; 2.) Condition assessment; 3.) Operations, maintenance, repair and replacement
management; 4.) Analysis and evaluation (Doyle and Rose, 2001). Facilities inventory is a
description of each asset. Condition assessment classifies each asset as to its capability to perform
its intended function. That function being operations, maintenance, repair and replacement
management tracks and records data about work orders and customer complaints. It also issues and
tracks preventative and predictive maintenance schedules, generating crew assignments and work-
site maps. This is Computerized Maintenance Management System (CMMS). Analysis and
evaluation prioritize work effort, analyzes cost effectiveness and optimizes asset performance. The
asset management focus is to maintain a desired level of service at the lowest life cycle cost.
17

Asset management was first done by the water, wastewater, and public works utilities in New
Zealand and Australia. They set the general direction and standards for asset management in these
industries. In the mid-1980's and 1990's, the government directed the utilities to become business
based, customer focused, more transparent and accountable. Policies and regulations were set and
the utilities were mandated to meet them. During a 12-year period, the 24 largest Australian water
and wastewater utilities achieved almost a 20 percent savings per customer account. Savings
involved capital and operations/maintenance costs with no changes in service levels to the
customer. A large regional and wastewater utility (Hunter Water located in New South Wales,
Australia) achieved far more savings and is widely viewed as having developed one of the most
effective and advanced asset management programs in the world (Sinha, n.d.).
The fuel for the analytical engine is data. Without it, an analysis is at best a hypothesis if
not a blind guess. That is not to say that every asset needs exhaustive history, but the level of detail
required to generate meaningful data must be considered. The output of the captured data has
multiple uses, including financial reporting, budget development, failure analysis, document
tracking, etc. It’s crucial that data be consistent in its use and that consistency be dictated by the
processes in place. It’s helpful for those entering the data to understand how others will use the
information. If an individual knows the data being entered will be used to complete a future task,
he or she will take more care to enter accurate, detailed information. Commit to building and
maintaining accurate and consistent foundational data from day one. If the foundation is not built
with the proper level of detail, the system will not be able to deliver on its designed value.
Data is the basic building block on which information, and thus nearly any decision support
18

system, is based. As the information age progresses, the ability to examine how data is created,
aggregated, managed, and accessed allows organizations to make decisions on how employ the
best management strategies to the advantage of their constituents. Current data management
practices, in the information technology discipline, are focused on providing efficient storage and
access to data; however, these systems rarely provide details to why the data was created or how it
can be made more useful. Other industries require this information when focusing on physical
assets - particularly in those industries where equipment utilization is a driving factor in revenue
production. Industries, like construction and facilities management, have turned to asset
management techniques, strategies, and solutions to best understand who, what, where, why and
how their assets are being used in order to track its usable life and value.
To start with an inventory of facilities that list their key components is needed as a starting
point for effective planning. In its Capital Asset Assessment, Maintenance and Replacement Policy
(2007 and 2010), the Government Finance Officers Association (GFOA) recommends: Developing
a policy to require a complete inventory and periodic measurement of the physical condition of all
existing capital assets”. An inventory provides the base asset list for use in assessing conditions;
estimate costs; developing routine periodic and backlog remediation plans and schedules;
establishing inspections schedules and reporting on actual performance comparisons.
Like the foundation of a building, it is important that the management of assets begins with
good foundational data; otherwise, it will become increasingly difficult to obtain useful information
from the collected data. Think of foundational data as data that does not often change. Some
examples include work order types, catalog items, locations, failure codes, class/subclass
combinations, and nameplate templates. In cultural resource management its site numbers/features,
19

site function, site significance, type, location, plan view drawings, artifacts. The purpose of
foundational data is to assist in the consistent execution of processes. The goal of a reliability-
centered maintenance program is to maintain an asset in its optimal operating condition given the
context in which it operates. The task of performing analysis across similar assets in a plant or
multiple locations around the world becomes much easier and more meaningful when the
foundational data is thoughtfully developed. The differences between data, information and
knowledge, should be explained. Data, by itself, is of no use without context or analysis. The
interpretation of the data in some form provides a platform for the creation of information that can
then be utilized. Through further examination and understanding of the information, one can make
the existential leap to knowledge. Oversight groups, such as the Open GIS Consortium, are
mandating the creation of data standards and semantic translators, which codify data based on
several criteria. However, as knowledge can only be understood on an individual basis, Barr and
Masser (1997) focus on information as a format that can be discussed in many forms based on the
context in which it is placed. The ability to use this information lies in the representative abilities
of geographic information systems. However, GIS is lacking in its ability to maintain information
about the context of data.
The development of context is the necessary step to transform geographic data into
geographic information. Spatial data infrastructures and metadata are being developed as methods
for standardizing and applying this context. These efforts have the potential to describe data as an
asset through the inclusion of attributes that are not necessarily relevant to its everyday use. This
information becomes useful to the asset manager by providing the context of organizational
structure, data quality measurement, and potentially quantifiable value for a piece of stored data.
20

Figure 2 Schema on the development of Data- Information-Asset Context

The significance of the development of data as an asset comes through the creation of context
about geographic data. Figure 2 illustrates the transformations that occurs as context increases
throughout the useful life of a given asset, from inventory efforts to replacement needs. To become
information, data gains context through the metadata, documenting spatial extent, temporal
location, and other pertinent details that allow for proper representation. Through the
implementation of standards, specifically those from the asset management field, information is
provided with context that allows for additional management capabilities. As context is applied, an
element of data continually gains value as it is transformed first into information and then into an
asset. The process of adding context to the geographic data used in the case study is the focus of
the final section of this chapter, describing the various organizational efforts attempted to both track
21

data through its useful life, as well as the increase in the value of the data to the managing
organization.

2.2 GIS and Asset Management

Even though GIS technology began in the 1960s. In the early 1990s, the water industry
started to use a GIS in mapping, modeling, facilities management and work- order management
plans. By the end of 2000, approximately 90% of the water utilities in the United States were using
GIS technology in some form (Shamsi, 2005). The use of a GIS as a management tool has grown
since the 20th century, and the number of users has increased substantially. Utilities that are using
GIS successfully have seen increased productivity and increased efficiency that saves time and
money. The Environmental Systems Research Institute (Esri), the leading GIS software company
in the world, has been a significant contributor to GIS applications in the water industry.
As an example Figure 3 illustrates a water utility asset management, one of the core business
patterns commonly used by infrastructure utilities. Others include planning and analysis, field
mobility, operational awareness and stakeholder engagement (Crothers, 2011). The use of a GIS
integrated in these systems can be an important part of each of these patterns.

22

Figure 3 Core Water Utility Business Patterns. Source: Crothers 2011

The basis of effective asset management is high quality asset information. GIS manages
asset information by storing, managing, and maintaining accurate asset records that can be shared
by the whole utility. Many times, a utility will have complete information about an asset stored in
multiple systems. The GIS stores the location, connectivity to other assets and basic attributes. The
CMMS stores extended information about the work history for an asset. Other systems could
include a financial system and a customer information system.
There should be integration among all of the multiple systems that store information about
an asset so data about its location, connectivity, status, history, and description can be easily
accessed. A GIS can handle information that can be shared across an entire utility and used to
support many of its information needs. Utilities can significantly increase their return in a GIS
investment by sharing it around the entire utility and using it to support its many business patterns
23

(Crothers, 2010).
Asset data in a GIS can also be used to support the planning needs of a utility through spatial
analysis. Water utilities are involved in short term planning and long term planning. For short term
planning, GIS is used in creating and optimizing reactive and proactive work orders. Long term
planning involves the use of asset data, performance data and GIS analysis to understand how an
individual asset is performing. This information is used to help determine where to best spend
capital funds to maximize the value of an asset (Crothers, 2011).
GIS supports the field mobility business pattern by providing field crews with maps and
applications that can be rapidly updated and are easy to use. It also enables field crews to capture
GIS data and send it back to the central office. The operational awareness business pattern involves
the performance of assets, networks and personnel and how they are affecting each other. Managers
can then make decisions based on accurate and up to date information. GIS supports this by
enabling assets to have an interactive map of the current state of operations. An interactive map is
an easy way to take information from many systems and present it through a common application
(Crothers, 2011).
The final business pattern, stakeholder engagement, involves sharing information with
stakeholders such as customers, elected officials, regulatory agencies, and other assets in the park
area. The trend is for municipalities to engage actively with stakeholders through public outreach
programs providing accurate information that minimizes misinterpretation. Utilities use GIS by
creating static and interactive maps. Mapping applications for stakeholders include customer self-
service, capital project coordination, service interruption management and transparency into
maintenance performance (Crothers, 2011).
24

2.3 Review of Existing CMMS and EAM Software

The COK tasked the author with a search and review of different programs and options
for the DOPR’s asset management. Described herein are the software programs that were
reviewed as part of this thesis work, which the author was able to contact with whom discussed
the program’s functionalities. Some vendors even provided a webinar so that the author and other
staff could review how the software program functioned.

ARCHES
Arches is a new, open-source software system that provides a solution for compiling and managing
inventories of immovable cultural heritage at a range of scales (national, regional, city, or site).
The Arches project was initiated through a collaboration of the Getty Conservation Institute and
World Monuments Fund, with substantial technical assistance from English Heritage and the
Flanders Heritage Agency.
2
Arches is purpose-built for the cultural heritage field, using
international standards. It is freely available and has a growing international community of
Information Technology specialists and heritage professionals.

ESRI AND ASSET MANAGEMENT TOOLS
Environmental Systems Research Institute (Esri) products remain the standard for GIS and spatial
data. Esri allows several different file types for spatial data ranging from shapefiles (the most
common) to Geodatabases (the most recent). To accommodate the various methods that agencies,

2
www.getty.edu/conservation/our_projects/field_projects/arches/
25

firms, and organizations may already be using to create and store cultural resource spatial data, the
standards have been organized around individual data layers, rather than a particular file type.
These data layers would translate into a single shapefile for instance. Gathered together, they form
a Geodatabase. Esri provides standard geographic data sets through its ArcGIS Server technology
that is licensed to the users of their software. Esri manages this data by distributing select sets of
information and allows users to include finite geographic elements, without ever touching the
underlying file structure containing the data. Software solutions such as IBM’s Maximo Asset
Management, and Azteca Systems’ CityWorks incorporate readily available hooks that link asset
functionality to GIS databases and solutions, and most are Web-enabled.

CITYWORKS
CityWorks is a GIS-centric CMMS focused on the municipal and public works markets. Its GIS
user interface allows GIS-centric users to function in the map oriented CMMS environment. It
recent cloud solution provides a hosted option. Built inside the Esri GIS environment, it is a great
solution for spatially oriented assets. Seamless functionalities between GIS and asset inventories.
The GIS focused interface is limiting to non-GIS assets. Non-GIS assets are difficult to manage
without the asset hierarchies. Azteca's CityWorks uses the other method that stores the asset data
in the GIS database. All assets and the related data are maintained in the GIS database. The addition
of new assets in the GIS database does not require an adjustment to the CityWork's database. Work
orders and maintenance management functions are maintained in a series of CityWorks tables and
all of the maintenance management functions are provided as extensions of Esri's GIS software
(McKibben and Davis, 2002). Azteca's CityWorks, with its GIS-centric approach, is considered
26

by many to be one of the best asset and maintenance management systems (Baird, 2011). It has
been in use for 15 years and has over 400 clients. According to Baird (2011), a solid CMMS is a
necessary part of asset management. Therefore, a CMMS with a GIS-centric approach is
considered to be a necessary part of asset management

NAVILINE/SUNGARD
SunGard Public Sector also sells a suite of software for local governments that runs on the older
i/OS server, called NaviLine. At one point, SunGard Public Sector had hundreds of customers
around the country running on its i/OS-based products, including NaviLine. NaviLine for AS/400.
This is currently what the COK has for finance and public works. There are various modules
needed for asset management including mobile solutions. It is very menu driven and not very easy
to navigate or learn. It is not cloud but server based.

LUCITY
Lucity, formerly GBA Master Series Inc. is a municipal and public works CMMS. Large municipal
client base with very specific industry specific functionalities and premade templates. The product
is integrated with Esri GIS for spatially oriented assets. Large municipal client base to support user
conferences and user groups. Very specific functionalities specifically focused on utilities and
public works markets. Not web based solution which makes it more challenging to deploy and
maintain. No mobile applications.

27

M-PET.NET
M-PET.NET (Maintenance Productivity Enhancement Tool) is the next generation of CMMS.
Designed for superior performance in every environment from manufacturing to facilities to
municipality environments, M-PET.NET has a demonstrated ability to deliver fast, comprehensive
results for management of every aspect of an automated maintenance environment. Is also base on
GIS mapping for locational information. It can be web based or build on a server. The Four Wind
Group Inc. is the developer of this software.

MAXIMO
IBM is the parent company of this leading facility computer maintenance management system. It
is the standard computer maintenance management system in many facilities. Maximo is an
excellent enterprise solution. Proven facility CMMS that is backed by an army of qualified IBM
consultants. Only implemented by qualified IBM consultants so you can be ensured that the
product is implemented with the best business processes. Expensive and time consuming to
implement with only IBM consultants. The product is only focused on facility and plant facilities
but with only limited functionalities for special GIS users.

NEXGEN
NEXGEN Asset Management (AM)is extremely user friendly interfaces on both the web based
desktop and mobile application and excellent functionalities in the software. NEXGEN AM a fully
integrated and all-inclusive solution which means that one price gets all the modules on the desktop
28

and mobile application. NEXGEN AM is the only software with a robust CMMS integrated with
advanced asset management functionalities. This product is designed to be an enterprise solution
being able to support both facility and spatially oriented asset inventory. Web based software that
can be hosted on the cloud or locally hosted. Its iPad application supports mobile best practices.
Excellent value with all-inclusive modules and desktop and mobile solutions. 6-month warranty
or money back ensures clients satisfaction. Excellent clients support. Software only implemented
by NEXGEN AM experts. The flexibility of the software lends to a diverse market so it is not
necessarily focused on one industry. With the vast functionalities of the software, it is vital that it
be implemented in phases to prevent overwhelming users.

AS/400
On June 21, 1988, IBM introduced the Application System/400 (AS/400), a new family of easy-to-
use computers designed for small and intermediate-sized companies. As part of the worldwide
introduction, IBM and IBM Business Partners worldwide rolled out more than 1,000 software
packages in the biggest simultaneous applications announcement in computer history. The AS/400
quickly became one of the world's most popular business computing systems. By 1997, IBM had
shipped nearly a half-million AS/400s. The 400,000th AS/400 was presented on October 9, 1996,
in Rochester, Minn., to Greg LeMond, the three-time winner of the Tour de France bicycle race and
a small business entrepreneur. The AS/400 family was succeeded in 2000 by the IBM eServer
iSeries – high-performance, integrated business servers for mid-market companies. The AS/400 is
a popular family of mid-sized computer systems which can also be used as multiuser computer
systems. By this, we mean that a single computer can interact with more than one user at a time.
29

The AS/400 can be utilized for different business facets. Some models are designed as
systems that provide resources to other computers, also known as a "server" in a network of
computers, while others are set up for use with terminals or "display stations". OS400 is the
operating system for the AS/400. The AS/400 computers offer more compatibility across the
product line than the earlier System/3X computers. Hence, the earlier IBM models of the System/36
and System/38 have since been replaced by the AS/400 systems. The AS/400 utilizes a green screen
interface, a built in database that resembles DB2, and a vast array of software to provide business
solutions for today’s business needs.
Much like the case of spatial data analysis, the integration of asset management software
with a GIS offers new options for understanding the use of geographic data within a system. The
similarities between the two technologies lie in their capacity to provide additional information
about the data being used by the system and their ability to improve the GIS user's experience
through enhanced results. Acceptance by the marketplace of asset management techniques gives a
boost to understanding the potential value the technology may hold when integrated with a GIS.

30

CHAPTER 3 – METHODS AND DOPR CASE STUDY

This chapter discusses the development process of the web map as part of this thesis project.
Section 3.1 details the data sources and how they were used. Section 3.2 presents the database
design and how it could be created. Section 3.3 discusses data and how it was prepared. Section
3.4 explains how and asset management system needs to be used for DOPR.

3.1 Scope of the Study

In 2014 the County of Kauai (COK), decided the DOPR needed a more efficient system
for managing and disseminating park information to assist staff with the planning, management,
and maintenance of the park’s assets. This task was given to the Park Planner, the author of this
thesis. After investigating several software solutions for facilities maintenance which were
discussed in Chapter 2, it was decided by management that the 2015 summer interns would
actually inventory the 83 Park Facilities under the DOPR (Figure 4) to help DOPR to better
understand the scope of their own assets, including items not in the Finance data e.g., showers, fire
pits, etc. It was anticipated that a more efficient system would lead to better maintenance decision-
making power, including the creation of maintenance evaluating options for selecting efficient
solutions.
The DOPR is charged with operating, maintaining, developing and improving the County’s
parks, and with administrating and managing recreation facilities and programs. To accomplish
this work, the DOPR is organized into seven divisions (Figure 5). The County of Kauai’s Parks
and Recreation Department contains over 83 parks of various sizes from large regional parks to
small neighborhood parks that cover 783 acres and are spread over a distance of 63 miles. In
31

addition to park lands, COK has a 107 acre, an 18-hole public golf course, two cultural preserves,
three gymnasiums, two swimming pools, ten staffed neighborhood centers, two clubhouses, and
the War Memorial Convention Hall, which has an exhibit hall and an auditorium.

Figure 4. DOPR's Parks Web Map (Beta)
3

3
Map by Garret Johnson, County of Kauai GIS Specialist for Access Data Base (2014).
32

Figure 5 DOPR organizational chart. (Kauai Parks & Recreation Master Plan 2013)

The 1978 Kauai Parks and Recreation Master Plan used a classification system comprised
of a four hierarchical levels: Neighborhood Park, Community Park, District Park and Regional
Park. A park classification system facilitates efficient park system management by establishing
different types of parks, each designed to provide a specific type of recreation experience or
opportunity. This classification system was developed by the COK. The classification system was
later changed in the 2013 Master Plan. The park classification system includes seven park types:
 Passive Parks
 Neighborhood Parks
 District Parks
 Regional Parks
 Beach Parks
33

 Linear Parks
 Special Use Parks
Passive Parks may include beautification area, mini parks, pocket parks, scenic overlooks,
tot lots, play areas designated primarily for use by small children. Neighborhood Parks are the
basic unit of the park system, serving as the recreational and social focus of the neighborhood.
These parks provide a combination playground and open space area designed primarily for
unstructured recreate activities. District Parks are oriented to the needs of several neighborhoods
or large sections of the community. These parks usually have sports fields or similar facilities as a
central focus although passive activities for individuals and families may be accommodated as
well. Regional parks are recreational areas serving the county as a whole. They consolidate heavily
programmed athletic fields and associated facilities. Because of their broad service area, regional
parks are strategically located. Beach parks combine the natural environment with recreational
use in an Oceanside setting. Linear parks are developed landscaped areas and other lands that
follow linear corridors as paths for bicycles and pedestrian that are also known as shared use paths.
They serve to connect individual parks or open spaces to form a cohesive system. In addition to
the path itself, the linear park may provide rest areas, scenic overlooks, and interpretive or
educational markers. Special use areas include public recreation areas or land occupied by special
facilities which include a golf course, motocross, track and cultural preserves.
Historically the DOPR has used the Judicial District Boundaries for operations and
maintenance and for capital improvement budgeting (Kauai Parks & Recreation Master Plan 2013).
Figure 6 shows the Judicial District boundaries for the COK. In fiscal year 2012, the total operating
budget was $12,715,081 (Kauai Parks & Recreation Master Plan 2013). The general allocations
34

of the budget by divisions are shown in Figure 7.

Figure 6 County of Kauai Judicial Districts. (Kauai Parks & Recreation Master Plan 2013)
35

Figure 7 Budget Allocations by DOPR Division. (Kauai Parks & Recreation Master Plan 2013)

Using the classification system, Table 1 shows the number of parks and the recreation
facilities by type. Table 2 lists the park types and size.
36

Table 1 Number of Existing Parks by Judicial District and Recreational Facilities by Park Type
Hanalei Kawaihau Lihue Koloa Waimea Kauai
Passive Park 1 2 1 1 5
Neighborhood Park 2 6 10 6 10 34
District Park 1 1 2 2 6
Regional Park 2 2
Beach Park 5 6 3 3 4 21
Linear Park 1 1
Special Use Area
Cultural
Preserve
1 1 2
Other
Recreation
Facility
1
Kilauea
Gym
1
Kapaa
Pool
2
Wailua
Gold
Course,
Lihue
Tennis
Courts
1
Kalaheo
Gym
2
Kaumakani
Gym,
Waimea
Pool
7
Neighborhood
Centers*
2 2 2 2 5 13
* Includes clubhouses and War Memorial Convention Hall.

37

Table 2 Kauai Park Acreage by Type

Before going out into the field, several steps were taken, similar to archeological
inventory surveys. DOPR was allotted two summer interns who were college age students
attending higher education either on the mainland or local colleges. Having only two interns is
advantageous in that the variables of implementation are easier to control and errors are minimum.
The two intern’s background were both in the medical technology field. The summer interns
reviewed the existing information including a hard copy of the DOPR Master Plan. The interns
38

were also given access and hard copies of the Department of Finance’s Asset listings for DOPR
(items valued over $1,500), the Department of Public Works (PW) listing of facilities, a listing of
facilities under DOPR obtained from the Park Rangers, that can be reserved on temporary basis,
and an MS Access database that was created by a consultant as part of the DOPR Master Plan in
2014. DOPR became a separate Department from PW in 2008, but many of the maintenance
functions needs specialty labor that is still managed by PW which generates Work Orders in the
AS400 system. The MS Access database was created by the consultants of the DOPR Master Plan
with the authors help to serve as the primary repository of tabular data detailing infrastructure,
asset, and park land information, i.e. executive orders on how the COK got the land, construction
plans, and plot plans of the park. The interns were also given a hard copy of the DOPR Master
Plan.
The next step was the field inventory of the assets. The interns started their work on June
17th and completed their inventory on July 31st, 2015. The inventory required the physical
inspection of each DOPR facility or park in the listing and then the development of a methodology
for conducting the survey. The interns were given a DOPR Sony digital camera, a measuring
wheel to document size of built facilities, and they used their own smart phone (iPhone 5s) GPS
locators on the utilities compass application. The OS versions are not known to the author. One
intern primarily did the GPS and photographs task while the other intern did the measurements.
To make this systematic, the interns started in the northern portion of each property. GPS points
were taken on the northern corners of facilities were possibly. The interns walked the entire park
area, taking photographs of all assets (fire pits, water fountains, benches, picnic tables) but only
taking GPS points at the facilities. Only GPS point data were taken.
39

Figure 8 Access Database of DOPR facilities

Figure 9 Example of the Access Database Structure
40

Figure 10 Detail from the Access Database of Information about Anahola Hawaiian Homes
Park

The third step was the recording of the findings. The interns recorded their information
in an excel spreadsheet, attach photographs of the facilities, signs and anything noteworthy. They
41

were given access to the DOPR shared V drive and organized folders for their work together. The
spreadsheet was worked on together via their Dell laptop computer once back in the office and
connected to the COK server. GPS locations were taken at the points of the buildings that in the
furthest north corner of each facility in order to improve the geo-referencing of each facility on a
basemap be consistent. All 83 DOPR facilities were inventoried and mapped by overlaying on
Pictometry (Pictometry International Corporation) high resolution ortho-imagery as the basemap
used in this project. Pictometry is a provider of oblique geo-referenced aerial imagery and
measuring software.
4

Figure 11 DOPR intern with measuring wheel at a comfort station in Anini Beach Park

4
https://pol.pictometry.com/en-us/app/login.php
42

Problems developed with the attachment of photographs to the Excel spreadsheet, as the
pixel size and quantity of photos per park became too large and caused the Excel program to shut
down. The photos were later downloaded to a separate folder on the COK server (Figure 14).
Excel was designed to be an individual productivity tool, not an enterprise system.
Once the inventory of all 83 facilities was completed, the interns’ task was to create plot
plans (overview maps), correlate the data from the other referenced material and label the facilities.
They were not familiar with Esri ArcGIS so they created their plot plans on the COK Pictometry.
Pictometry imagery. Using spatial tools supplied by the Pictometry software, users may measure
geographic details directly from the photos such as distance, height, and latitude/longitude
coordinates. Using the GPS locational information, the interns then visually (manually) searched
the Pictometry imagery to identify assets in facilities, labeled these, then printed hardcopies.
Interns were also responsible for saving and labeling picture files on the COK server, mentioned
above. This inventory assessment was conducted to define DOPR’s needs for the asset
management program. This included an inventory of existing field inventory, but did not include
the correlation or matching of the data from Finance (Figure 16) and Public Works (PW) (Figure
17) to the interns’ new inventory of DOPR’s assets. At the time this research was conducted,
correlation of all of this information was not feasible with the interns limited time.

43

Figure 12 Parks Assets Inventory Complied Summer 2015 by Summer Intern, screenshot of excel spreadsheet Anini Beach Park
44

Figure 13 Screenshot of Excel Spreadsheet for Salt Pond Park and other Parks in Waimea
District

45

Figure 14 Screenshot of Pictometry maps and photo file on the COK server
46

3.2 Database Design

The design of the database structure is very important. For a GIS database, it is impossible
to record all the detailed features and attributes of the site. Therefore, it is very important to
identify the information needed. Infrastructure asset data are typically identified, associated with,
or referenced by their geographic locations and spatial relationships. As a result, GIS and spatial
data analysis can support asset management processes (Halfway and Figueroa, 2006). Advances
in information technology have made GIS powerful and cost-effective tools for land analysis,
planning, and management. Arlinghaus (1994), stated the advantages of using GIS tools:
 Ease and speed of map revision and map scale changes
 Inexpensive production of short-run special purpose maps
 Potentially greater mapping accuracy
 Changes in the database are immediately reflected in digital map
 Spatial analysis
There are four main components of GIS application software: geographic processing, RDMS
(relational database management system), spatial analysis utilities, and graphic user interface
(GUI). The goals and objectives are critical in determining the data that will be recorded in the
GIS database. Relationships must be established correctly between spatial feature classes and non-
spatial feature classes. When data are plotted correctly, classes of both spatial and non-spatial
features will be accessible in GIS. This strategy combines a CMMS with a GIS geodatabase,
creating the foundation for an EAM approach. The DOPR's strategic plan emphasizes the enterprise
approach to GIS with the interdepartmental sharing of data meeting the needs of many departments.
The DOPR's ultimate goal is cost effective business processes in the managing of infrastructure
47

assets (Zhao and Stevens, 2009). It is the purpose of a geographic information system to provide
the right information to the right people at the right times.
Figure 15 presents the GIS database structure tree for this project. The GIS database
includes eight layers (e.g., Facilities, Land Use, Basemap), and each layer includes a number of
feature classes (graphic data), other tables (non-graphic data), and a series of relationships among
the tables. Each feature class (point, line or polygon) is managed as a single table. A GIS database
includes a large amount of spatial data (graphic) linked with relevant tabular data (non-graphic).

48

Figure 15 GIS Database Structure Tree Designed for This Project

The SQL-based ArcGIS geodatabase could serve as the basis for COK-wide enterprise
system integration. Ideally an open platform database structure makes it possible for the COK's
GIS system to integrate with other systems e.g., AS 400. Such integration is essential to make
the most of enterprise GIS (Zhao and Stevens, 2009).
49

With the present state of GIS software and technology, GIS has not been used
extensively to capture this information at COK. Some of this information is already in an Access
format. As location is an important property of all assets, it has served COK in many projects in
the past as the common platform used for data integration. GIS software and related
functionalities can alternatively access these databases as external software that enhances the
analytical and reporting capabilities of the system.
An important aspect of the database development is the relationship between the abstract
classes and the other asset feature classes. Abstract classes are those that cannot be instantiated and
cannot be used on their own but must be first inherited by a feature class. When a feature class is
linked to the abstract classes that feature class inherits the abstract class attributes. Table 3 shows
an example list for DOPR from which spatial feature classes and attributes can be generated.
Another aid for the integration and interoperability of databases is the use of commonly accepted
data definitions and consistent formats across systems. A standard data dictionary or global
standard for data definition, representation, storage and communication is vital to the effort of
data integration, regardless of the integration strategy implemented.

50

Table 3 Asset List Example

In the GIS database design, metadata, or additional data used to describe data, plays a key
role reflected in several aspects of data. A significant lesson learned is that at the beginning of the
GIS database design, it is necessary to think thoroughly about some aspects of the metadata, which
include the spatial reference, data organization information, and entity and attribute information.
Gunther and Voisard (1997) speak of the value of metadata by describing methods for collecting
data, modeling data, and detailing the collection of international standards available for organizing
metadata. Metadata is collected during the processes of data capture, data aggregation, data storage
Asset Type Data Attribute Asset Type Data Attribute
Park Location (Longitude, latitude) and type Convention Hall Location (Longitude, latitude)
Elements Facilities
Fire Pits Description
Picnic Tables Dimensions
Camp Sites Cost
Benches Elements
Walkways Walkways
surfaces surfaces
Facilities Maintenance activities
Description Condition Measure
Dimensions
Cost Gyms Location (Longitude, latitude)
Maintenance activities Elements
Condition Measure Lockrooms
Benches
Swimming Pools Location (Longitude, latitude) Walkways
Facilities surfaces
Description Facilities
Dimensions Description
Cost Dimensions
Elements Cost
Benches Maintenance activities
Walkways Condition Measure
surfaces
Condition Measure Neighborhood Centers Location (Longitude, latitude)
Maintenance activities Elements
Benches
Golf Course Location (Longitude, latitude) Walkways
Facilities surfaces
Description Facilities
Dimensions Description
Cost Dimensions
Elements Cost
Tees Maintenance activities
Benches Condition Measure
Walkways
surfaces
Condition Measure
Maintenance activities
51

and data analysis, each process the authors describe in detail. These procedures create additional
attributes that define the initial data set for a user who may not be familiar with the collection
methods, accuracy requirements or modifications made to the original data by the authorizing
organization. Metadata is also useful in its ability to solidify such data standards as naming
conventions and relationship definitions.

3.3 Populating the Database

In order to manage, edit, and update DOPR information, a custom MS Access database
was developed by consultants who worked on the COK DOPR Master Plan 2014. A
synchronizing function was not built into the MS Access database to update the GIS features. If
this is accomplished in the future, this would allow multiple park staff to maintain data without
having to do the edit using ArcMap, in ArcEditor mode. Once updates are completed in the
database the results could then be automatically shown using the identify function in an ArcGIS
Server Pro or ArcGIS.com. This functionality would provide real time access to the most current
database information using this new DOPR Land and Asset Information System, if it could be
built. Currently only three staff have access to to update the existing DOPR MS Access database,
which is a free standing database not tied into the Kauai’s GIS system, which also has a limited
number of staff who have clearance to access it.
In the future the development of a web mapping application needs to be developed to
integrate and deliver DOPR’s large format e.g., CAD plans, documents and photographs. This
functionality could be created by modifying the ArcGIS Server, Pro or ArcGIS.com identify tool
which creates a custom hyperlink query to photos stored on a server and documents stored in
52

IBM’s Content Manager. A list of photographs and a hyperlink to search for documents could be
developed using ArcGIS Server, Pro or ArcGIS.com, HTML and JSP. Also a list of general park
information including location, area and maintenance zone is available on the page. By clicking
on the “Imaged Documents” hyperlink a new window will open with the list of documents from
the IBM Content Manager application. These documents could then be easily sorted by clicking
on the field name and then viewed by selected a specific document.

3.4 Use and Maintenance
The development of the database is the most time-consuming and costly aspect of the GIS
implementation, and the data import and conversion are long–term and continuous operations.
Ideally DOPR wants an inventory of their assets and facilities in the near future, and this
information needs to tie into the existing Finance database of assets which documents facilities
lifecycle. Figure 11 provides a screenshot of the finance inventory for DOPR. The summer intern
attempted to correlate the finance data to their data but it proved to be complex for the interns to
match id numbers of assets and text descriptions of the assets. Figure 12 is the inventory list from
PW on DOPR facilities. DOPR also has requested that their new asset management program be
integrated with the AS/400 system which runs the PW work orders. Most of the software systems
reviewed in Chapter 2, can independently generate work orders that are accessible on mobile
applications a functionality that the AS400 system does not provide. Most of these software do
not work with AS/400 directly, such as supporting input/output export. It would require another
contract with programmers from those software companies and the COK Information Technology
(IT) to update the existing user interface. Users of any system would also have to maintain this
53

new interface afterward in order for accurate reports to be generated. Users would be most of the
management staff and workers who had computer access.
Figures 16 - 21 display the existing interface of the COK AS/400, also referred as the green
screen. It is menu driven, no text can be added, no pictures attached, no cloud base service, and is
not a readily searchable database unless the users knows exactly what to search for. Although the
COK supervisors and other employees would like to have a new software interface that works with
AS/400 now, given the budget and integration permissions needed from COK IT, it will not be
possible to complete this action at the present time.

Figure 16 Screen shot of AS400 “Green Screen” Work Orders
54

Figure 17 Screen shot of Work Order Request

55

Figure 18 Screen shot of coding list

56

Figure 19 Screen shot of Category Selection

57

Figure 20 Screen shot of Department listing

58

Figure 21 Screen shot of the Work Order Request form on AS400

59

Figure 22 Facilities for Parks by Finance’s List
60

Figure 23 Fixed Assets – Parks by PW List

61

CHAPTER 4 – RESULTS

This chapter provides a discussion of the results of the fieldwork and software review. In section
4.1, the results of the fieldwork are shown displayed overlain on Pictometry basemaps. Section
4.2 summarizes the outcome of of the literature and software reviews.

4.1 Fieldwork Results

The data collected by the summer interns was used to create imagery maps for each park,
including generating labels for larger structures like pavilions and comfort stations. Figures 24 and
25, show these Pictometry-based maps for Anini Beach Park. Other examples are provided in
Figure 26, from Salt Pond Beach Park, Figure 27, Waimea Pool and facilities and Figure 28,
Vidniha Stadium and Baseball Complex. These figures correspond to the excel screen shots of the
data provided in Figures 12 and 13. The interns’ work was to provide a common ground for labels
Park Rangers, DOPR management, DOPR Permits, and DOPR maintenance to identify facilities
within these locations. However, as previously mentioned the data was not later correlated with the
PW and Finance information (Figures 22 and 23). Also, work orders or other files like construction
plans for permits were not able to be integrated or attached to these maps. As stated earlier, data
collection, data management and data integration are an essential part of an asset management
framework, critical to its success. Data collection is very much dependent on the intended use of
the data and who is collecting the data, apparent in the level of detail and the depth required.
Data collection can be categorized in to the following three groups:
 Location: actual location of the asset as denoted using GPR coordinates.
 Physical attributes: description of the considered asset that can include: material,
62

type size, length, etc.
 Condition: condition assessment data can be different from one asset category to
another. The data can be qualitative and generic (e.g. Good, Bad, etc.) or detailed
and/or quantitative in accordance to established practices and standards. This was
data was not collected by the interns and is not documented in any DOPR files. So
it will have to be done by DOPR staff at some point.
Asset identifiers in a geodatabase are usually invisible to the user. But identifiers are import in
mapping so that labeling and naming conventions are consistent. Park permit users are issues
pavilion numbers if they have reserved those places. The interns worked with permit staff on their
labeling, which was sometimes different from what was painted on the actual facility. It was
assumed this same issued existed in the facilities list from PW and Finance. In being tasked with
developing an asset management program or system for DOPR, the agency still needs to describe
their vision, goals and objectives of what they want to accomplish with this program. DOPR did
not know what they really have as far as physical property. DOPR plans to develop a detailed
inventory of all their assets from facilities to supplies once a program is selected. Changes in staff
roles and perhaps new personnel will be required for such a system to fully function as it should.
Once a system is in place, staff training will also be needed. Then making sure all the users have
the right tools to use the system properly will be needed. Figure 24 outlines the steps required for
a comprehensive an asset management program. If these steps are followed, then the decision on
repair or replace and resultant cost savings for the COK will be documented by the information
provided in the program.
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Figure 24 Asset Management Steps

64

Figure 25 Mapping by summer intern showing Anini Beach Park. Pavilion (P1-3) and Comfort
Station (C1). GPS locations overlain on Pictometry oblique imagery
65

Figure 26 More of Anini Beach Park and Comfort Stations (C2-3). GPS locations overlain on
Pictometry oblique imagery
66

Figure 27 Salt Pond Beach Park on overlain on Pictometry oblique imagery
67

Figure 28 Waimea Pool on Pictometry oblique imagery

68

Figure 29 Vidniha Stadium and Baseball Field on Pictometry oblique imagery
4.2 Analysis
DOPR has only $30K to spend in their budget for fiscal year 2015-2016 for an asset
management program. The author contacted all the software vendors of the programs reviewed in
Chapter 2. Most of the vendors gave a webinar demo, but only one would assist to populate and
merge the data from PW, Finance and DOPR. Several vendors did submit to DOPR a cost proposal
for their software. The factors to be considered include:
 Number of users
 Hosted or cloud base
 Integration of the data (characteristics of the already existing data)
 Volume of data
 Currently available information technology (status of ArcGIS, server, PC, mobile devices)
69

 Level of staffing and resource allocation that would be dedicated to the process
 Education of staff on use of the Asset Management Program and updating the data in the
system
The vendors’ proposals’ listed costs that varied from 40K to 100K depending on the number of
users, then there was a basic maintenance cost per year added into all the vendors’ quotes. The
pricing per user, or license, varied greatly. Some of the vendor’s quantified the limits on some users
with different rights on the software, thereby lower costs. DOPR asked for initial costs for 5 users.
One vendor set the minimal number of users at 10.
Costs differences could also vary depending if the software is cloud-based or hosted by the
COK. The COK IT preference is for them to host a program. Cost for many vendors were actually
cheaper if the COK did host the program. If the asset management program is cloud based most of
the professional staff could asset the program via their smart phone or tablet/iPad. The other good
thing about cloud based it the software is updated all the time. The current trend is for cloud based
for most technological storage. But this is a cost factor to consider. For DOPR this is actually a
higher cost than having a cloud based service and leads to the next factor. DOPR does not issue
tablets, iPad or cell phones to their employee. COK IT does provide tablets, iPad and smart phones
but it is costs for the data service and level of employee that is issued COK equipment.
Another factor to consider is the current state of the COK’s information technology. No all
employees have smart phones, county email, or computer access. None of the vendors discussed
this issue except COK IT with regard to the SunGard modules. DOPR would need to get tablet and
data service connect to COK server to use the SunGard software. The following is some of the
required system specifications needed to run for example CityWorks which uses their Asset
70

Management server (AMS) or Permits, Licensing and Land server (PLL):
CityWorks

Database Server
Specifications for a Database (Intel
®
) Server:
 Windows Server 2003 sp2, 2008, 2008 R2 or R2 sp1 (64-bit),
2012
 32GB RAM (or better)
 Intel Xeon
®
8 core (2 chip) X5677 3.46 GHz (or better)
 2 x 146 GB 15000 rpm Serial Attached SCSI (SAS) Disk Drives
 Gigabit NIC
 17” high resolution color monitor; 1024 x 768 or higher
Server AMS or PLL
Client
Specifications for a PC (Intel
®
) Client:
 2.0 GHz Intel Core
®
processor (or better)
 2GB RAM (or better)
 Fast disk (7200 rpm) >40 GB of storage
 100 Mbit NIC
 Windows 8/8.1 (32/64-bit) or Windows 7 Professional
®
(32/64-
bit)
 17” high resolution color monitor; 1024 x 768 or higher
 Silverlight 5
 Firefox 29
71

 Internet Explorer 10 and 11
 Chrome 37, 38, and 39
Server AMS/PLL
(~40 users)
Specifications for an Application (Intel
®
) Server:
 Windows Server 2008 R2 or R2 SP1/SP2 (64-bit), IIS 7.5
 Windows Server 2012 or 2012 R2, IIS 8.0/8.5
 12GB RAM (or better)
 Intel Xeon
®
4 core (1 chip) X5677 3.46 GHz (or better)
 2 x 146 GB 15000 rpm Serial Attached SCSI (SAS) Disk Drives
 Gigabit NIC
 17” high resolution color monitor; 1024 x 768 or higher
 .NET 3.5 Framework Windows Server features
 .NET 4.5 Framework (Installed on both application & GIS
servers)
Server AMS/PLL
(~80 users)
Specifications for an Application (Intel
®
) Server:
 Windows Server 2008 R2 or R2 SP1/SP2 (64-bit), IIS 7.5
 Windows Server 2012 or 2012 R2, IIS 8.0/8.5
 24GB RAM (or better)
 Intel Xeon
®
8 core (2 chip) X5677 3.46 GHz (or better)
72

 2 x 146 GB 15000 rpm Serial Attached SCSI (SAS) Disk Drives
 Gigabit NIC
 17” high resolution color monitor; 1024 x 768 or higher
 .NET 3.5 Framework Windows Server features
 .NET 4.5 Framework (Installed on both application & GIS
servers)
Another important consideration is the level of staffing required to support the proposed
project. To implement ARCHES, there would need to be an IT specialist to install the software,
develop a separate the implementation from the graphical interface at a maximum a CSS (Cascading
Style Sheets) file will be used. “The Cascading Style Sheets were created to provide a powerful,
yet flexible means for formatting HTML content. CSS works much like style sheets in a word
processing program – you define a “style” that contains formatting options that can be applied to
document elements. All of the vendors except one stated that DOPR would have to integrate their
data into the system. This would require either a bid from a consulting firm to do this work or
additional staff. Also, to maintain the software and data an Asset Manager should be hired no
matter what software is chosen. The cost factors for this could be from 50k – 100K.
Education is also needed on what are the advantages of an asset management program with
GIS capabilities. It would be important to do some basic education on GIS itself, then there is
training on software program that will be used. It will be imperative that staff know that information
(work orders, inspections) must be updated and input consistent for the system to work and be
productive to help the COK with financial decisions.
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CityWorks was over minimum of 5 users, basic software 22k, yearly maintenance at 10K
for the SaaS license and installation cost which were not discussed. They would not even consider
any kind of integration with the AS400. Maximo which is an IBM solution, had only a service
consultant on Oahu who stated 5 users would be 49K plus 20% of the list price for maintenance
after the first year. They would recommend an outside contractor to work on an integration with
the AS400. So this would be additional costs after that would have to go out to bid or having
additional COK IT staff to work on this integration process. This costs were estimated for
integration with Maximo to be around 80K. Another asset management vendor had a minimum of
10 licenses; (0-19 Licenses = $2,999/user; Unlimited Site License = $699,999). In addition, there’s
a $500 per named user fee for GIS integration. Lastly, the annual support & maintenance will be
20% of the total licensing fees. If the COK wants to procure a hosted model, it’s $189 per month
per named user. No vendor discusses another factor which is volume of data that would be used
on the system. COK DOPR with 83 facilities is rather a small organization, so maybe after our
preliminary discussion this was never a factor for the vendors. But the author’s assumption is that
as the database does increase and it storage on a cloud server, costs could change.
Users or license fees (costs), hosting (costs) and outsourcing for implementation or
integration (costs) are really large considerations. GIS integration which was the focus of this thesis
is a main consideration. Maximo is a huge system and expensive – it was initially designed for
facilities maintenance in the manufacturing sector. SunGard NaviLine GIS ability is very limited
and did not integrate with Esri’s ArcGIS or ArcMap. Database server assumes a machine hosting
the organization’s SDE geodatabase (supporting both editors and viewers), and vendor’s database
(e.g. supporting users of Server AMS/PLL for CityWorks). Feature Access via a map service
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requires the GIS data to be stored in an ArcSDE geodatabase, a file geodatabase is not sufficient.
Table 4 below is an example from CityWorks which shows the RDMS and Esri platforms that are
supported by most of the software programs reviewed for this study. For the COK not all staff has
ArcGIS/ArcMap access.

Table 4 Supported RDMS and Esri Platforms
Server AMS/PLL 2014
ArcGIS Server (Standard or Advanced
Enterprise) 10.0 SP5, 10.1 SP1, 10.2,
10.2.1, 10.2.2, and 10.3 (10.3 requires 2014
SP2 and above)

Oracle 10g R2 (Supported at 2014 SP1)
Oracle 11g R1 (Supported at 2014 SP1)
Oracle 11g R2 (Supported at 2014 SP1)
SQL Server 2005
SQL Server 2008
SQL Server 2008 R2
SQL Server 2012
SQL Server 2014
Server AMS/PLL 2014
ArcGIS Server (Standard or Advanced
Workgroup) 10.0 SP5, 10.1 SP1, 10.2, 10.2.1,
10.2.2, and 10.3 (10.3 requires 2014 SP2 and
above)

SQL Server Express 2005 (4GB limit)
SQL Server Express 2008 (4GB limit)
SQL Server Express 2008 R2 (10GB limit)
SQL Server Express 2012
SQL Server Express 2014

Given no limits, financial, technology tools, ideally the best software from those reviewed
from this study that really works well with GIS is the CityWorks. CityWorks was designed for the
public sector. CityWorks’ seamless integration with GIS gives it unique GIS capabilities other
systems do not possess. Its work orders and service requests can be easily customized to the specific
needs of an organization, saving IT staff a great deal of time and effort. Because CityWorks only
utilizes the geodatabase as the asset database, it allows for integration with other applications that
are accessing the geodatabase as well. One example is hydraulic modeling where the modeling
software and CityWorks are both able to access the asset information and share the activities within
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the Esri framework.
CityWorks provides much more than a “map.” Using a variety of tools within CityWorks
such as Event Layers, Heat Map Manager, and the Asset Analytics tools, the map becomes the tool
to help identify trends. Also, by exploring the data in the geodatabase, one can explain the reasons
for higher levels of activities and costs in certain areas. No decision tree was necessary in deciding
an asset management program for COK DOPR. The cost factor for most government agencies is
critical. In the long term, an asset management program should help the DOPR save money and
prioritize their needs. So having the state of the art asset management program would be in their
best interest. The only software M-PET.NET by Four Winds Group Inc. which is already in use by
the COK PW Roads Department, Water Department, and Wastewater Department has agreed to
put us on as a user of the existing PW Roads contract. M-PET.NET would also give us 5 users on
the system, Four Winds Group Inc. would help get the asset management system running for DOPR
and work on getting an interface in the future with the County’s AS400 work order system. No
other software will do this. Four Winds Group Inc., initial phase costs were under the $30K which
was below the other vendors. At the time of finishing this thesis, DOPR is talking to purchasing on
next steps.
The main reason for choosing M-Pet.Net is that it is already in use in three other departments
at the COK. COK work order and cost codes are already in the system. COK facilities and roads
are already in the system. The cost factor is a major consideration. Four Winds Group Inc. proposal
fits DOPR’s budget. Of all the vendors reviewed and analyzed they agreed to populate the database
with the current information DOPR has in order to get the system going as soon as possible. Unlike
other CMMS products, its platform sits on top of the GIS database and does not require a separate
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database for data storage. Having a separate GIS and CMMS to constantly keep in sync with each
other can be frustrating and tedious because each database is being populated by different sources.
With this process of keeping both databases in sync eliminated, the district can now save time and
money. M-Pet.Net will be used to keep track of maintenance, create work orders and maintain an
inventory of assets. Four Winds Group Inc. provided DOPR with a mock-up of how the system
would work. Figure 29 is a screenshot of M-Pet.Net maintenance object listing. Figure 30 is
screenshot of the detail that could be included about a Park. The author made the recommendation
to DOPR administration that based on budget and needs that the M-PET.NET would provide a
basic asset management program.

77

Figure 30 M-Pet.Net Mock up for DOPR of maintenance object listing

78

Figure 31 Screen shot of M-PET.NET showing a Park and details within the Park

79

CHAPTER 5 – CONCLUSIONS

This final chapter describes the contribution of the study to improve the County of Kauai
Department of Parks and Recreation’s understanding of their needs regarding an asset management
program with a GIS capability, given the limited funds available and how the proposed system will
help manage the DOPR’s expenditures in the long term. This chapter then concludes with a
discussion of potential future directions.

5.1 Summary

Maintenance management can only be performed with an accurate asset inventory. Today,
most maintenance management systems have incorporated the practices of asset and maintenance
management together into a single application. The COK DOPR needs an asset management
solution which means acquiring an EAM or CMMS system. CMMS systems contain functionality
to facilitate the repair of assets through the assignment of work orders. To assist in determining
when such functionality would be required, the use of customized fields would allow for the
establishment of alert levels for value, condition, and maintenance costs. Once each of these reaches
a certain level a work order could be auto-generated to begin the repair or replacement of an asset.
Existing CMMS applications have the capability of scheduling maintenance for assets, which could
be carried forward into the proposed asset management system. The need to constantly review data
ensures that it remains current and accurately reflects the spatial information it represents. Along
with the ability to schedule maintenance, the system should also be able to record if maintenance
does not occur at the scheduled time to ensure that deferred maintenance costs are taken into
account.

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An asset maintenance history built over time and stored in searchable database provides a
predictive standard for when similar assets may fail and how assets typically fare in the given area,
climate, and other important local factors. For many assets, the clustering, frequency, and costs of
unplanned maintenance activities alone – analyzed and visualized using ArcGIS tools – provide
enough evidence to make an intelligent investment decision of when, where, and how maintenance
and rehabilitation should take place. Often, unique attributes (or characteristics) of the asset stored
in the geodatabase (such as type) contribute more insight than age or expected life as to likelihood
of failure. For high-risk assets, maintenance history and ArcGIS analytical tools can provide insight
and prioritization for where to utilize limited budgets for increased inspection, monitoring, and
condition assessment.
Measuring the success of a geographic data asset management system is much like
measuring the benefits of the use of geographic data. The system should be able to meet the
requirements of both an asset management system, effectively cataloging, tracking, and organizing
the maintenance of data, while including geographic data specific attributes, tracking processes, and
condition assessment capabilities. Quantifiable results of such a system may include market rates,
compatibility with existing GIS software, interface customization and scalability. The ability to
develop such a system using established principles of asset management, a common set of metadata
attributes sanctioned by the federal government, and utilizing tested software and methods will
speed the acceptance of a system that proposes to manage geographic data in this manner.
After helping the Master Plan consultant finalize a MS Access database for DOPR, then a
year reviewing asset management software, building an Excel inventory with summer interns, the
data is still far from complete. The condition of DOPR facilities has never documented. Once a
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basic system is implement this information will need to be inputted through an inspection process.
It is a missing element of the steps of an asset management program. Based on the budget of $30K,
the only vendor that would integrate the four sources of data (PW, Finance, DOPR’s MS Access
database and the 2015 excel spreadsheet), into a basic asset management program that is cloud
based, has Esri GIS capabilities was the Four Winds Group Inc.’s M-Pet.Net and train staff with a
5 user license for a year. Their initial proposal for the first year to get this information and populate
the data into their program cost was under $30K.
Four Winds Group Inc. also agreed to further populate the DOPR database for those little
items like fire pits and benches by digitizing the information. Digitizing is a method of converting
information from one format to another using a trace methodology. Traditionally, digitizing has
meant the creation of a spatial dataset from a hardcopy source, such as a paper map or a plan. On-
screen digitizing is the creation of a spatial dataset by tracing over features displayed on a computer
monitor with a mouse. They will trace over these items on Esri imagery and sketch images to
digitize them and, thus, to turn them into vector data. The subsequent year Four Winds Group Inc.
agreed to try to interface their program with the AS/400 to that work orders could be done on one
system from DOPR and not be a duplicate effort to input the information separately into the AS/400.
The cost proposal for this work at the time of writing this thesis was not submitted. The interns
work for the summary of 2015, helped the DOPR inventory all the major assets at their facilities
that were not included in the other COK departments or even the MS Access Database, because it
was a real field inventory. It still did not account for the fire pits, some of the benches or picnic
tables. The concerns with these assets is to repair or fix them are outside the unionized labor
classification that DOPR has. PW labor has to repair these items which is generated through the
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AS/400 work order system. Once DOPR does have an asset management solution in place, then
these items can be tracked.

5.2 Limitations
There are maintenance requirements to upkeep the information about each asset once it is
in the database and accessible. Staff will need to document conditions, inspections, repair (both
major and minor). Then this information will need to be updated in to the program by the
district maintenance manager, region supervisor, and/or neighborhood center director. This could
be seen as a major limitation in any asset management program. Optimizing the workflow is a
major part of any successful asset management system. Accurate accounting for work orders,
ensures the assets are being properly cared for. Ideally as stated early in Chapter 4, having an
asset manager to keep track of the system and making sure staff are trained on software updates,
new technologies, keeping track of their work and facilities inspections would be optimum.
Given this maintenance limitation, the asset management program should be re-evaluated
by the administration as to the cost-effectiveness of the program. With the COK procurement
process the contract is only for 1 years with the possibilities of extension of that contract for year
every year. So every year the contract, the program, the data should be re-evaluated not only
from the fiscal side but from the practical field side to verify updates in the field are being
transferred into the data about each asset.
M.Pet-Net has been in use with Wastewater since 2007. Four Winds Group Inc. the
developers of M.Pet-Net has been in existence since 1989. Although they are a small company,
their CMMS software should have a lifetime span of at least another 10 years. From being an on-
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site server to now being cloud based and incorporating GIS, their technology is evolving with the
current trends in CMMS.

5.3 Future Directions

Further improving this process are innovations that are becoming pervasive throughout the
GIS community. Beyond direct integration with existing GIS platforms, the ability to access data
in real-time either through server-based GIS or from the field using wireless access will allow for
users to maintain data in real time, reducing errors and improving data tracking. Technology will
continue to improve the data asset management process through organizational techniques,
reporting, and value calculations, but it remains the responsibility of those using any system to
ensure that data, and its integrity, remains the focus throughout its entire life cycle.
Implementing an asset management system using GIS can be a very powerful tool for
managing and predicting risk factors for assets. The DOPR Land & Asset Management application
could prove to be a useful an effective tool for DOPR staff assisting them with the management
of the parks system by providing a “one-stop-shop’ for DOPR mapping data and related
information. The application integrates information into an easy to use and access system that
allows for the efficient management and delivery of information throughout the organization.
Esri’s ArcGIS Server, Pro or ArcGIS.com is a powerful, cost effective tool that can be customized
to develop applications that integrate different data types into effective information management
systems.
The DOPR Land & Asset Management System application could be developed using an
ArcIMS interface to provide staff with access to all departmental data and information. It should
84

be understood that ArcIMS is no longer be supported with the release of ArcGIS 10.3. ArcGIS
Server 10.3 has phased out SDE! ArcGIS Pro, ArcGIS Server 10.3+ and ArcGIS.com is going to
be supported best by Esri in the coming years. So for small municipalities’ who are not upgraded
to ArcGIS 10.3 using ArcIMS and SDE can still be used. This solution provides an effective tool
for managing and delivering DOPR information to all staff members via the COK’s intranet. In
order to integrate the SDE GIS data, MS Access database information, and IBM’s Content
Manager application unique ID’s common within each application could be created, linking all
related data and information. This would involve creating new GIS data, a new MS Access
database, and using an IBM Content Manager application. This would also take merging the
summer 2015 excel data, photographs and Pictometry imagery with the existing MS Access
database.
Access to the 2,400 large format documents and plans that were currently in the COK’s
files could be integrated with the system by modifying index fields based on parcel numbers
assigned to DOPR Lands. This would allow staff to access documents related to DOPR lands using
an ArcIMS application, which COK does not have. The SDE GIS feature data would be joined to
the MS Access database attribute information. This will allow DOPR staff that had no GIS data
editing experience the ability to update the GIS attributes via the MS Access database. In addition,
this allowed staff to access the database information using an ArcIMS application.
New GIS datasets could be developed in ArcInfo and stored in SDE features for the
application. Parks land had been previously inventoried and mapped and this layer could be used
as the base GIS data for the Parks land layer. Additional GIS layers could be created using the
COK’s current aerial photography to digitize structures, buildings, parking lots, and other visible
85

asset. Other GIS layers could be developed by site inventories of parks that included fixtures,
irrigated areas, recreation areas, planted areas, sidewalks and trails, fences, retaining walls, and
trees. Each of these features could be given a unique ID and assigned to a unique DOPR Land ID.
The best solution would be for the COK to buy an off-the-shelf product and implement
it. It will also take getting an Asset Manager position to make sure all the information about the
facilities is correct, the correlation of the data with both Finance and PW is correct and
streamlining the work order process. The information system solution that was selected included
a custom GIS application that utilized and integrated ArcGIS Server, Pro or ArcGIS.com, MS
Access, and IBM Content Manager.
Current funding priorities for COK DOPR maintenance does not provide the levels of
service that meet community expectations. Park maintenance procedures need to be expanded to
allow for maintenance of a variety of facilities. In conjunction with development of this Asset
Management Program (AMP), DOPR’s asset maintenance specification is to be developed which
will include maintenance strategies and intervention levels and response times for the various asset
groups. The asset maintenance specification will guide future maintenance subject to allocation of
appropriate resourcing. DOPR’s AMP.
A Risk Management Plan could also be developed and identify risks that require planned
and priority action. The Risk Management Plan would inform and support responsible asset risk
management and will assist in guiding DOPR’s asset management in the future.
There are two key high-level indicators of cost to provide the Parks and Recreation service.
The life cycle cost being the average cost over the life of the asset, and the cost of emergency
maintenance. An AMP and a Risk Management Plan based on GIS applications will greatly help
86

the COK budget wisely on DOPR’s lands. DOPR’S ultimate goal is to have a fully automated asset
management system.
The system will need trained personnel who are designated to perform several specific job
or functions which will include system management, database administration, system analysis and
operation (asset manager). There will need to be training for new staff to DOPR on the use of the
system.
87
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Abstract (if available)

Abstract This study demonstrates the integration of Geographic Information System (GIS) with asset management. Asset management can be explained in many ways—for example, an organized infrastructure management system, an economic approach to help planning and decision-making, a methodology to ensure the future level of service life of a facility. It is a systematic process of maintaining, upgrading and operating physical assets cost effectively. It provides the tools necessary to facilitate a more organized, logical approach to decision-making and implementing. It gives a comprehensive view of resource allocation and utilization. Asset management strategies and systems used by the facilities management, construction, and information technology industries provide a framework—a multidisciplinary approach that enables us to consider whether such systems might be able to organize better the data for GIS applications. The aim of this thesis is to investigate the potential of an asset management and GIS approach to organize and manage the data. This thesis demonstrates that using a Microsoft Excel spreadsheet was not appropriate for holding all the data and running an accurate asset management system. This thesis investigates the requirements for a geographic data-focused asset management system and makes a recommendation to the administration on using the M-Pet.Net system to provide County of Kauai, Department of Parks & Recreation (COK DOPR) with the capability to identify all of the COK DOPR’s assets and track all maintenance associated with the assets. This thesis shows that the system will then provide the means to support and determine budgets and future long-term expenditures thru the extensive database of information.

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The role of GIS in asset management: integration at the Otay Water District

Asset Metadata

Creator McMahon, Nancy Ann (author)

Core Title The role of GIS in asset management: County of Kauai Department of Parks and Recreation a need for an asset management program

School College of Letters, Arts and Sciences

Degree Master of Science

Degree Program Geographic Information Science and Technology

Publication Date 02/24/2016

Defense Date 12/23/2015

Publisher University of Southern California (original), University of Southern California. Libraries (digital)

Tag asset management,computerized maintenance management system,County of Kauai,Department of Parks,enterprise asset management,GIS,infrastructure management system,M-Pet.Net,OAI-PMH Harvest,relational database management system

Format application/pdf (imt)

Language English

Contributor Electronically uploaded by the author (provenance)

Advisor Chiang, Yao-Yi (committee chair), Ruddell, Darren (committee member), Swift, Jennifer (committee member), Yang, Wei (committee member)

Creator Email nmcmahon@usc.edu,poipunan@me.com

Permanent Link (DOI) https://doi.org/10.25549/usctheses-c40-215051

Unique identifier UC11276928

Identifier etd-McMahonNan-4155.pdf (filename),usctheses-c40-215051 (legacy record id)

Legacy Identifier etd-McMahonNan-4155.pdf

Dmrecord 215051

Document Type Thesis

Format application/pdf (imt)

Rights McMahon, Nancy Ann

Type texts

Source University of Southern California (contributing entity), University of Southern California Dissertations and Theses (collection)

Access Conditions The author retains rights to his/her dissertation, thesis or other graduate work according to U.S. copyright law. Electronic access is being provided by the USC Libraries in agreement with the a...

Repository Name University of Southern California Digital Library

Repository Location USC Digital Library, University of Southern California, University Park Campus MC 2810, 3434 South Grand Avenue, 2nd Floor, Los Angeles, California 90089-2810, USA