Implementing Municipal GIS/LIS

(Getting Started On The Right Foot, Not The Left) 

Prepared by:
G.G. (Gerry) Tychon,
SPATIAL DATA SYSTEMS Consulting

 1     INTRODUCTION

Staff at various municipalities are currently investigating the feasibility and appropriateness of Geographic Information Systems (GIS) to support the work being performed by their organization. In this investigation some basic questions need to be answered: 

• Are there GIS applications that could result in improvements in the efficiency and/or effectiveness of administrative functions? What would the municipality use a GIS for, and what would be the benefits of having one? 
• Is the technology to support municipal functions available, and what would it cost? 
• Are the necessary data available? From whom, and what would it cost to obtain them? 
• If the municipality decided to proceed, what would be the best way to undertake implementation? What should be taken into consideration? Where would one start? 

This paper would like to concentrate on some of the initial steps necessary for the successful implementation of GIS Technology within the municipal environment. 

2     GIS TECHNOLOGY

To begin, GIS Technology provides the capability to store and correlate a variety of data on the basis of location. It becomes possible to relate records, activities and events from a single geographic feature, location, or region to each other. With land records and utilities data in a GIS, it is possible to administer all property and utility administration functions. From a single geographic database and an integrated set of GIS applications it is possible to coordinate property assessment, tax billing, notification, and utilities maintenance activities, as well as much else. 

Some of the major software components which comprise GIS technology and are used to address the many applications possible include:

• Computer-Aided Mapping and Drafting
  Required for the capture and generation of engineering drawings, sketches, and some map products.
• Coordinate Geometry (COGO)
  Coordinate geometry packages provide the means to enter bearings and distances from survey plans, and "as-built" engineering drawings.
• Spatial Data Management and Processing
  Topological management of geographic data, geoprocessing, and applications development.
• Attribute Data Management
  Database management system software for storage and retrieval of non-spatial attributes associated geographic data.

Potential Benefits

Using GIS technology software components in appropriate applications, a number of benefits can be realized. These include:

• increased operational efficiency. 
• reduced redundancy: data; effort.
• more readily available information to users.
• greater operational and program effectiveness. 
• increased internal cooperation.
• potential for enhanced external cooperation.
• uniform land management.

In the end, ultimately, the taxpayers benefit by saving money and/or receiving better services. An intangible benefit is better decision making; faster decision making; the potential benefit of NOT making the WRONG decision. 

3     SUCCESS FACTORS

To successfully implement GIS Technology within the municipal environment, the following general requirements apply: meaningful applications for the GIS -- real needs; users willing to participate in the implementation, training and use of the system; senior management and/or council commitment to GIS implementation for both funding and support; knowledgeable staff to implement and operate the GIS -- familiar with GIS concepts and computer proficient; an organizational framework for coordination and management; long-range plans defining goals and objectives; an implementation plan with milestones, staff allocations, budgets, and technology requirements; data - meaningful (accurate, current) and appropriate (useful to the task or decision at hand); hardware and software which is "appropriate" to the organizational strategy and functions to be performed. 

Successful implementation of GIS technology depends on many factors, but of critical importance is a plan. The following major issues are important to success and should be part of upfront project planning. 

Scope, Goals and Objectives 

Clearly define the scope of the project; set clear goals and measures of success. Define goals and objectives for the system as completely as possible before beginning the design and implementation. Without clear and measurable objectives it is difficult to determine if progress is being made and whether refinement is necessary. Procedures and process for system change should be part of project design. Remember not to confuse project objectives with automation objectives. 

Management Support/Commitment/Sponsorship 

Obtain council and/or senior management commitment early in the process. Without this commitment the project will not receive adequate support and resources. 

End-Users 

End-user involvement is important to system design, implementation, and use. If end-users are excluded often they will pursue their own solutions to their geographic information needs. Not all users may be familiar enough with GIS concepts to know what their needs are. Seminars and pilot projects can be useful to raise awareness among users prior to developing detailed specifications. 

In-House Advocate 

There is a need for someone to take upon the responsibility for implementation. Someone who is committed to the need for GIS and is willing to perform the necessary up front work required to get the system going. 

Staff Training and Education 

If the system is to be successful then it needs trained staff. Adequate time and support for the "education" component is necessary. This does not mean that staff have to become experts in the field but they must understand the concepts and how to use specific adopted technology. 

Staff Training 

A successful system requires knowledgable and committed staff. If existing staff are employed to implement and operate the GIS, adequate time must be allowed for training and to become experienced with the technology. 

There is as great a need for an understanding of GIS concepts and data handling as there is for computer skills to operate the GIS, especially at the management level. Education and training programs should include all organizational levels and should be addressed appropriately to each organizational level. Budgets for training should not be an afterthought. 

GIS Information Sources 

To assist in training and education there are a number of different avenues which municipal staff can avail themselves. Primary ones are: 

Conferences and Seminars    --     several are held every year.
Relevant Magazines and Journals   --     unfortunately few Journals are directed to the average user.
Vendor Newsletters     --     a biased but still valuable source of information.
Books pertinent to the field     --     still a limited number but useful for background concepts.
Educational Institutions     --     some educational institutes are now providing vendor training (and on occasion broader based workshops).
Consulting Professionals     --     serious consultants spend considerable time keeping abreast of the latest information in the field.

Organization and Management Framework 

There needs to be a framework under which the project is organized and operated. Means for input, approval, and budgets is needed. Often one or more committees is formed to handle the necessary coordination and communications. 

The basic organizational concepts often proposed consist of: 

Management Committee - A senior management committee to set policy and budgets, determine staff allocation, assign education and training, and review project progress. 
Project Coordinating Committee(s) - Project specific committees comprised of the GIS Project Manager and representatives of the organizational units being affected by the project. This committee monitors progress of the project, deals with implementation issues as they arise, reviews recommendations from the project manager, approves expenditures within budget, and ensures adequate cooperation from participating groups. 

For large organizations with many participants, two additional committees are often desirable. These are:

End-User Committee(s) - These would be comprised of representatives from the user areas that will be using or are planning to use the GIS. Such committees are good vehicles for building user involvement and commitment. This is essential for successful system implementation. 
Technical Advisory Committee - External technical staff and consultants to provide outside advice and expertise.

4     APPROACHES TO IMPLEMENTATION

Selecting the best approach depends on many factors including: level of support, previous experience with automated information systems; existing information technology policy and practices; potential costs of implementation; and so on. Approaches to implementation can vary. They can be large and comprehensive or begin with relatively simple and inexpensive applications -- initial emphasis is placed on learning -- and become more complex and operations oriented as time progresses . Early applications can be designed to become the building blocks for later more complex applications. Essential to any such development is having a plan that identifies objectives and lays out the tasks for achieving them. 

Often the impetus for implementation occurs at the technical level. Enthusiasm to embrace a new technology leads to a focus on hardware acquisition, software implementation, and data capture without real consideration of the functions relevant to the organization. This can be considered the seduction of technology. The emphasis is on converting existing manual processes to computer aided processes. Management and organizational aspects (and impacts) tend to be ignored. 

Successful implementation of a GIS depends on many factors. Of these, a comprehensive plan is critical. The effort that must be expended in analysis and planning depends on a number of factors:

the size of the organization and the number of functions that the GIS is to support. 
the extent to which general computer systems and systems planning expertise exists. 

Some of the reasons for ensuring that a proper plan is developed are: 

orderly, cost controlled implementation. 
satisfied end users. 
ability to simplify implementation and to make the system more understandable to both management and end users. 
to help identify organizational impacts and to include them as part of the implementation. 

A good plan will mean that as new requirements are identified it will be possible to add them to the current implementation without discarding work done to date. 

An overall objective for any GIS application is that it is integrated with work functions -- becomes part of the work process. The implementation of GIS applications also allows for re-engineering to take place. Quite simply, this means that existing work flows and processes can be modified for greater efficiency or effectiveness. A good plan means that a number of aspects of a project can proceed concurrently, providing a speed up in system development. Faster implementation means earlier benefits which builds commitment and support. There are many approaches to system design and implementation. Some of these involve complex methodologies that have been developed for large commercial systems development projects. Other approaches are based on constructing working models or "prototypes" of the system to be worked with and evaluated by the end-user. Still others involve combinations of these approaches with varying degrees of emphasis on study, documentation and prototypes. However, all approaches, involve the three basic stages of: 

• planning and design. 
• implementation. 
• operation and production. 

Pilots and Prototypes

One very important approach to addressing some of the issues discussed above is to undertake a pilot project or develop a prototype of the system. Pilot projects permit first-hand experience with development of a GIS without having to make large commitments of funds, time, or significant organizational change. 

The pilot project can serve as a test phase where technical feasibility and practicality of GIS applications are determined. The result of a pilot project can be a prototype operational system. A prototype is a working model of the system prepared to test the design principles, ensure that the design works, and obtain feedback which enables the design to be adjusted before additional larger amounts of money are spent. A prototype exhibits the essential features of the later operational system. 

The use of a pilot project permits costs and benefits of system implementation based on actual experience. The facts necessary to assess technical and financial feasibility of system implementation are accumulated and documented during the course of the pilot project. Experience and knowledge are obtained during the pilot project. A prototype of the final system is built for users and technical reviewers to criticize and modify. The need for standards, organizational impact and interfaces to existing data can be determined and tested. Working from the results of the pilot project, successful applications can be selected for subsequent detailed design and implementation. 

In general, the reasons for using a pilot project approach are: 

• prove technical feasibility.
• demonstrate project capabilities to sceptics.
• evaluate database design/data sources.
• evaluate/test equipment.
• determine effects on or help resolve organizational issues.

Pilot projects do NOT MEAN there is NO NEED for planning. They should have their own specific plan with goals and objectives and be part of an overall plan. It is IMPORTANT that a pilot project be REAL, with REAL results, and should ideally have one or more REAL products as an outcome. Pilot projects are not operational implementations, but if well planned they are not a throw away either. 

5     DEVISING A WORKPLAN

The following briefly presents an approach utilizing stages, general phases within stages, and a number of tasks associated with each phase. It is not meant to be a "cookbook" approach. Rather it is meant to provide some flexible guidance -- allowing for adjustments to be made as appropriate. 

Planning and Design Stage 

The Planning and Design stage is of critical importance. It cannot be over emphasized that a successful project rests on careful planning and a solid conceptual design. 

Phase 1 -- Getting Started 

Systems and projects fail for a number of reasons. Many times, too much funds and resources are allocated for equipment and too little for planning, design, and procedures. Usually, initial time available is not utilized for evaluation and planning; adequate time becomes insufficient time; time runs short, money is spent on equipment in hopes of a solution; the equipment arrives, it is turned on; but since there is no proper plan, procedures, or system in place to use it, the project is deemed a failure. As such it cannot be emphasized strongly enough how important it is to get off to a good start. 

Upon completion of this initial phase, the following should have been accomplished: 

- determined project appropriateness.
- defined GIS opportunities.
- identified justification and obtained support for going ahead with GIS implementation.
- developed a project outline or framework.
- estimated an overall cost for the project.
- identified benefits.
- produced an initial overall schedule.
- determine what the cost will be to perform the next phase.

This initial Phase may be broken down into specific tasks which may be labelled as follows: 

- Develop Initial Action Plan -- review it and understand it
- Develop Initial Organizational Framework
- Prepare Proposal for Senior Management/Council
- Present Proposal and Obtain Approval
- Plan and Design for Implementation

Phase 2 -- Preliminary Analysis and System Design 

Much work associated with implementation of a GIS can be performed by vendors. Other work can be performed by in house staff. In any case it is important to document current processes, data and information needs, and any constraints. Objectives and applications identified previously must be described in sufficient detail such that they can be implemented and meet objectives. Some questions which need to be asked are:

What will the GIS be required to do?
Within what constraints will the GIS operate?
Are there measurable objectives -- how will we know if we are succeeding?

Tasks which may be included in this phase are: 

- Define and Describe Individual GIS Applications
- Develop an Overall System Concept
- Develop System Selection and Acquisition Criteria
- Develop Detailed Design Specifications -- Technical Requirements
- Assemble System Acquisition Criteria
- Produce Implementation Plan

The Pilot Project Option 

At this point in time, if there are technical, organizational, or management questions then a Pilot Project may be appropriate. If so then proper goals and objectives should be established for the Pilot Project. 

Implementation Stage 

The second major Stage is Implementation. Major phases within this stage are:

- System Acquisition
- Detailed Database Design and Applications Design
- Database and Applications Implementation
- Data Acquisition and Conversion
- Installation, Training, and Testing
- Operations Planning

Note: It is important that the selection of hardware and software not occur prematurely. More often than not, it becomes the starting point for GIS implementation. Once the system is in-house, the pressure to produce something begins. Planning and organizational issues become dealt with in an ad-hoc, reactive manner rather than through a well conceived proactive plan. 

Note: Incremental implementation may be of value to many organizations both from a costing and from a management prospective (being able to control the impacts on the organization). Comments relating to incremental implementation are: 

Applications: Selecting appropriate cost-effective applications. Early in the process, it is important to select applications that are relatively inexpensive to implement and that have a high return, either economically or have high visibility with the end user. An example is solving some problem that the organization has that it could not deal with prior to having the GIS. This builds management commitment and support for proceeding with the system. 

Technology is changing at changing and advancing at a tremendous rates. In selecting and buying technology, no technology should be acquired before it is needed and can be put to use. Organizations may have their entire database modeled and constructed externally before buying any hardware and software. 

Staff Training should be paced to provide staff with necessary skills just before they are required, becoming more specific as implementation proceeds. 

Operation and Production Stage 

The final major Stage is Operation and Production. This stage deals with switching from development mode to production or maintenance mode. Applications and databases developed during implementation are used and maintained on an ongoing basis. 

6     COSTS AND SCHEDULING

Costs 

Costs will vary depending upon the size of the organization, the scope and nature of the implementation, and the approach used. For the most part costs associated with the implementation of GIS Technology can be generalized into the following categories: 

- management planning and organization. 
- conceptual design and technical planning. 
- hardware/software -- purchase and maintenance. 
- facilities -- set-up and maintenance. 
- database design and implementation. 
- data acquisition and compilation. 
- database creation. 
- database maintenance. 
- staffing. 

Some costs can be determined up-front; others once an approach has been decided upon; some specific costs for implementation will be determined as the project proceeds. General approaches known to reduce costs and increase cost-effectiveness include: 

linking the implementation of GIS to the needs of the organization.
incremental implementation of applications - building databases, purchasing systems, and deploying staff over a period of time.
cooperative development -- particularly with respect to data. 

The major costs associated with the implementation of GIS are concerned with data acquisition; database design/implementation; ongoing maintenance. This can be in excess of 2/3 of total budget. Therefore design strategies and organizational approaches must stress the data and procedures associated with data maintenance. Because the costs for data and data maintenance are high, as much data as possible should be obtained from outside agencies and sources. Additionally significant savings can be achieved by reducing the number of times a piece of information must be handled. One objective for a corporate GIS should therefore be to increase the efficiency of data handling. 

Costs can further be grouped into capital, one-time, and ongoing costs. For example: 

- Initial Capital Expenditures: Facilities (furniture, building); Hardware; Software.
- One Time Non-Capital Expenditures: Planning and Design; Initial Data Capture or Purchase; Site Preparation; Testing and Acquisition; Installation; Staff - Hiring and/or Training.
- Ongoing Expenditures: Maintenance (hardware and software); Rental or Leasing of Equipment; Data Maintenance:  Update/Enhancement; Operations; Communications; Training; Supplies; System Enhancements. 

Some Costing Information 

It has been shown that a medium to large scale land records management system with applications such as: tax billing, utilities maintenance records -- NOT just automated mapping will have the following cost profile: 

One Time Costs 

- Project Planning, Design, and Implementation: $35/parcel (only for medium to large scale municipalities). 
- Data Acquisition: $70/parcel.
- Hardware/Software: $25/parcel (an averaged amount given an unknown mix of hardware and software). 

On-Going Costs 

Additional operating costs which should be considered include: 

- hardware/software maintenance (usually 10% of purchase of purchase price). 
- staffing (at least one full time staff member). 
- technical support (if needed or desired).
- supplies and miscellaneous should be factored in (will depend upon project scope).
- overhead (staff benefits, management, space, training, etc.: 60% of staff salaries) 

Schedule 

It is important that an overall "initial" project schedule -- a timeline with identified phases and tasks -- be developed. At project start this schedule will be very flexible; should be modified and revised after subsequent detailed planning has been performed. 

Some factors which should be considered when developing a schedule include: 

- if in-house staff have other duties then sufficient time should be allocated for accomplishing given tasks. 
- adequate time for staff training and education should be allowed for. 
- experience has shown that an elapsed time of 3 years to fully implement an operational GIS in not unreasonable. 

Having a schedule is an important part of overall planning. Its presence does not guarantee success but its absence is a harbinger of failure. 

7     CONCLUSION

It is hoped that this paper has raised ideas which may serve as guidelines for GIS Technology implementation within the context of the readers own specific organization. Whether the readers organization has: not started yet, is in the planning loop, or has already purchased a system, there is usually able room for review and adjustment. The single most important item to stress is having a good plan. The following quotes are appropriate: 

"Every moment spent planning saves three or four in execution." -- C. Greenwalt 

"If you don't know where you are going, you will probably end up somewhere else." -- L.J. Peter