GIS Applications for Water, Wastewater, and Stormwater Systems - Chapter 14 doc

CHAPTER

14
AM/FM/GIS Applications

At present our water and wastewater infrastructure, especially in the
older cities, is in critical stages of deterioration and has started to
crumble. AM/FM/GIS technology provides a spatial infrastructure
management approach that is very effective in prioritizing your
infrastructure improvement and maintenance needs.

Field inspection crews inspecting a combined sewer overflow (CSO) diversion chamber located
near Pittsburgh, Pennsylvania.

2097_C014.fm Page 293 Monday, December 6, 2004 7:33 PM
Copyright © 2005 by Taylor & Francis



LEARNING OBJECTIVE

The learning objective of this chapter is to find out how GIS is integrated with
automated mapping/facilities management (AM/FM) systems for efficient inspection
and maintenance of water industry infrastructure.

MAJOR TOPICS

• Infrastructure maintenance issues

• AM/FM/GIS basics
• AM/FM/GIS software
• AM/FM/GIS application examples

LIST OF CHAPTER ACRONYMS

AM/FM/GIS

Automated Mapping/Facilities Management/Geographic Information
System

CAD

Computer-Aided Drafting/Computer-Aided Design

CAFM

Computer-Aided Facility Management

CCTV

Closed-Circuit Television

CIFM

Computer Integrated Facility Management

CMMS

Computerized Maintenance Management System

GASB

Government Accounting Standards Board

RBE

Rule Base Engine

RDBMS

Relational Database Management Systems

SDE

Spatial Database Engine

HAMPTON’S WASTEWATER MAINTENANCE MANAGEMENT

Hampton, Virginia, has a population of 150,000 and has 12,000 manholes and
valves. The City conducted a GPS survey to collect coordinates of more than 8000
manholes located in alleys, buried in yards, or covered with asphalt. The City utilizes
more than 35 licenses of ArcView GIS. The City stored attribute data in an external
infrastructure database from GBA Master Series and linked it to ArcView GIS. The
GBA software performs infrastructure inventory of manholes and pipes, work-order
management, and parts inventory management. It can also interface with the City’s
WinCan system used for CCTV inspection of sewers. The GBA GIS Toolkit, an

GIS software ArcView, GBA GIS Toolkit Extension for ArcView, MapObjects
Internet Map Server (IMS)

Other software GBA Master Series and WinCan TV system
GIS data Sewers, manholes, water mains, valves, hydrants, roads,
street centerlines, buildings, and digital orthophotos
Study area City of Hampton, Virginia
Project duration 1998–2001
Organization Public Works Department, Hampton, Virginia

2097_C014.fm Page 294 Monday, December 6, 2004 7:33 PM
Copyright © 2005 by Taylor & Francis



extension of ArcView GIS, is used to synchronize data consistency between ESRI
Shapefiles, CAD, and the infrastructure management database. This application pro-
vides a GIS map linked to a comprehensive inventory, inspection, and maintenance
management software program. The system also provides a graphical display of main-
tenance history and profile plots of user-specified sewer segments (ArcNews, 2001).
Although GIS applications in water, wastewater, and stormwater systems are
not new, getting beyond the basic inventory and mapping functions is challenging.
After a utility GIS database has been set up, GIS applications must be developed
or else the GIS would be nothing but a pretty map. For instance, a GIS-based
computerized maintenance management system (CMMS) can be implemented for
more efficient maintenance of a utility because it can track problems within the
utility network more accurately. The GIS and CMMS integration can facilitate
proactive (preventive) maintenance, compliance with regulatory mandates, and
systemwide planning activities.
According to the U.S. Government Accounting Standards Board (GASB), an
infrastructure asset management system is a requirement for reporting capital asset
activity. Electronic asset management systems extend the life of existing infrastruc-
ture, thereby optimizing maintenance schedules and deferring major capital expen-

ditures until they become necessary and economically justified. Such systems can
also identify risky assets and schedule rehabilitation projects that can save the cost
of total replacement (Irrinki, 2000).

INFRASTRUCTURE PROBLEM

A civilization’s rise and fall is linked to its ability to feed and shelter its people and
defend itself. These capabilities depend on infrastructure — the underlying, often hidden
foundation of a society’s wealth and quality of life. Infrastructure is a Latin word meaning
the structure underneath. According to a 1992 report from the Civil Infrastructure Systems
Task Group of the U.S. National Science Foundation, “

A society that neglects its infra-
structure loses the ability to transport people and food, provide clean air and water, control

disease, and conduct commerce

” (Tiewater, 2001).

The water, wastewater, and stormwater infrastructure is aging fast throughout
the world, including in the U.S. For example, according to the 2001 counts, the U.S.
has 54,000 drinking water and 16,000 wastewater systems. America’s water and
wastewater systems incur an expenditure of $23 billion per year on infrastructure
projects. Much of the existing sewerage system in the U.S. was constructed in the
1950s and 1960s — some date back to the early 1900s and late 1800s. According
to 2001 estimates, U.S. sewer systems are approaching 100 years in age. Even the
newest U.S. water infrastructure systems are over 50 years old. What is worse,
because of their material, they are more likely to be deteriorating than some systems
dating back to 100 years. Many water systems are structurally obsolete and are now
serving two to three times as many people as their design capacity. Many systems

have not received the essential maintenance and repairs necessary to keep them

2097_C014.fm Page 295 Monday, December 6, 2004 7:33 PM
Copyright © 2005 by Taylor & Francis



working properly. The American Society of Civil Engineers (ASCE) projects $1.3
trillion in infrastructure needs in the U.S. during 1999 to 2004, of which approxi-
mately one third is needed for water and wastewater improvements.
Unfortunately, adequate government funds are not available for this expensive
fix. This problem can be partially blamed on the “out-of-sight, out-of-mind” men-
tality of the decision makers. The lack of funding for the badly needed infrastructure
improvements is making people worried. This is evident in the recently conducted
public opinion polls. According to a recent Water Environment Federation (WEF)
survey, 31% of Americans would not swim in their own rivers. A 1998 ASCE poll
showed that more than 75% of the U.S. voters were concerned about the quality of
roads, drinking water, and school buildings. In Boston, more voters were concerned
about roads, bridges, and drinking water than Social Security and taxes. In New
York City, concerns about school buildings and drinking water outscored drug abuse
worries (ASCE, 1998). Many indicated that they would vote for a candidate whose
election campaign addressed waste disposal (78%), drinking water (73%), and roads
and bridges (62%). These surveys indicate that water industry infrastructure is
particularly important because it is so closely related to public health and safety.
In the U.S., it has been recently observed that a combination of reduced federal
spending and increased federal mandates is taking its toll on the infrastructure of
the country. For instance, according to American Water Works Association (AWWA),
annual pipe replacement costs will jump to $3 billion by 2020 and $6 billion by
2030. Replacement expenses projected into the future indicate that sewer main
replacements are more urgent than water mains and will require more money.

As of 2001, ASCE estimates that the U.S. must invest nearly $277 billion in
drinking water and wastewater infrastructure repairs over the next two decades. U.S.
water systems have an $11-billion annual investment shortfall and need $151 billion
by 2018. U.S. sewer systems have a $12-billion annual shortfall in investment and
need $126 billion by 2016. The largest need, $45 billion, is for projects to control
combined sewer overflows (CSOs). The second-largest category of needs, at $27
billion, is for new or improved secondary treatment.
In a report “Water Infrastructure Now” published in February 2001, a water
conservation organization called Water Infrastructure Network (WIN) estimated a
$23-billion per year gap between infrastructure needs and current spending. The
report indicated that U.S. water and wastewater systems faced infrastructure funding
needs of nearly $1 trillion over the next 20 years and a shortfall of half a trillion
dollars. The report called for a 5-year, $57-billion federal investment in water
infrastructure to replace aging pipes and upgrade treatment systems. WIN estimates
that household water bills must double or triple in most U.S. communities if utilities
are forced to absorb the entire infrastructure bill. For instance, the City of Gloucester,
Massachusetts, is charging $20,000 per home (to be paid over the next 20 years) to
finance the city’s conversion from septic to sewer systems (CE News, 2001).

According to a 2001 statement by ASCE President Robert W. Bein, “Something is

terribly wrong … America has been seriously underinvesting in its infrastructure.”

2097_C014.fm Page 296 Monday, December 6, 2004 7:33 PM
Copyright © 2005 by Taylor & Francis



In March 2001, ASCE released its 2001 Report Card (Figure 14.1) for America’s
infrastructure in which the nation’s infrastructure received a cumulative grade of D+

for 12 infrastructure areas. Causes for such a dismal grade include: explosive pop-
ulation growth and school enrollment, which outpace the rate and impact of current
investment and maintenance efforts; local political opposition and red tape, which
outpace the development of effective solutions; and the growing obsolescence of an
aging system — evident in the breakdown of California’s electrical generation
system and the nation’s decaying water infrastructure. The 2001 Report Card follows
the one released in 1998, at which time the ten infrastructure categories rated were
given an average grade of D. The 2001 wastewater grade declined from a D+ to a D,
while drinking water remained a D. Solid waste and schools scored the highest and
the lowest grades, respectively (ASCE, 2001; EWRI, 2001). Despite the disturbing
findings contained in the 2001 Report Card, the nation failed to heed the call to
improve its deteriorating infrastructure, according to an update to the assessment
released by ASCE in September 2003 (ASCE, 2003).
When the infrastructure condition is bad and funding is scarce, we need infra-
structure management tools that can:

• Accurately define (or map) our infrastructure
• Identify the worst portions of the infrastructure
• Determine how to most cost-effectively improve (replace or repair) the worst parts
of the infrastructure

AM/FM/GIS products provide an efficient infrastructure management system.

AM/FM/GIS BASICS

Many solutions for managing facilities have spawned from CAD-based archi-
tectural applications. Database solutions have evolved from the financial sector to

Figure 14.1

ASCE Infrastructure Report Card for the U.S.

2097_C014.fm Page 297 Monday, December 6, 2004 7:33 PM
Copyright © 2005 by Taylor & Francis



include scheduling, inventory, and purchasing functions. Implementation of facility
management automation can occur at any scale, from a small spreadsheet recording
preventative maintenance items to a full corporate system with CAD capabilities
managing the complete maintenance process with integrated contracting, accounting,
inventory, asset, and personnel records. CAD-based products have normally been
classified as computer-aided facility management (CAFM), whereas the database
solutions, dealing with work-order management without a CAD component, have
been termed computerized maintenance management systems (CMMS). The FM
user community reflects this polarization, because the majority of current imple-
mentations are oriented either one way or the other. Computer integrated facility
management (CIFM) brings both CMMS and CAFM capabilities into synergy,
thereby addressing the implementation of a true facility management automation
program. The core consideration is that, in practice, CMMS and CAFM capabilities
augment and are essential to each other. For example, maintenance activities keep
the data required for planning accurate and up-to-date (GEOTELEC, 2004).
AM/FM/GIS is a combination of four separate systems:

• Automated Mapping (AM)
• Facilities Management (FM)
• Automated Mapping/Facilities Management (AM/FM)
• Geographic Information System (GIS)

The differences between the three systems are summarized in Table 14.1 and

illustrated in Figure 14.2.

Automated Mapping (AM)

Automated mapping (AM), also known as computer-aided mapping (CAM), is
a CAD application for producing maps. It can be considered an alternative to the
traditional manual cartographic maps. Data are organized in layers that are concep-
tually like registered film overlays. Layers organize data by theme (streams vs. roads)
and type (linework vs. text).

Table 14.1

Comparison of AM, FM, AM/FM, GIS, and AF/FM/GIS
Feature AM FM AM/FM GIS AM/FM/GIS

Layers Y N Y Y Y
Topology N N N Y Y
Network definition N Y/N Y Y Y
Lines Y N Y Y Y
Nodes N Y/N Y Y Y
Polygons (areas) N N N Y Y
Attributes N Y Y Y Y
Actual locations Y/N N Y Y Y
Map intelligence N N N Y Y
Facilities management N Y Y N Y

Notes:

Y

=

Yes; N

=

No; and Y/N

=

Both Yes and No.

2097_C014.fm Page 298 Monday, December 6, 2004 7:33 PM
Copyright © 2005 by Taylor & Francis



Figure 14.2

Comparison of AM, FM, AM/FM, and AM/FM/GIS.

2097_C014.fm Page 299 Monday, December 6, 2004 7:33 PM
Copyright © 2005 by Taylor & Francis



There are no spatial relations (topology) among data elements except orientation.
Figure 14.2(A) shows AM capabilities.

Facilities Management (FM)

Facilities management (FM), also referred to as asset management, is a CAD
technology for managing utility system data. FM consists of such activities as inven-
tory, inspection, and maintenance performed by cities, utilities, and government
agencies. Organizations incur considerable expenses and resources as these functions
are performed on a routine basis. FM includes an infrastructure management database.
Compared with AM, there is less emphasis on graphical detail or precision and more
emphasis on data storage, analysis, and reporting. Relationships among utility system
components are defined as networks. Because FM systems have network definitions,
an FM system “knows” the pipes connected upstream or downstream of a given pipe.
As shown in Figure 14.2(B), FM systems generally do not have full topology; they
offer connectivity and orientation only.

Automated Mapping (AM)/Facilities Management (FM)

AM/FM is a combination of AM and FM technologies. AM/FM software is used
to automate maintenance. It allows the integration and automation of maintenance
management. AM/FM systems have both orientation and network definitions as
shown in Figure 14.2(C). The benefits of AM/FM are improved work-order man-
agement, better integrated inventory control, capture of maintenance data and costs,
and allocation of costs.

AM/FM/GIS Systems

GIS and AM/FM are different systems but each has its own advantages and
applications (Shamsi and Fletcher, 2000). A GIS can help locate the worst pipe. An
AM/FM can help users prioritize the work required to bring their worst pipes up to
a minimum operating standard. For many years, people have used the GIS and
AM/FM systems separately. Developing and maintaining two different systems is
expensive and inefficient. Thanks to the latest advances in computer hardware and

software, integrated AM/FM and GIS systems called AM/FM/GIS systems are now
available. These systems are especially useful for asset inventory, inspection and
maintenance, and work management. They are especially popular among visual
learners who prefer maps over tables and databases. Visual learners like to click on
a manhole in a GIS map to initiate a work order rather than locate it by querying a
database. As shown in Figure 14.2(D), AM/FM/GIS systems have more capabilities
than AM/FM systems, such as orientation, network, database, and topology.

AM/FM/GIS SOFTWARE

There are currently a variety of computer applications on the market, which were
developed for specific components of facility management. In applying automation

2097_C014.fm Page 300 Monday, December 6, 2004 7:33 PM
Copyright © 2005 by Taylor & Francis



to these diverse functions, vendors have taken approaches that originate from two
different technical directions: CAD or relational database management systems
(RDBMS) (GEOTELEC, 2004).
GIS-based facilities management requires AM/FM software extensions that can
be run from within the GIS software. These add-on programs are also referred to
as AM/FM/GIS software. Representative AM/FM/GIS software are listed in
Table 14.2. According to this table, there are two types of AM/FM/GIS software:

1. AM focus: These software provide more mapping (AM) capabilities. ArcFM is
an example of this type of software.
2. FM focus: These software provide more database (FM) capabilities. Cityworks is
an example of this type of software.

Software with an AM focus provide better data editing and mapping capabilities
and generally require an FM add-on to provide work-order management functions.
Software with an FM focus provide maintenance management functions (e.g., work-
order management) but may lack the map maintenance functions. Projects that
require both strong AM and FM capabilities may have to use two software products.
For example, ArcFM’s strong suite of CAD-like map-editing capabilities can be
supplemented by Cityworks’ work-order management functions.
All the packages listed in Table 14.2 are available for purchase from their
respective companies except CASS WORKS, IMS-AV, and IMS-ARC, which are
proprietary software programs that are installed by the vendors in their turnkey
projects. Figure 14.3 shows Hansen’s Infrastructure Management System CCTV-
inspection database. Note that each defect has been linked to its location on the
sewer pipe and a picture of the defect captured from the inspection videotape.

Table 14.2

AM/FM/GIS Software Examples
Software Company Web Site

AM Focus

ArcFM Miner and Miner www.miner.com
ArcFM Water ESRI www.esri.com
FRAMME Intergraph www.intergraph.com
GeoWater and
GeoWasteWater
MicroStation www.bentley.com

FM Focus

Cityworks Azteca Systems www.azteca.com
GBA Water Master
and Sewer Master
GBA Master Series www.gbamasterseries.com
GeoPlan Regional Planning
Technologies
www.rpt.com
WATERview, SEWERview,
STORMview
CarteGraph Systems www.cartegraph.com

Proprietary Systems

CASS WORKS RJN Group, Inc. www.rjn.com
IMS-AV and IMS-ARC Hansen Information
Technologies
www.hansen.com

2097_C014.fm Page 301 Monday, December 6, 2004 7:33 PM
Copyright © 2005 by Taylor & Francis



ArcFM

Developed jointly by ESRI and Miner & Miner, ArcFM is an off-the-shelf
AM/FM/GIS application for the utility industry and for enterprise implementations.
It is designed for editing, maintenance, modeling, and data management of utility
information. The first version was written in Visual Basic 5.0 for the Windows NT

platform. ArcFM has two components: (1) ArcFM, the main program for creating
and editing maps and (2) ArcFM Viewer, the companion program for querying and
viewing maps created in ArcFM. ArcFM is suitable for data conversion work by
GIS technicians. ArcFM Viewer is a simple program that enables managers to review
the finished maps. The relationship between ArcFM and ArcFM Viewer is similar
to the relationship between ArcInfo 7.x and ArcView 3.x packages.
In ArcFM, features are modeled as objects with drag-and-drop capabilities. For
example, as shown in Figure 14.4, to draw a butterfly valve, users can simply select
the valve symbol from the objects library and drag-and-drop it to its correct location.
In ArcFM software, GIS tools deal with features that are not simply points and lines,
but valves, pipes, manholes, inlets, drainage basins, and more. ArcFM has a rule
base engine (RBE) that determines how features are drawn (symbology, placement,
rotation, etc.). The RBE can be individualized for different applications. For example,
the stormwater RBE may define pipes, their associated features, and the methods
that pertain to them. RBE can also validate user-entered data to ensure valid attribute
values. With the help of these capabilities, ArcFM can perform routine editing
functions, such as adding a new catch basin or service connection or splitting a pipe,
with remarkable simplicity.

Figure 14.3

Hansen’s Infrastructure Management System CCTV-Inspection Database (Photo
courtesy of Hansen Information Technologies).

2097_C014.fm Page 302 Monday, December 6, 2004 7:33 PM
Copyright © 2005 by Taylor & Francis



ArcFM has powerful and user-friendly data editing capabilities for routine

map maintenance functions, e.g., for adding a new valve or hydrant, splitting
pipes, or adding a service connection. ArcFM provides sample data models and
business-rule templates for water, wastewater, and stormwater systems. These
templates, called

modules,

can be modified for project-specific applications.
ArcFM does not have maintenance management capability but it can be inte-
grated with other work management or customer information systems. ArcFM
is not a stand-alone program. It requires ArcInfo and Spatial Database Engine
(SDE) software and an RDBMS, such as Oracle or Microsoft Access (Shamsi
and Fletcher, 2000).
Greenville Utilities was chartered by the North Carolina Assembly in 1905. It
is organized as an independent agency of the City of Greenville and operates electric,
water, sewer, and gas utilities for the City of Greenville and a portion of Pitt County.
Greenville Utilities water operations serve 25,000 customers with 475 mi of main,
and sewer operations serve 20,000 customers with 333 mi of main. Greenville
Utilities used ArcFM, SDE for its SQL server, and ArcInfo software for implement-
ing an enterprise-wide GIS project for its electric, water, sewer, and gas services.
ArcFM Viewer was used by casual users, customer-service representatives, field
crews, and others to easily query, plot, and analyze spatial and related attribute data.
ArcFM was used as an engineering tool (ESRI, 1999).

Figure 14.4

ArcFM screenshot showing water objects.

2097_C014.fm Page 303 Monday, December 6, 2004 7:33 PM
Copyright © 2005 by Taylor & Francis

Cityworks

Cityworks (formerly known as Pipeworks) is available as ArcView 3.x or ArcGIS
8.x and 9.x Extension, helps users integrate their GIS and facilities management. City-
works’ water, wastewater, and stormwater module which for ArcView 3.x costs approx-
imately $4000 per license and works with ESRI coverages and Shapefiles. Cityworks
can store project data in any SQL database, such as SQL Anywhere, Oracle, Sybase,
etc. Cityworks’ capabilities include data inventory, data editing, work-order manage-
ment, work-order scheduling, network tracing, maintenance histories, inspections, and
condition ratings. Cityworks can also be used for managing and recording CCTV
inspection programs for sewers. Figure 14.5 shows the Pipeworks menu in ArcView 3.x.
The Cityworks extension provides additional capabilities to make ArcView 3.x or
ArcGIS 8.x a complete work-management system. Cityworks work-order modules are
used to create and manage work orders, inspections and tests, and detailed inventory
for water and sewer systems. The attribute data managed by Cityworks are referred to
as extended attributes because these attributes are stored in the extended-coverage
database or RDBMS. Examples of extended attributes are inventory data, work orders,
work histories, inspections, customer complaints, etc. Cityworks for ArcView 3.x
requires that all inventoried features be created and maintained as coverage data types,
i.e., line, node, or point feature. The difference between Cityworks and other work-
management solutions is its GIS-centric approach. Cityworks does not treat the GIS as
subordinate to the work-management system. Instead of integrating the work-manage-
ment system with GIS, it uses the GIS as a work-management system (Azteca, 1999).
General functions of Cityworks are listed below:

• Assign work activity
• Link to service request

• Track tasks
• Track resources: labor, material, and equipment (estimated and actual)
• Link multiple inspections and tests

Figure 14.5

Pipeworks menu screenshot.

2097_C014.fm Page 304 Monday, December 6, 2004 7:33 PM
Copyright © 2005 by Taylor & Francis



• Maintenance:
• Corrective or reactive
• Preventive or routine
• Scheduled or cyclical
• Track permits
• Key dates and personnel
• Attach images
• Geocode and geolocate
• Print using Microsoft Word and ArcView templates and automated printing functions
• Search on any combination of work-order ID, work activity, selected map features,
feature, type, key dates, key personnel, tasks, status, address, or geographical cons-
traints.

Cityworks’ inspections and tests are listed in Table 14.3. Another Azteca product
called the Cityworks ArcGIS Interface simplifies the ArcGIS interface by providing
a subset of key ArcGIS functionality (presented using large icons) commonly used
by maintenance and operations staff. Cityworks Desktop ArcGIS Extension is an

extension of the standard ArcGIS interface. It is accessible from a palette of tools
that can be positioned anywhere on the map document.

CHAPTER SUMMARY

Deteriorating infrastructure and limited funds require that maximum system
improvement be achieved at the lowest possible cost. AM/FM/GIS systems can be
used to determine optimal infrastructure improvement strategies to accomplish this
goal. Today, AM/FM/GIS systems are helping the water industry with their planning,
design, and operational needs. AM/FM/GIS software is engineered to organize asset
information, optimize maintenance activities, and prioritize necessary improvements.
AM/FM/GIS software offers the integrated strength of AM/FM and GIS programs.
AM/FM/GIS software is available in AM-centric and FM-centric flavors. Software
selection should be made based on user-specific needs. Applications of AM/FM/GIS
technology are presented in the next chapter.

CHAPTER QUESTIONS

1. What is AM/FM/GIS, and how does it differ from AM/FM and GIS?
2. What is work-order management, and how is it done using AM/FM/GIS software?
3. List ten applications of AM/FM/GIS technology.

Table 14.3

Cityworks Inspections and Tests
Water Wastewater Storm

Meter inspection Manhole inspection Manhole inspection
Hydrant inspection CCTV inspection CCTV inspection
Valve inspection Inlet inspection Inlet inspection

Hydrant flow test Dye test Dye test
Meter changeout Smoke test Smoke test
General test General test

2097_C014.fm Page 305 Monday, December 6, 2004 7:33 PM
Copyright © 2005 by Taylor & Francis