Geographic Information System Development Guides

GIS Development GIS Development Guides
Guides
Geographic Information System Development

Guides
The State Archives, in cooperation with National Center for Geographic Information and
Analysis, produced this series of development guides to help officials in New York's local
governments develop and implement geographic information systems (participant information).
This on-line version is provided to facilitate access to the guides. It includes the complete text for
each document; however, some complex figures and charts are not available in this version. If
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you have any questions or comments about this resource please contact the State Archives at
recmgmt@mail.nysed.gov
Table of Contents
Manager's Overview
Database Construction
Needs Assessment
Pilot Studies and Benchmark Tests
Conceptual Design of the GIS
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Acquisition of GIS Hardware & Software

Survey of Available Data
GIS System Integration
Evaluating Hardware and Software
GIS Application Development
Database Planning and Design
GIS Use and Maintenance
Glossary
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Manager's Overview
1. INTRODUCTION
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This guide is the first of a set of technical support documents to assist local governments in
developing a GIS. The set of guides describes procedures and methods for planning the GIS,
evaluating potential data sources, testing available hardware and software and planning for its
acquisition, building the GIS data base, developing GIS applications, and planning for the long
term maintenance of the GIS system and data base. These guides are intended to provide advice
on how best to accomplish the GIS development tasks for all levels of local government - from
large, urbanized counties to small rural towns to special-purpose districts.
Realistically, large comprehensive GISs will be developed by the larger units of government
(counties and cities) individually or, most likely as the leader in a cooperative multi-participant
effort. These would involve the individual operating units within that government and/or the
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smaller units of local government within the common land area of the larger leading unit.
Typically, we would expect to see county government taking the lead, but also covering the
interest of all other governmental units within the county. Occasionally, there will be situations
where smaller units of government (town, special purpose district, or limited purpose GIS
application) may have to "go-it-alone" in developing the GIS. These guidelines have been
written to mainly address the first case - a county leading a consortium or cooperative effort.
Thus, we would expect the GIS development team of a county to be the primary user of these
guidelines, in the sense of actually performing the tasks outlined in each document. However,
this does not mean the other participants in a GIS should stop reading these guidelines at this
point. It is critically important for all expected participants in a cooperative GIS venture to
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fully understand the development process. If a smaller unit of government is to reap the
benefits of a county-level GIS, they must actively participate in the planning and development
effort.
The procedures are applicable for use in first-time creation of a GIS, for restructuring an on-
going GIS development project, and for the review and further development of an existing GIS.
The subject matter of the guides identifies the necessary tasks in a GIS development program,
describes appropriate methods to accomplish each task and, where applicable, provides examples
and illustrations of documents or other products that result from each task.
The guidelines are designed for use by general-purpose local governments (city, county, town, or
village), special purpose governments (utilities, school districts, etc.), and by those who provide
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assistance to local governments (consultants, academic units, etc.). The guides address the
technical steps required to create a GIS, the management tasks required to ensure successful
development of the GIS, and the policy issues that should be considered for the effective use of
the GIS.
The Role of Management
Although GIS is often viewed as an arena for the technically sophisticated computer
professional, the development of a successful government-based multi-participant GIS is very
dependent on proper management participation and supervision. Normal, common-sense
management practices are as necessary in a GIS project as in any other major undertaking. In
fact, our experience has shown that the recommended management actions may be the most
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critical aspect of the GIS development process. GIS development is a process of technological
innovation and requires management attention appropriate to this type of activity - active as
opposed to passive management involvement in the project. Historically, much of the disillusions
and disappointment with GIS projects stems not from a failure of the technical components of
the GIS but rather from a lack of understanding of the process of technology innovation and the
lack of realistic expectations of all parties associated with the project (GIS technicians, potential
users, managers, and elected/appointed officials).
Applying the GIS Development Guides by Local Governments in New York State
The overall procedure contained in the GIS Development Guides is very comprehensive and can
require considerable time, effort and dollars to complete. This raises the questions:
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• Does all of this have to be done?

• What level of detail is appropriate?
• How can smaller governments, villages and towns, special purpose districts, or a single
department in a larger jurisdiction, get through this process?
Does everything have to be done? . . level of detail?
Basically, yes. However, the steps in the GIS development process are frequently done in an
iterative manner over an extended time period. Also, the steps are not completely independent of
one another and so some back-and-forth does happen. It is often useful to make a "first-cut" run
through the entire process, writing down what is already known and identifying the major
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questions that need to be answered. The person who will be managing the development process
may be able to do this "first-cut" description in 1 to 2 days. This can be very helpful in getting a
feel for the scope of the whole process and then can be used as a decision tool for continuing.
The number of times the process is conducted, the amount of detail, and the resources needed to
complete the study can be balanced in this way. If the intended implementation will be limited or
small, the planning effort and documents can be sized accordingly. It is important, however, that
each step be considered and completed at some level.
How can smaller units of local government, such as villages and small towns complete a GIS
Plan?
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The best situation for a village, small town, or even a smaller, rural county is to be a partner with
a larger unit of government, a county, regional agency or utility company that is conducting
and/or leading a GIS planning exercise. Participating in a regional GIS cooperative, or joining an
existing one, will provide access to GIS technical expertise and spatial data created by other
agencies. Additionally, if one is a partner in a larger group, the activities directed toward the
evaluation and selection of the GIS hardware and software may not need to be completed. One
would simply use the same GIS system in use by the larger agency or group. Only the activities
aimed at defining applications (uses) and identifying the needed data would need to be done by
the smaller unit of government. In such a situation, the larger unit of government assumes the
leadership role for the area-wide GIS and should have the technical expertise to assist the smaller
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unit. In situations where a larger effort does not exist, a village or town government may want to
look at a GIS installation in a similar village or town elsewhere in the state. Given the similarities
in local governments within the state, the adoption of the GIS plan of another unit is not
unreasonable. That plan should be carefully reviewed by the intended participants in the GIS to
ensure applicability. After modifying and validating the plan, a schedule for GIS hardware,
software and data acquisition can be prepared consistent with available resources. If a good plan
is prepared, there is no reason data acquisition (the most expensive part of a GIS) cannot be
stretched over a long time period. Significant data already is available from state and federal
agencies at reasonable costs. These data can form the initial GIS database, with locally generated
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data added later. A list of state and federal data sources is contained in the Survey of Available
Data Guide.
Content Of This Guide
This guide presents an overview of the GIS development process. This process is presented as a
sequence of steps conducted in a specific order. Each step is important in itself, but more
importantly, information needed to complete subsequent steps is assembled and organized in
each previous step. The underlying philosophy of the entire series of documents is to
concentrate on the GIS data. As well as being the most expensive part of any GIS, the data must
be collected, stored, maintained, and archived under an integrated set of activities in order to
ensure continued availability and utility to the initial users as well as future users, including the
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general public. Defining and documenting data elements from their initial definition in the needs
assessment through to proper archiving of the GIS database according to state requirements is the
constant theme of these guidelines.
2. GEOGRAPHIC INFORMATION SYSTEMS: DEFINITIONS AND FEATURE
Basic Definition Of A Geographic Information System (GIS)
A geographic information system (GIS) may be defined as "...a computer-based information
system which attempts to capture, store, manipulate, analyze and display spatially referenced and
associated tabular attribute data, for solving complex research, planning and management
problems"(Fischer and Nijkamp, 1992). GISs have taken advantage of rapid developments in
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microprocessor technology over the past several decades to address the special challenges of
storing and analyzing spatial data. Geographers have referred to GISs as simultaneously
providing "...the telescope, the microscope, the computer and the Xerox machine" for geographic
and regional analysis (Abler, 1987).
Unique Features Of A GIS - Why Planning Process Is Needed
GIS belongs to the class of computer systems that require the building of large databases before
they become useful. Unlike many micro-computer applications where a user can begin use after
the purchase of the hardware and software, the use of a GIS requires that large spatial
databases be created, appropriate hardware and software be purchased, applications be
developed, and all components be installed, integrated and tested before users can begin to use
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the GIS. These tasks are large and complex, so large in fact, as to require substantial planning
before any data, hardware or software is acquired. The focus of the GIS Development Guides is
to describe the GIS planning process and to provide examples of how to accomplish the
recommended planning tasks.
History Of Technology Innovations - GIS Is A Technology Innovation
It is useful to note that GIS is, at present, a technological innovation. The adoption of
technological innovations (i.e., the development of a GIS for a local government) is not always a
straightforward process, such as one might expect with the installation of something that is not
new. Several problems are likely to occur such as:
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• Staff not fully understanding the technology prior to extensive training

• Development time estimates differing from actual task times
• Greater uncertainty about costs
• A greater likelihood that programmatic changes will be needed during the development
phases, etc.
The significant management point here is that these are normal conditions in the adoption of
a new technology. Management needs to anticipate that such events will happen, and when
they do, take appropriate management actions.
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The adoption of computer technology by an organization either GIS or other applications,

introduces fundamental change into the organization in its thinking about data. Prior information
technology allowed data to be collected and related to activities and projects individually.
Organized stores of data were the exception rather than common practice. This led to duplicate
data collection and storage (as in different departments) and to the possibility of erroneous data
existing in one or more locations. One of the goals of computer systems and database
development is to eliminate redundant data collection and storage. The principle is that data
should be collected only once and then accessed by all who need it. This not only reduces
redundancy; it also allows for more accurate data and a greater understanding of how the same
data is used by multiple departments. The necessary condition for successful computer system
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and database development is for different departments and agencies to cooperate in the
development of the system. A database becomes an organization-wide resource and is created
and managed according to a set of database principles.
3. ENTERPRISE-WIDE GIS: THE CORPORATE DATABASE
The role of a GIS in a local government setting is more than simply automating a few obvious
tasks for the sake of efficiency. A local government (or several cooperating governments) should
view the GIS project as an opportunity to introduce fundamental change into the way its
business is conducted. As with the adoption of management and executive information systems
in the business world, the adoption of GIS effectively reorganizes the data and information the
government collects, maintains and uses to conduct its affairs. This can, and arguably should,
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lead to major changes in the institution, to improve both effectiveness and efficiency of
operations.
A key factor in the success of computer system adoption in the business world is the concept of
the "enterprise" or "corporate" database. As implied by the name, the corporate database is a
single, organization-wide data resource. The advantages of the corporate database are first, that
all users have immediate and easy access to up-to-date information and, secondly that the
construction of the database is done in the most efficient manner possible. Typically, the
corporate database eliminates redundant collection and storage of information and the keeping of
extra copies of data and extra reference lists by individual users. Here, we are recommending the
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use of corporate database concept to integrate GIS data for all units of local government
participating in a cooperative GIS program.
An effective corporate database does require cooperation on the part of all users, both for the
collection and entry of data in the database and in developing applications in a shared data
context. This may result in some individual applications or uses being less efficient, however the
overall benefits to the organization can easily outweigh these inefficiencies. Greater emphasis
must, however, be placed on maintaining a high quality of data and services to users, mainly to
offset the perceived loss of control that accompanies sharing an individual's data to another part
of the organization.
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The corporate database concept can be used in the governmental situation, for either single units
of government or between several governmental entities in the same region. The benefits
associated with the corporate database can be achieved if governmental units are willing to
cooperate and share a multi-purpose regional GIS database. Such an arrangement has some
technical requirements; however, establishing the corporate database is much more a question
of policy, management cooperation and coordination.
4. POLICY ISSUES IN GIS DEVELOPMENT
There are several policy issues that need to be addressed early in the GIS planning process:
GIS Project Management
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Adequate management attention has already been mentioned in this document. As GIS is still an
evolving new technology, the individuals involved (management, users, GIS staff) may have
very different expectations for the project, some based on general perceptions of computing,
which may or may not be correct. This, along with the long time period for developing the GIS,
makes it very important for substantial involvement of management in the project. Several
factors associated with successful GIS projects are:
• Emphasize advantages of GIS to individual users and entire organization
• Require high level of competency by all participants
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• Ensure high level of management commitment from all management levels in the
organization
• Require participation in team building and team participation within & between
departments
• Ensure minimum data quality and access for all users
• Require development team to set realistic expectations
• Minimize time between user needs assessment and availability of useful products.
• Develop positive attitude toward change within organization
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• Ensure level of technology is appropriate for intended uses

• Highly visible Pilot Project that is successful
Data Sharing
The sharing of data among government agencies is a virtual necessity for a successful, long-
term GIS. Not even the most affluent jurisdictions will be able to justify "going-their-own-way"
and not taking advantage of what data are available from other sources or not sharing their
database with other governmental units. This, then, raises several questions that must be
considered during the planning of the GIS:
• What will be the source for each data item?
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• How will sharing be arranged? . . purchase? . . license? . . other agreement?

• Who will own the data?
• How will new GIS data be integrated with existing data files (legacy systems)?
• Who will be responsible for updates to the data?
• How will the cost of the data (creation and maintenance) be allocated?
• Who will provide public access to the data?
• Who will be responsible for data archiving and retention? . . of the original? ..of copies?
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These questions do not, at this time, have good answers. Currently, the Freedom of Information
regulations require that all government data be made available to the public at minimal cost (cost
of making a copy of the data). No distinction is made on the basis of the format of the data (eye-
readable or digital), the amount of data, or the intended use of data. Thus, the question of sharing
the cost of a GIS database cannot be addressed in general. If data can be obtained free from
another agency, why enter into an agreement to pay for it? The answer is, of course, that the
creating agency will not be able to sustain the GIS database under these circumstances. However,
at this time , the set of state laws and regulations applicable to GIS data are not adequate to
resolve cost issues and to facilitate regional data sharing cooperatives. New legislation will be
required. The New York State Temporary GIS Council did submit recommendations on these
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issues to the Legislature in March 1996. Additionally, the New York State Archives is currently
in the process of preparing record management and retention schedules suitable for GIS data,
both in individual agencies and for shared databases. The New York State Office of Real
Property Services has been designated as the GIS representative on the Governor's Task Force
for Information Resource Management. One of the charges that has been given to the Task Force
is to design a cohesive policy for the coordination of geographic information systems within
New York building on the work of the Temporary GIS Council. Further information should be
available in late-1996 that should clarify the issues associated with arranging for data sharing
among governments.
5. MANAGEMENT ISSUES IN GIS DEVELOPMENT
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Expected Benefits From The GIS

Local government need for, and use of, a GIS falls into several categories: maintaining public
records, responding to public inquiries for information, conducting studies and making
recommendations to elected officials (decision-makers), and managing public facilities and
services(utilities, garbage removal, transportation, etc.). The GIS tasks that meet these uses are:
• Providing regular maps
• Conducting spatial queries and displaying the results
• Conducting complex spatial analyses
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Many of these tasks are already done by local government, although by manual means. The GIS
is able to perform these tasks much more efficiently. Some of the analytical tasks cannot be
performed without a computer due to their size and complexity. In these cases, the GIS improve
local government effectiveness by providing better information to planners and decision-makers.
Benefits from using a GIS fall into the two categories of: efficiency and effectiveness. Existing
manual tasks done more efficiently by the GIS result in a substantial savings of staff time. In the
local government context, the largest savings come from answering citizen inquiries of many
types. Depending on the size of the government, savings using the query function of a GIS can
range from 2 person-years for a smaller town, to 5-8 person years for a large town, to 10 or more
person-years for a large county. Estimates of potential time savings can be derived by measuring
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the time to respond to a query manually and by GIS and multiplying the difference by the
number of expected queries. This information is usually gathered during the Needs Assessment.
Effectiveness benefits are more difficult to estimate. The GIS may be used to accomplish several
tasks that were not previously done due to their size and complexity (e.g., flow analysis in water
and sewer systems, traffic analysis, etc.). As these are essentially new tasks, a comparison
between manual and GIS methods is not possible. While not measurable, the benefits from these
applications can be substantial. Generally categorized as better planning, better or more
effective decision-making, these applications support more effective investment of government
resources in physical infrastructure where relatively small performance improvements can
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translate into large dollar savings. GIS also provides an effective way to communicate the
problem and solution to the general public and other interested parties.
Resources Required To Develop A GIS
Developing a GIS involves investment in five areas: computer hardware, computer software,
geographic data, procedures and trained staff. The acquisition of the computer hardware and
software are often incorrectly viewed as the most expensive activity in a GIS program. Research,
some conducted at the National Center for Geographic Information and Analysis at SUNY-
Buffalo, has demonstrated that developing the geographic database (which includes some of
the procedure and staff costs) can account for 60% to 80% of the GIS development costs.
Continuing costs for operation and maintenance are also dominated by the data costs.
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Coordination of GIS programs, particularly among several local government agencies, can
minimize the cost of database construction and maintenance, and can provide for the greatest use
of the database, which gives maximum benefits from the investment.
Staffing Requirements For A GIS
Staffing for a GIS is a critical issue. In general, it is not easily feasible to directly expand the
local government staff positions to fill the GIS need. There are three areas where expertise is
needed:
• Management of the GIS project (GIS project manager)
• GIS database skills (usually called a database administrator)
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• Application development for database and users (a GIS software analyst)

Initial creation of the GIS database (digitizing) will require an appropriately sized clerical staff,
dependent on the amount of data to be converted. Alternatives to staff expansion are
consultants and data conversion firms. GIS database conversion is a front-end staff need that
can easily be contracted-out (good quality specifications need to be written for this task). If at all
possible, the three functions of GIS manager, GIS software analyst and GIS database
administrator should be fulfilled by staff personnel, either by hiring or by retraining existing
professionals. When necessary, during the start-up phases of GIS development, the GIS analyst
and database administrator functions can be done under consultancy arrangements, PROVIDED
THAT A FULL-TIME GIS MANAGER IS AVAILABLE ON STAFF.
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The second need is for training of users in general computing, database principles, and GIS use.
These topics are covered in training courses offered by most GIS vendors, and after the GIS
software has been selected, they are the best source for user training.
Management Decision Points in the GIS Development Program
The "decision" to develop a GIS is made incrementally. The information needed to determine the
feasibility and desirability of developing a GIS is not available until several of the planning steps
have been completed. The key decision points are:
• Decision to investigate GIS for the organization - the initial decision to begin the process.
This is an initial feasibility decision and is based on the likelihood that a GIS will be
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useful and effective. It is fairly important to identify the major participants at this point -
both departments within agencies and the group of agencies, particularly key agencies,
the agencies who represent a majority of the uses and who will contribute most of the
data.
• Decision to proceed with detailed planning and design of the database - at this time, the
applications, data required, and sources of the data have been identified. Applications can
be prioritized and scheduled and the benefits stream determined. Also, applications to be
tested during the pilot study and the specific questions to be answered by the pilot study
will have been determined. A preliminary decision will need to be made as to which GIS
software will be used to conduct the pilot study.
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• Decision to acquire the GIS hardware and software - this decision follows the preparation
of the detailed database plan, the pilot study and, if conducted, the benchmark test. This
is the first point in the development process where the costs of the GIS can reasonably be
estimated, the schedule for data conversion developed, and targets for users to begin use
determined.
6. GEOGRAPHIC INFORMATION SYSTEMS: THE DEVELOPMENT CYCLE
Developing a GIS is more than simply buying the appropriate GIS hardware and software. The
single most demanding part of the GIS development process is building the database. This task
takes the longest time, costs the most money, and requires the most effort in terms of planning
and management. Therefore the GIS development cycle presented here emphasizes database
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planning. Most local governments will acquire the GIS hardware and software from a GIS
vendor. Choosing the right GIS for a particular local government involves matching the GIS
needs to the functionality of the commercial GIS. For many agencies, especially smaller local
governments, choosing a GIS will require help from larger, more experienced agencies,
knowledgeable university persons and from qualified consultants. By completing selected tasks
outlined in these guidelines local governments can prepare themselves to effectively interact and
use expertise from these other groups.
The GIS development cycle starts with the needs assessment where the GIS functions and the
geographic data needed are identified. This information is obtained through interviewing
potential GIS users. Subsequently, surveys of available hardware, software and data are
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conducted and, based in the information obtained, detailed GIS development plans are
formulated.
It is important to involve potential users in all stages of GIS development. They benefit from this
involvement in several ways:
• Describing their needs to the GIS analysts
• Learning what the GIS will be capable of accomplishing for them
• Understanding the nature of the GIS development cycle - the time involved and the costs.
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Potential users need to understand that there may be significant time lags between the first
steps of Needs Assessment and the time when the GIS can actually be used. Mostly, this is due
to the size of the database building task, which can take up to several years in a large jurisdiction.
In addition to understanding that database development takes substantial time, users and
managers need to appreciate that GIS is a new technology and its adoption often involves some
uncertainty that can cause time delays, on-going restructuring the development program, and the
need to resolve unforeseen problems. This set of guideline documents describes the GIS
development process in a way that will minimize problems, time delays, cost overruns, etc.;
however, the occurrence of these situations cannot be completely avoided. The GIS project team
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and management simply have to be aware that some unforeseen events will happen. GIS
development must be viewed as a process rather than a distinct project.
Estimating and planning for the cost of the GIS is a somewhat difficult task. First, it is necessary
to recognize that the GIS database will likely be the single most costly item - if a local
government develops all of the data itself from maps, etc., this cost can be as much as 70 - 80 %
of the total system cost. Thus, acquiring digital data from other GIS systems, government
sources or the private sector can be very cost effective. Participating in, or organizing a regional
data sharing cooperative or district, can also lead to reduced data costs. When planning for the
GIS database, long term data maintenance and retention costs must be estimated as well as the
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initial start-up costs. Cooperation between agencies with similar data needs may provide the
most effective way to achieve long-term data maintenance, retention, and archiving.
7. TASKS FOR GIS DEVELOPMENT AND USE

The GIS development cycle is a set of eleven steps starting with the needs assessment and ending
with on-going use and maintenance of the GIS system. These steps are presented here as a
logical progression with each step being completed prior to the initiation of the next step. While
this view is logical, it is not the way the world always works. Some of the activities in the
process may happen concurrently, may be approached in a iterative manner, or may need to be
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restructured depending on the size and character of the local government conducting the study
and the resources available to plan for the GIS. The GIS development cycle is based on the
philosophy that one first decides what the GIS should do and then as a second activity decides
on how the GIS will accomplish each task. Under this philosophy, the needs are described first,
available resources are inventoried second (data, hardware, software, staff, financial resources,
etc.), preliminary designs are created and tested as a third major set of activities, and lastly the
GIS hardware and software are acquired and the database is built.
The GIS development cycle is described in terms of 11 major activities. Prior to initiating these
studies, the responsible staff in local governments should attend introductory GIS seminars and
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workshops, GIS conferences, and meetings of specific GIS users' groups, to obtain a broad
overview of what GIS is and how others are using these systems.
The 11 steps of the GIS development cycle are:
1. Needs Assessment
2. Conceptual Design of the GIS
3. Survey of Available Data
4. Survey of GIS Hardware and Software
5. Detailed Database Planning and Design
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6. Database Construction
7. Pilot Study/Benchmark Test
8. Acquisition of GIS Hardware and Software
9. GIS System Integration
10. GIS Application Development
11. GIS Use and Maintenance
These tasks are one way of dividing up the entire set of activities that must be accomplished to
build a successful GIS. While there are other ways of expressing and organizing these activities,
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this particular structure has been chosen because it emphasizes data development - data
definition, data modeling, data documentation, data capture and storage, and data maintenance
and retention. The important point to be made here is not the order or structure of the tasks, but
rather that, one way or another, all of these tasks must be completed to have a successful GIS.
In some situations, different methods may be more appropriate than those presented in these
guides, or a different level of detail may fit the particular situation of a unit of local government.
No matter how simple or complex a given GIS environment is, all of the above tasks should be
completed at an appropriate level of detail. In the specific guides of this set, examples of
different levels of detail will be provided.
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The starting point is the needs assessment. It is assumed that the local government has decided
that a GIS may be justified and it is reasonable to expend the resources to further study the
problem. A final assessment of the costs and benefits will not be made until several tasks have
been completed and the nature and size of the resulting GIS can be estimated. In the process
presented here, this final feasibility assessment is made as part of the detailed database planning
and design activity.
Each of the major portions of the development cycle identified and briefly described below is
further described in a subsequent guideline document.
Needs Assessment
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The GIS needs assessment is designed to produce two critical pieces of information:
• The list of GIS functions that will be needed
• A master list of geographic data.
These two information sets are extracted from a set of GIS application descriptions, a list of
important data, and a description of management processes. Standard forms are used to
document the results of user interviews. The information gained in the needs assessment activity
goes directly into the Conceptual GIS Design activity.
Conceptual Design of the GIS System
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The conceptual design of the GIS system is primarily an exercise in database design. It includes
formal modeling (preparation of a data model) of the intended GIS database and the initial stages
of the database planning activity. Database planning is the single most important activity in
GIS development. It begins with the identification of the needed data and goes on to cover
several other activities collectively termed the data life cycle - identification of data in the needs
assessment, inclusion of the data in the data model, creation of the meta data, collection and
entry of the data into the database, updating and maintenance, and, finally, retention according to
the appropriate record retention schedule. A complete data plan facilitates all phases of data
collection, maintenance and retention and as everything is considered in advance, data issues do
not become major problems that must be addressed after the fact with considerable difficulty and
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aggravation. The product of the conceptual design activity is a data model which rigorously
defines the GIS database and supports the detailed database planning activity.
The conceptual design of the GIS also includes identification of the basic GIS architecture (type
of hardware and GIS software), estimates of usage (derived from the Needs Assessment), and
scoping the size of the GIS system. All of this is done with reference to the existing data
processing environments (legacy systems) that must interface with the GIS. This guideline also
includes a section on metadata and data standards.
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A survey of available data can commence once needed data have been identified in the Needs
Assessment. This task will inventory and document mapped, tabular and digital data within the
local government as well as data available from other sources, such as federal, state, or other
local governments and private sector organizations. The entries in this inventory may include
other GIS systems within the local area from which some of the needed data may be obtained. If
there exists an organized data sharing cooperative or other mechanism for government data
sharing, it should be investigated at this time. There also exists the possibility that one or more of
the commercial GIS database developers may be able to supply some of the needed data and
should therefore be investigated. The documentation prepared at this point will be sufficient to
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evaluate each potential data source for use in the GIS. Information collected at this point will
also form part of the metadata for the resulting GIS
Survey Of Available GIS Hardware And Software
Almost all local government GIS programs will rely on commercially available GIS software. As
a result, a survey of the available GIS systems needs to be conducted. During this activity, the
GIS functionality of each commercial GIS system can be documented for later evaluation.
Detailed Database Design and Planning
The detailed database planning and design task includes the following activities: developing a
logical or physical database design based on the data model prepared earlier, evaluating the
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potential data sources, estimating the quantities of geographic data, estimating the cost of
building the GIS database and preparing the data conversion plan. Concurrent with the detailed
planning for the database, pilot studies and/or benchmark testing that are desired can be
executed. Information gained from these studies and tests will be needed to estimate the size of
the equipment (disk space, main memory etc.) and to determine how much application
development will be necessary. Subsequently, plans for staffing, staff training, equipment
acquisition and installation, and user training must be completed. After the preparation of all
these plans, the entire cost of the GIS will be known and the final feasibility assessment can be
made.
Pilot Study and Benchmark Tests
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Pilot studies and benchmark tests are intended to demonstrate the functionality of the GIS
software -simply put what the commercial GIS from the vendor can do. These tests are useful to
demonstrate to potential users and management what the GIS will do for them. Also,
performance data of the GIS system can be determined.
GIS Database Construction
Database construction (sometimes referred to as "database conversion") is the process of
building the digital database from the source data - maps and tabular files. This process would
have been planned during the previous activity and the main emphasis here is management of the
activity and quality assurance/quality control of the converted data. The conversion process is
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often "contracted-out" and involves large quantities of source maps and documents. Close and
effective management is the critical factor in successful data conversion.
Unlike many other computer applications, a GIS is not a "plug and play" type system. The
several components of a GIS must be acquired according to well documented specifications. The
database must be created in a careful and organized manner. Once all the individual
components have been acquired, they must be integrated and tested. Users must be introduced to
the system, trained as necessary, and provided with adequate assistance to begin use of the GIS.
Parts of the GIS which may appear to work fine individually may not work properly when put
together. The GIS system staff must resolve all the problems before users can access the GIS.
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"Application" is a general term covering all things that "go on" in a GIS. First, there are
"database applications." These are all the functions needed to create, edit, build, and maintain the
database, and are usually carried out by the GIS systems staff. Some users may have
responsibility for updating selected parts of the GIS database; however the entire database should
be under the control of a "database administrator." Other applications are termed "user
applications." Contemporary GISs provide many simple applications as part of the initial
software package (e.g., map display, query, etc.). More complex applications, or ones unique to
a particular user, must be developed using a macro-programming language. Most GISs have a
macro-programming language for this purpose (e.g., Arc Macro Language (AML) in
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ARC/INFO™. and Avenue in ArcView™). The applications needing development by the GIS
systems staff will have been described during the Needs Assessment on the GIS Application
forms.
GIS System Use and Maintenance
After having described the rather large task of creating a GIS, we can now say that use and
maintenance of the GIS and its database will likely require as much attention as was needed to
initially build it. Most GIS databases are very dynamic, changing almost daily, and users will
immediately think of additional applications that they would like to have developed. Formal
procedures for all the maintenance and updating activities need to be created and followed by the
GIS system staff and by all users to ensure continued successful operation of the GIS.
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8. SUMMARY
This document has presented an overview of the GIS development process, with an emphasis on
data and database issues. All of the tasks and issues identified in this document will be described
in detail in the remaining eleven guidelines of this series. The procedures are presented as
"guides," and not as a "cookbook recipe" which must be rigorously followed. Each of the major
tasks in the GIS development process and the information generated within the task should be
addressed in any specific project. The methods and forms used in this series can be used, or
alternatives can be developed, as appropriate to the situation. The one matter to always keep in
mind is that the GIS plan is a document to communicate user needs to a GIS analyst. The
components of the plan must contain:
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• Descriptions of applications that are understandable to the user

• A logical translation of user requirements to system specifications
• Detailed specification suitable for system development
Following the recommendations in these guidelines cannot, unfortunately, guarantee success.
Many of the factors, outside the control of the GIS development team, will affect the ultimate
success of the GIS - success being defined as use of the GIS by satisfied users. However, the
authors of these guidelines believe that attempting to develop a GIS without following these, or
similar procedures, substantially raises the probability of an unsuccessful GIS project - either one
that is not useful or one that substantially exceeds both cost and development time estimates.
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Finally, although presented here as an independent activity, GIS development must recognize
and interface with other computer systems in local government, such as E911, police and fire
dispatch, facilities management systems, etc. . The GIS must not be viewed as independent of the
other systems, but integrated with them, no matter how difficult, to form a true corporate
database for local government.
9. REFERENCES
1. Fischer, Manfred M. and Nijkamp, Peter, "Geographic Information System, Spatial
Modeling, and Policy Evaluation," Berlin & New York: Springer-Verlag, 1993, pg. 42.
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2. Abler, R.F., 1987, "The National Science Foundation National Center for Geographic
Information and Analysis" International Journal of Geographical Information Systems, 1,
no. 4, 303-326.
SUGGESTED READINGS
1. Antenucci, John C., et.al., Geographic Information Systems: A Guide to the Technology,
New York: Van Nostrand Reinhold, 1991 (ISBN 0-442-00756-6)
2. Aronoff, Stan, Geographic Information Systems: A Management Perspective, Ottawa:
WDL Publications, 1989 (ISBN 0-921804-00-8)
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3. Burrough, P.A., Principles of Geographical Information Systems for Land Resources

Assessment, Oxford: Oxford University Press, 19865. (ISBN 0-19-854563-0); ISBN 0-
19-854592-4 paperback).
4. Huxhold, William E., An Introduction to Urban Geographic Information Systems,
Oxford: Oxford University Press, 1991 (ISBN 0-19-506534-4)
5. Korte, George B., A Practitioner's Guide: The GIS Book, Sante Fe: OnWord Press, 1992
(ISBM 0-934605-73-4)
6. Laurini, Robert and Derek Thompson, Fundamentals of Spatial Information Systems,
London: Academic Press Limited (ISBN: 0-12-438380-7)
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7. Montgomery, Glenn E., and Harold C. Schuck, GIS Data Conversion Handbook, Fort
Collins: GIS World, Inc. (ISBN 0-9625063-4-6)
GIS INFORMATION SOURCES
Scholarly journals
There are a number of scholarly journals that deal with GIS. These are published on an on-going
basis.
• Cartographica - Contact: Canadian Cartographic Association
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• Cartography and Geographic Information Systems - Contact: American Cartographic

Association
• International Journal of Geographical Information Systems - Contact: Keith Clark at
CUNY Hunter College, New York City
• URISA Journal - Contact: Urban and Regional Information Systems Association
Trade magazines
There are a number of trade magazines that are focused on GIS. They are:
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GIS World
GIS World Inc.
155 E. Boardwalk Drive
Suite 250
Fort Collins, CO 80525
Phone: 303-223-4848
Fax: 303-223-5700
Internet: info@gisworld.com
Business Geographics
GIS World, Inc.
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155 E. Boardwalk Drive

Suite 250
Phone: 303-223-4848
Fax: 303-223-5700
Geo Info Systems
Advanstar Communications
859 Williamette St.
Eugene, OR., 97401-6806
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Phone: 541-343-1200
Fax: 541-344-3514
Internet:geoinfomag@aol.com
WWW site: http://www.advanstar.com/geo/gis
GPS World
859 Williamette St.
Eugene, OR., 97401-6806
Phone: 541-343-1200
Fax: 541-344-3514
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WWW site: http://www.advanstar.com/geo/gis
Conference Proceedings
American Congress on Surveying and Mapping (ACSM)
5410 Grosvenor Lane
Bethesda, MD, 20814
Phone: 301-493-0200
Fax: 301-493-8245
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American Society for Photogrammetry and Remote Sensing (ASPRS) & (GIS/LIS)
5410 Grosvenor Lane
Bethesda, MD, 20814
Phone: 301-493-0290
Fax: 301-493-0208
Association of American Geographers (AAG)
1710 Sixteenth St. N.W.
Washington D.C., 20009-3198
Phone: 202-234-1450
Fax: 202-234-2744
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Automated Mapping/Facility Management International (AM/FM International)

14456 East Evans Ave.
Aurora, CO, 80014
Phone: 303-337-0513
Fax: 303-337-1001
Canadian Association of Geographers (CAG)
Burnside Hall, McGill University
Rue Sherbrooke St. W
Montreal, Quebec H3A 2K6
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Phone: 514-398-4946
Fax: 514-398-7437
Canadian Institute of Geomatics (CIG)
206-1750 Rue Courtwood Crescent
Ottawa, Ontario, K2C 2B5
Phone: 613-224-9851
Fax: 613-224-9577
Urban And Regional Information Systems Association (URISA)
900 Second St. N.E.
Suite 304
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Washington, D.C. 20002

Phone: 202-289-1685
Fax: 202-842-1850
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Database Construction
1. INTRODUCTION
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Scope Of Database Construction

A database construction process is divided into two major activities
• Creation of digital files from maps, air photos, tables and other source documents;
• Organization of the digital files into a GIS database.
This guideline document describes the first process, digital conversion, and the subsequent
guideline entitled "GIS System Integration" deals with the organization of the digital files into a
database.
2. INFORMATION REQUIRED TO SUPPORT DATA CONVERSION PROCESS
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Data Model
GIS technology employs computer software to link tabular databases to map graphics, allowing
users to quickly visualize their data. This can be in the form of generating maps, on-line queries,
producing reports, or performing spatial analysis.
GIS (Spatial) Data Formats
In digital form, GIS data is composed of two types: map graphics (layers) and tabular
databases.
• Map graphics represent all of the features (entities) on a map as points, lines, or areas, or
pixels.
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• Tabular databases contain the attribute information which describes the features
(buildings, parcels, poles, transformers, etc.).
GIS data layers are created through the process of digitizing. The digitizing process produces the
digital graphic features (point, line or area) and their geographical location. Tables can be created
from most database files and can be loaded into a GIS from spreadsheet or database software
programs like Excel™, Access™, FoxPro™, Oracle™, Sybase™, etc. A common key must be
established between the map graphics and the tabular database records to create a link. This link
is usually defined during the scrubbing phase (data preparation) and created during data capture
(digitizing). For parcel data, the parcel-id or SBL number (section, block and lot) is a good
example of a common key. The map graphic (point or polygon) is assigned an SBL number as it
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is digitized. The database records are created with an SBL number and other attributes of the
parcel (value, landuse, ownership, etc.).
Raster and Vector Format
GIS allows map or other visual data to be stored in either a raster or vector data structure:
There are two types of raster or scanned image: 1) remotely sensed data from satellites; and 2)
scanned drawings or pictures. Satellite imagery partitions the earth's surface into a uniform set of
grid cells called pixels. This type of GIS data is termed raster data. Most remote sensing devices
record data from several wave-lengths of the electromagnetic spectrum. These values can be
interpreted to produce a "classified image" to give each pixel a value that represents conditions
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on the earth's surface (e.g., land use/land cover, temperature, etc.). The second type of scanned
image is a simple raster image where each pixel can be either black or white (on or off) or can
have a set of values to represent colors. These scanned images can be displayed on computer
screens as needed.
Raster data is produced by scanning a map, drawing or photo. The result is an array of pixels
(small, closely packed cells) which are either turned "on" or "off." A simple scanned image, for
example, in TIFF (Tagged Image File format) format, does not have the ability to be utilized for
GIS analysis, and is used only for its display value. The "cells" of the digital version of the image
do not have any actual geographical nature as they represent only the dimensions of the original
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analog version of the image. Raster data in its most basic form is purely graphical and has no
"intelligence" or associated database records.
Raster data can be enhanced to provide spatial analysis within a GIS. Pixels or cells represent
measurable areas on the earth's surface and are linked to attribute information. These cells are
assigned numeric values which correspond to the type of real-world entity which is represented
at that location (e.g., cells containing value "2" may represent a lake, cells of value "3" may
represent a particular wooded area, etc.).
• Vector data represents map features in graphic elements known as points, lines and
polygons (areas).
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Vector graphics coordinates are represented as single, or a series of, xy-coordinates. Data is
normally collected in this format by tracing map features on the actual source maps or photos
with a stylus on a digitizing board. As the stylus passes over the feature, the operator activates
the appropriate control for the computer to capture the xy-coordinates. The system stores the xy-
coordinates within a file. Vector data can also be collected on-screen (called "heads-up"
digitizing), by tracing a scanned image on the computer screen in a similar manner.
3. DATA CONVERSION TECHNOLOGIES AVAILABLE
Manual Digitizing
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Manual digitizing involves the use of a digitizing tablet and cursor tool called a "puck", a plastic
device holding a coil with a set of locator cross-hairs to select and digitally encode points on a
map. A trained operator securely mounts the source map upon the digitizing tablet and, utilizing
the cross hairs on the digitizing puck, traces the cross hair axis along each linear feature to be
captured in the digital file. The tablet records the movement of the puck and captures the features
coordinates. The work is time-consuming and labor intensive. Concentration, skill and hand-eye
coordination are crucial in order to maintain the positional accuracy and completeness of the map
features.
Traditional data conversion efforts are based on producing a vector data file compiled by
manually digitizing paper maps. Vector data provides a high degree of GIS functionality by
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associating attributes with map features, allowing graphic selections, spatial queries and other
analytical uses of the data. Vector data also carries with it the highest costs for conversion. The
industry average for a complete data conversion project to digitize parcel lines, dimensions and
text is between $3.00 - $5.00 per parcel. The price is determined by the complexity and amount
of data. To keep costs down, data can be selectively omitted from conversion (i.e. not all text and
annotation will be captured). The resulting vector data can reproduce a useful, albeit more
visually stark version of the original map. A bare bones data conversion project can be conducted
by digitizing only the linework from the tax maps. The minimum industry cost for digitizing
parcel line work with a unique ID only is between $1.00 to $1.50 per parcel.
Scanning
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Scanning converts lines and text on paper maps into a series of picture elements or pixels. The
higher the resolution of the scanned image (more dots per square-inch), the smoother and more
accurately defined the data will appear. As the dots per inch (DPI) increases, so does the file size.
Most tax maps should be captured with a scan resolution of 300-400 DPI. One of the main
advantages to scanning is that the user sees a digital image that looks identical to their paper
maps -- complete with notes, symbology, text style and coffee stains, etc. Scanning can replicate
the visual nature of the original map at a fraction of the cost of digitizing. However this low cost
has a "price". The raster image is a dumb graphic -- there is no "intelligence" associated with it,
i.e. individual entities cannot be manipulated. Edge-matching and geo-referencing the images
(associating the pixels with real world coordinates) improves the utility of the scanned images by
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providing a seamless view of the raster data in an image catalog. Scanned images require more
disk space than an equivalent vector dataset, but the trade-off is that the raster scanning
conversion process is faster and costs less than vector conversion.
Raster to Vector Conversion
Scanned data, in raster format, can be "vectorized" (converted into vector data) in many high-end
GIS software packages or through a stand-alone data conversion package. Vectorizing simply
involves running a scanned image through a conversion program. In the vectorization process,
features which are represented as pixels are converted into a series of X,Y points and/or linear
features with nodes and vertices. Once converted within a GIS environment, the data is in the
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same format created using a digitizing tablet and cursor. Many vectorized datasets require
significant editing after conversion.
Hybrid Solution
Since both vector and raster datasets have decided advantages and disadvantages, a hybrid
solution capitalizes on the best of both worlds. Overlaying vector format data with a geo-
referenced backdrop image provides a powerful graphic display tool. The combined display
solution could show the vector map features and their attributes (also available for GIS query),
and an exact replica of the scanned source material which may be a tax map or aerial
photography. If needed, individual parcels, pavement edges, city blocks or entire maps can be
vectorized from the geo-referenced scanned images. This process is called incremental
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conversion. It allows the county to convert scanned raster data to vector formatted data on an as-
needed basis. There are a plethora of raster to vector conversion routines on the market, but it is
important that the conversion take place in the same map coordinate system and data format as
your existing data. The key advantage to the hybrid approach is this: even after full vectorization,
the scanned images continue to provide a higher quality graphic image as a visual backdrop
behind the vector data.
Entry of Attribute Data
Additional attribute data can be added to the database by joining a table which contains the new
attributes to an existing table already in the GIS. To join these tables together a common field
must be present. Most GIS software can then use the resulting table to display the new attributes
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linked to the entities. There are various sources for building an attribute database for a GIS. From
CD-ROM telephone and business market listings with addresses, to data which is maintained in
various government databases in "dbase" or various other database formats.
Acquisition of External Digital Data
The availability of existing digital data will have an effect upon the design of the database.
Integrating existing databases with the primary GIS will require the establishment of common
data keys and other unique identifiers. Issues of data location, data format, record match rates,
and the overall value of integrating the external data should all be considered before deciding to
purchase or acquire existing datasets.
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GIS Hardware And Software Used in Digital Data Conversion

Most contemporary GIS software packages are structured to operate on computer workstations to
accomplish digitizing and editing tasks.
Four basic types of workstations can be identified:
• A digitizing station, a workstation which is connected to a precision digitizing tablet,
which utilizes a high-resolution display terminal, and which also has all of the analysis
functions necessary for querying, displaying and editing data
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• An editing workstation, which is used for conducting most of the QA/QC functions of the
conversion process, having all the functionality of the digitizing station except for the
ability to digitize data via a digitizing tablet
• Graphic data review/Tabular data input workstations are used for displaying and
reviewing graphic data, and for the entering of tabular attribute data associated with these
features
• X Terminals are the fourth type of workstation and these allow for graphic display and
input of data utilizing the X Window System communications protocol.
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With the increasing power of todays personal computers, many GIS analysis packages are being
designed for PCs. As GIS data files are very large, PC-based GIS packages usually require a PC
with minimum requirements including a 486 processor and 16 megabytes of RAM. Hard-drive
disk space depends upon how large the datasets are which are being used. A safe bottom-line for
hard-drive space with a PC is 500 megabytes. For most data conversion projects, much more
hard-drive space will be needed in order to store data as they are converted. Tape storage
hardware is also necessary in order to efficiently backup the many megabytes of files created in
the conversion process. Just to provide an idea of the storage requirements necessary for basic
scanning conversion, the file-size of one tax map alone, in (Tagged Image File Format or TIFF)
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image format, scanned at a 500 dots per inch (dpi) resolution, can range anywhere from 1-3
megabytes.
Digitizing hardware requirements vary according to the conversion approach which is applied.
For vector conversion, a digitizing tablet will be necessary in usually a manual digitizing
process. Another piece of digitizing hardware, a scanner, is used to create raster images.
Automatic digitization, through the use of a scanner is a very popular approach for capturing
data. Raster data can subsequently be transformed into vector data in most turn-key GIS
packages, through the use of raster-to-vector conversion algorithms.
After the conversion of map data into digital form, hardware will be needed for outputting digital
data in hardcopy format. When handling a data conversion project, a necessary piece of output
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hardware is a pen or raster plotter. GIS software allows for the creation of plots at any viewscale.
The plotter, with its ability to draw on a variety of materials (including paper, mylar and vellum),
allows for the creation of quality map plots. Most plotters usually have a minimum width of
three feet. Vector and raster plotters are both available on the market. Vector, pen plotters utilize
various pens for the drawing of linear features on drawing media. Pen plotters can handle most
plotting jobs, but they do not produce good results in area shading such as in the production of
cholorpleth maps. Raster plotters, on the other hand, are excellent in producing shading results.
Raster plotters usually cost more than vector plotters, but are substantially more versatile and
have better capabilities.
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Other output devices for the creation of hardcopies of GIS data include: screen copy devices,
used for copying screen contents onto paper without having to produce a plot file; computer
FAX (facsimile) transmissions, often used in communications between conversion contractors
and clients, produce small letter-size plots, and the fax transmission files (as raster images) can
be saved and viewed later; printers are used to output tabular data which is derived from the GIS,
and if configured correctly, can produce small letter-size plots.
Pilot Project/Benchmark Test Results
The pilot project is a very important activity that precedes the data conversion project. The pilot
project allows you, the GIS software developer, and the data conversion contractor the ability to
test and review the numerous steps involved in creating the database. Defining the pilot study
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area involves selection of a small geographic area which will allow for a high degree of being
successful, that is, that it will be completed in a relatively short period of time and will allow for
the testing of all project elements which are necessary (conversion procedures, applications,
database design). Test results which are obtained from the pilot project usually include
assessments of: database content, conversion procedures, suitability of sources, database design,
efficiency of prepared applications on datasets, the accuracy of final data, and cost estimates.
Identified Problems With Source Data
The pilot study involves testing and finding successes and problems in procedures and designs
for the GIS. It involves looking for problems that occur due to lack of, or inadequacy in, source
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data. It is important to identify problems especially at the source data level since it is usually the
easiest and cheapest to correct errors prior to data conversion.
When evaluating the results of a pilot study, problems with digital data accuracy resulting from
source data flaws, are bound to arise. Usually, the source data used for a project are not in the
proper format required for the best possible data result. For example, problems may arise when
the source data for a certain data layer consists of maps which are at various scales. These
various scale differences can create error when these digitized layers are joined into a single
layer. Other problems arise when there are not adequate control points found upon map sheets in
order to accurately register coverages while they are being digitized. At times, even adjacent
large-scale source map sheets may have positional discrepancies between them. Such
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inconsistencies will be reflected in the corresponding digital data. Procedures for dealing with all
known source data problems need to be specified prior to the start of data conversion.
4. DATA CONVERSION CONTRACTORS
Firms Available And Services Offered
There are different types of firms which can handle GIS data conversion. There are some firms
which specialize in GIS data conversion, and sub-contract out the services of other firms as
needed. Some other firms which handle data conversion but do not particularly specialize in data
conversion alone include: aerial mapping firms, engineering firms and GIS vendors. Various
firms will offer standard data conversion services, but based upon their main type of work, may
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offer some unique services. For example, a firm specializing in GIS data conversion may have a
wide variety of software options which the client company can choose from. Such a firm usually
will have numerous digitizing workstations and a large staff, and be able to complete the project
in a shorter period of time than other firms which do not particularly specialize in GIS data
conversion. If needed, a specialized GIS data conversion company could subcontract services
from another company.
Aerial mapping firms can offer many specialized data conversion services associated with
photogrammetry, which will not be available directly through a general data conversion
contractor. Many aerial mapping firms now have considerable expertise with the creation of
digital orthophoto images, rectified and scaled scans of aerial photography, which can be
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displayed and utilized with vector data. Engineering and surveying firms are well-equipped to
deal with most data conversion projects, and will usually have a major civil
engineering/surveying unit within the organization. These firms usually will focus upon certain
aspects of GIS systems and approach conversion projects with stress upon the extent of
construction detail, positional accuracy requirements, COGO input, scale requirements and
database accuracy issues. At times, GIS software vendors will handle data conversion projects in
order to test their software in benchmark studies and pilot projects.
The main conversion services which are usually offered include: physical GIS database design
and implementation, deed research, record compilation, scrubbing, digitizing, surveying,
programming and image development and registration.
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Approximate Cost of Services

Outsourcing data conversion with data purchase/ownership
CONVERSION METHOD PER-PARCEL COST
Manually digitized vector data (linework alone) $1.20 / Parcel
Manually digitized vector data (linework & annotation) $5.00 / Parcel
Vector data developed from the vectorization of scanned maps
$3.00 / Parcel
(linework & Annotation)
Raster image data (registered to a coordinate system) $50. / map = $0.55 / Parcel
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Outsourcing Data Conversion and Licensing Data

CONVERSION METHOD PER-PARCEL COST
Manually digitized Vector Data (Linework and
$1.50 / Parcel
Annotation)
(No cost estimates are available for Raster
Data)
(Note: All of the above cost estimates are based upon average prices offered by various data
conversion vendors)
Making Arrangements For External Data Conversion
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There are a number of ways of obtaining the digital conversion of map data. Arrangements are
usually made through the development of a Request for Proposal (RFP), and then evaluating the
proposals submitted by various conversion contractors. Some of the criteria which are desired in
selecting a conversion contractor include: the company's technical capability, the company's
experience with data conversion, the company's range of services, location, personnel experience
and the overall technical plan of operation. Balanced with all of these items is usually the
organization's budget and the costs associated with the project.
5. DATA CONVERSION PROCESSES
Digital Conversion Of Mapped Data
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Digital data conversion of mapped data is a costly and time-consuming effort. The more closely
the digital data reflects the source document, and the more attributes are associated with the map
features, the higher the map utility but also the higher the cost of conversion. Because of the high
cost of digitizing all graphic map features, and text/graphic symbology, conversion efforts may
compromise data functionality by limiting the number of features captured in order to keep costs
down. The actual processes involved with digital conversion of mapped data are usually the most
involved, and most time-consuming of all. These two traits together explain why data conversion
is usually the highest cost of implementing the GIS.
Planning The Data Conversion Process
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The data conversion process needs to be planned effectively in order to minimize the chance of
data conversion problems which can greatly disrupt the normal workflow of the organization. It
is necessary to plan all of the physical processes which will be involved in data conversion and
to develop time-estimates for all work. These main processes include:
• Specifications
• Source map preparation
• Document flow control
• Supervision plans
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• Problem resolution procedures

These procedures allow for the efficient conversion of mapped data. Guidelines for normal data
capture procedures such as scanning and table digitizing should be developed to ensure that all
data are consistently digitized. Particularly when an organization is conducting conversion in-
house, a small amount of time invested in developing error prevention procedures will greatly
benefit the organization by saving time in the correction/editing phase of the conversion. It is
easier to prevent errors than to go ahead and try to correct them after the actual digitizing has
been conducted.
Data Conversion Specifications: Horizontal And Vertical Control, Projection; Coordinate
System, Accuracy Requirements
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Any discussion about data conversion should start with the topic of accuracy. We've all heard the
expression, "Garbage In, Garbage Out." Without the ability to meet the proper accuracy
standards established early in a GIS conversion project, the resulting GIS may be useless based
upon its lack of accuracy. Even still, in reality, when building a GIS and handling data
conversion, we are faced with a variety of source documents which may each carry a different
scale, resolution, quality and level of accuracy. Some source map data may be so questionable
that it should not be loaded into the GIS. Extracting reliable data later-on from the GIS will
depend upon either the converting of data from reliable source documents, or the development of
new data "from scratch."
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Map projections affect the way that map features are displayed (as they affect the amount of
visual distortion of the map), and the way map coordinates are distributed. Before any GIS
graphic data layers will be ready for overlay functions, the layers must be referenced to a
common geographic coordinate system. GIS software can display data in any number of
projection systems, such as UTM (Universe Transverse Mercator), State Plane Coordinate
Systems, and more. For scanned maps and aerial photos (which are simple non-GIS raster
images), to be displayed effectively with vector data, the images need to be registered and
rectified to the same coordinate system.
Establishing specific requirements for map accuracy should be done at the beginning of a
project. If a certain level of accuracy is desired, it is this level which will have to be developed in
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future aspects of the project. Procedures should be standardized in order to ensure the best and
most consistent results possible.
Source Map Preparation (Pre-Digitizing Edits)
Preparing the analog data that will be converted is an important first step. This needs to be done
whether the data will be scanned or digitized, and whether you are outsourcing the work or
completing it in-house. This pre-processing is also referred to as "scrubbing" the data. The
process involves coding the source document using unique IDs and/or using some method to
highlight the data that should be captured from these documents. This makes it clear to the
person performing the scanning or digitizing what they should be picking up. It will also be
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important later for performing quality control checks and to make sure that the digital data has a
link to the attribute database needed for a GIS.
Document Flow Control
Without a clear system for monitoring and planning the flow of map (and attribute data)
documents between the normal storage locations of map documents and those parties handling
the actual data conversion, problems will usually arise in tracking the location of maps. When a
large number of maps are being converted, it is important to maintain a full understanding
between both the conversion contractor or in-house conversion staff, and the normal user group
of the source documents about exactly which documents are being handled, and at what time.
Source maps are delivered to the conversion group or contractor as a work packet, usually
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consisting of a manageable number of maps of a certain geographic region, which is pre-

determined within the data conversion workplan. A scheme for tracking packets of source
documents, as well as the resulting digital files is needed. This scheme should be able to track
the digital file through the quality control processes.
In addition to tracking the flow of documents and digital files through the entire data conversion
process, a procedure needs to be established for handling updates to the data that occur during
the conversion time period. This change control procedure may be quite similar to the final
database maintenance plan, however, it must be in place before any of the data conversion
processes are started. Also, if this procedure will likely be very different from the previous
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manual map updating methods used and may involve substantial restructuring of tasks and
responsibilities within the organization.
Supervision Plans (Particularly For Contract Conversion)
When planning the data conversion process, it is important that attention be given to the
development of detailed plans for supervising the data conversion process. Supervisory plans
allow the organization to distribute responsibility for the many different facets of the data
conversion project. When data conversion has been contracted out, it is important that
communication be maintained between the client company and the contractor. The development
of specific variations normal administrative tools used for scheduling and budget control can be
very useful (e.g., CPM/PERT scheduling procedures; GANTT charts, etc.)
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Problem Resolution Procedures

In order to ensure the efficient progress of all aspects of the data conversion project, it is
important to develop formal procedures for problem resolution. Editing procedures and data
standards should be developed for such items as: major and minor positional accuracy problems;
inaccurate rubber-sheeting, or map-joining/file-matching problems; attribute coding errors, etc.
Other procedures for events such as missing source data, handling various scale resolution
issues, and even hardware and software system problems should also be created. Establishing
such procedures and assigning responsibilities for resolution are extremely important,
particularly when outside contractors are involved.
Converting The Data
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As stated earlier, it is important to follow consistent pre-established procedures in the actual

digitizing of the datasets. Consistently using a tested and approved set of conversion guidelines
and procedures will eliminate any chance of ambiguity in methods. Using established procedures
will allow for the most consistent product possible.
Reviewing Digital Data
The digital data review process involves three issues:
• data file format and format conversion problems
• data quality questions
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• data updating and maintenance

The review process must first be handled before the decision to rely on other digital data sources
is made. Additionally, formal data sharing agreements should be made between the two
organizations.
Quality Control (Accuracy) Checking Procedures
A quality assurance (QA) program is a crucial aspect of the GIS implementation process. To be
successful in developing reliable QA methods, individual tasks must be worked out and
documented in detail. Data acceptance criteria is a very important aspect of the conversion
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program, and can be a complex issue. A full analysis of accuracy and data content needs will
facilitate the creation of documentation which may be utilized by the accuracy assessment team.
A combination of automatic and manual data verification procedures is normally found in a
complete QA program. The actual process normally involves validation of the data against the
source material, evaluation of the data's utility within the database design, and an assessment of
the data with regard to the standards established by the organization handling the conversion
project. Automated procedures will normally require customized software in order to perform
data checks. Most GIS packages today have their own macro programming languages which
allow for the creation of customized programs. Some automated QA procedures include:
checking that all features are represented according to conversion specifications (e.g., placed in
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the correct layer); features requiring network connectivity are represented with logical
relationships, for example, two different diameters of piping or two different gauges of wire must
have a connecting device between them which should be represented by a graphic feature with
unique attributes; relationships of connectivity must be maintained between graphic features
(Montgomery and Schuch, 143).
Manual quality control procedures normally involve creating and checking edit plots of vector
data against source map data. QA requirements which will have to be met include:
absolute/relative accuracy of map features should be met and all features specified on the source
map should be included on the edit plot; map annotation should be in required format (e.g.,
correct symbology, font, color, etc.) and text offsets should be within specified distance and of
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correct orientation; plots of joined datasets should have adequate edge matching capability
(M&S, 145).
Final Correction Responsibilities
Quality control editing of the digitized product is a crucial step in preparing spatial feature data.
After initially digitizing a data layer, an edit plot is produced of those digitized features. The edit
plot is a hard-copy printing of the digitized features. The edit plot is printed at the same scale as
the source data and checked by overlaying the plot with the source map on a light table. This edit
check allows for the determination of errors such as misaligned or missing features. Corrections
may then be made by adding or deleting and re-digitizing features. When on-screen digitizing,
feature placement errors may be corrected by "rubbersheeting" the graphic features to fit the
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source data. Rubbersheeting is the process of stretching graphic features through the
establishment of graphic movement "links" with a from-point (where the feature presently is
located), and a to-point (where the feature should be placed). GIS graphic manipulation routines
then move graphics according to these specified links.
File Matching Procedures (Edge Match, Logical Relationships Within Data, Etc.)
Files which are going to be spatially joined must first have adequate edge-matching alignment of
their graphic features. This entails a number of basic GIS graphic manipulation procedures: (1)
coordinate transformation, which projects the data layer into its appropriate real-world
coordinates; (2) rubbersheeting of the graphic features in one data file to accurately coincide with
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the adjacent graphic features in another file; (3) spatial joining, the combining of two or more
data files into one seamless file spanning the geographic area of all files.
Coordinate transformation is the process of establishing control points upon the digitized layer
and defining real-world coordinates for those points. A GIS coordinate transformation routine is
then used to transform the coordinates of all features on the data layer based upon those control
point coordinates. Once transformed, spatially adjacent data layers may then be displayed
simultaneously within their combined geographic extent. A determination may then be made as
to the effectiveness and accuracy of the coordinates assigned to the data layers. If necessary,
graphic features found in both data layers may be rubbersheeted to better align features which
will need to be connected. For example, if the endpoint of a graphic feature representing a street
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centerline is not reasonably close to its corresponding starting point on the adjacent data layer,
one or both of these graphic lines will have to be moved so that the graphic feature will connect.
An alignment problem such as this can signal possible errors in the coordinate transformation
and/or the source data. After features are accurately matched, the data files may be combined
into a single data file. The combined data file will afterwards require editing and the
development of new topological relationships in the new dataset. An example of one post-spatial
join editing procedure is the removal of graphic line-connection points called &quota;nodes"
which may interfere with various elements of the attribute database.
Final Acceptance Criteria
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Standards for appropriate quality assurance, and accuracy verification procedures in general,
depend greatly upon the data sources, the schematics of the database for which data is being
prepared, and the actual data conversion approaches applied. Acceptance of the joined digital
map files depends upon the data meeting certain criteria. Criteria usually relate to accuracy, such
as the determination of whether the product meet National Map Accuracy Standards at the
appropriate scale. Other criteria may relate to whether attributes are in order, if they have been
added. Most acceptance determinations should be made on whether the feature data is meeting
standards of accuracy, completeness, topological consistency, and attribute data content.
Building Main Database
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One of the final stages involved in developing a GIS database involves putting all the converted
data together. Establishing one uniform database involves entering all attribute and feature data
into a common database with an established workable file/directory structure, sometimes known
as a "data library." As the database is developed and data is ready for use, it can be released to
the various data users for analysis. Once the database is designed, it then becomes important to
maintain data accuracy and currency. If changes are made within the confines of the data layers,
these changes must be defined and updates made to keep the integrity of the database.
Subsequent guideline documents deal with data integration and database maintenance.
6. ATTRIBUTE DATA ENTRY
Source Documents
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There are a number of source documents which can be utilized as data for the attribute database.
Many organizations are able to utilize their existing electronic database files and import this data
directly into their GIS database. In the case of paper files relating to geographic areas, and
attribute data existing on paper maps, this data will have to be manually entered into GIS
attribute data files in the form of tables. Before this information is entered into a database, it
must first be reviewed and edited. It is also important to have a procedural plan designed for the
entry of this data in order to coordinate the flow of these source documents.
Pre-Entry Checking And Editing
A review of GIS attribute source documents can oftentimes reveal an unorganized mass of maps,
charts, tables, spreadsheets, and various textual documents. The checking and editing of source
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documents is handled in the scrubbing phase of the project. Without a specific plan designed for
the entry of these various data elements, it is highly likely that error will be introduced into the
GIS database. It is crucial that all source documents are readable and properly formatted to
allow for the most efficient entry of numerical and textual data. If the database conversion is
being outsourced, and the contractor is unable to read the source data, the resulting database will
be inaccurate more costly, or both. It is recommended that a formal scrub manual, designed
according to the database and application requirements, be developed to help facilitate the
supplementing of source data and its entry into the database. Logical consistency is an important
element for both graphic and attribute elements. Records and attributes which are related to
graphic elements within a network system must maintain logical relationships.
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Document Flow Control

An organization will typically have a multitude of different document formats which it will need
in coding all of its GIS attribute data. It is crucial that tracking mechanisms be implemented in
preparation for the key entry process. Usually duplication of source documents which will be
used in the key entry process will not be feasible. As many source documents to be key entered
are used on a regular basis within the organization, it will be important to develop guidelines for
tracking these documents if they are needed during the process. Timing and coordination will be
factors in planning document usage.
Key Entry Process
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As stated earlier, some organizations will be able to enter much tabular data into the database
simply by way of importing existing tables or files into the GIS, or relating tables which exist in
their external DBMS. Normally, it will be necessary to enter attribute data into the system
utilizing a keyboard. Many organizations choose to use lists when entering data from the
keyboard. It is much more efficient during conversion to enter a 2 or 3-digit code which has a
reference list associated with it. Typing in a full description of the graphic into the text field
takes longer, and increases the chance of typographical error.
Digital File Flow Control
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Numerous files will result from the key entry process. These files will need to be given proper
names and directory locations in order to track and prepare the data logically for use within the
GIS.
Quality Control Procedures
Most databases allow the user to specify the type of field for each data element, whether it is
numeric, alphanumeric date, etc.; whether it has decimal places, and so on. This feature can help
prevent mistakes as the system will not allow entries other than those specified in advance.
There are a number of automated and manual procedures which can be performed to check the
quality of attribute data. Some customized programs may be required for the testing of some
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quality control criteria. Some attribute value validity checks which may be performed include:
verifying that each record represents a graphic feature in the database, verifying that each feature
has a tabular record with attributes associated with it, determining if all attribute records are
correct, and determining that all attributes calculated from certain applications must be correct
based upon the input values and the corresponding formulas. The translation of obsolete record
symbology into a GIS usable format, according to conversion specifications, is one procedure
which will have to be conducted manually (Montgomery and Schuch, 145).
The responsibility for checking and maintaining automated quality control procedures can be
placed in the hands of the staff responsible for actual data conversion. When outsourcing data
conversion, one of the most time-consuming aspects of the project is the evaluation of converted
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data once it has been received from the vendor. Usually, automated routines are developed which
can be utilized in the evaluation of the datasets, and in determining if the data fulfills all of the
requirements and standards stated in the contract. This process can be simplified by the client
company delivering automated quality control checking routines to the data conversion vendor.
The vendor is then able to run these routines, evaluate and edit the data so that it will meet
requirements before it is even shipped to the client. Such a procedure saves valuable time and
expenses which would otherwise have been spent on quality control evaluation, shipping and
business communication.
Change Control
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Final editing procedures and data acceptance are based upon whether major revisions in the data
will need to be performed. After data verification and quality assurance checks, it may be
necessary to again re-evaluate database design, technical specifications of the data, and
conversion procedures overall. Ideally, the planning and design of the database will be
sufficiently comprehensive and correct such that the logical/physical database design will not
have to be modified. However, it is rare that a data conversion project will be able to push
through to completion without some changes being necessary. Many conversion projects develop
procedures which are used to identify, evaluate and then to approve or disapprove the final
products. A form should be developed which is used to list desired changes which have been
identified. The listing of desired changes is then evaluated in terms of both the volume of the
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data which has yet to be edited, and the amount of data which has already been converted. The
conversion vendor will usually develop documentation which describes the estimated
cost/savings which will be associated with the changes and final edits. Most organizations now
accept the fact that changes will be a normal part of data conversion and change requests are
usually expected. The challenge then lies in the methods by which change mechanisms are
developed and agreed upon between client and vendor.
Final Acceptance Criteria
Acceptance criteria are the measures of data quality which are used to determine if the data
conversion work has been performed according to requirements specified. In the case of
outsourcing of conversion, these criteria will determine if the data has been prepared according
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to the contract specifications. If the data does not meet these specifications, the conversion
contractor will be required to perform any necessary editing upon the data to reach acceptable
standards. Acceptance criteria and standards may vary between organizations.
File Matching And Linking
In most GIS packages which utilize relational database technology, the file matching and linking
is a fairly simple process. Most GIS packages contain straight-forward procedures for joining
and relating attribute files, which normally entails the selection of the unique identifying key
between the graphic feature attribute table and any other data attribute tables. Once the identifier-
link has been specified, the GIS software automatically establishes the relationship between the
tables, and maintains the relationship between them.
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7. EXTERNAL DIGITAL DATA

Sources Of Digital Data
Digital spatial and attribute data can be found from a variety of sources. Various companies
today produce "canned" digital spatial datasets which are ready for use within a GIS
environment. Utilizing an existing database is a good way to supplement data in the conversion
process and is one of the best ways to save money on the cost of producing a database. Most
federal, state, and local government agencies have data which is available to the public for
minimal cost.
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Two of the largest spatial databases which are national in coverage include the US. Geological
Survey's DLG (Digital Line Graph) database, and the U.S. Census Bureau's TIGER
(Topologically Integrated Geographic Encoding and Referencing) database. Both systems
contain vector data with point, line and area cartographic map features, and also have attribute
data associated with these features. The TIGER database is particularly useful in that its attribute
data also contains valuable Bureau of the Census demographic data which is associated with
block groups and census tracts. This data is used today in a variety of analysis applications.
Many companies have refined various government datasets, including TIGER, and these datasets
offer various enhancements in their attribute characteristics, which increases the utility of the
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data. Unfortunately, problems associated with the positional accuracy of these datasets usually
remain and are much more difficult to resolve.
Satellite and digital orthophoto imagery, raster GIS datasets, and tabular datasets are also
available from various data producing companies and government agencies.
Transfer Specifications
Many government agencies produce spatial data which is in its own unique format. Many full-
feature GIS packages have the ability to import government spatial datasets into data layers
which are usable within their own environment. Some agencies or companies may produce their
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data in the most common data formats for government data in the transfer of their data (e.g.
TIGER or DLG format). Such policies allow for easy transfer to various systems.
Quality Control Checks
Quality control checks on external datasets will be necessary. Many government datasets,
although extensive in their geographic coverage and in the utility of the associated data, do not
always have the most accurate or complete data, particularly in terms of positional accuracy. It is
always advisable to be skeptical of a dataset's accuracy statement and compliance with standards
and to fully test and evaluate the data before purchasing it or incorporating it into the database.
Various automated and manual quality control procedures, discussed for both assessing
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cartographic feature and attribute characteristics should be utilized in a quality assurance

evaluation of the external data.
8. ACCURACY AND FINAL ACCEPTANCE CRITERIA
Acceptance criteria determine to what standards data must comply in order to be usable within
the system. Graphic acceptance standards for external digital data may be identified in three
different cartographic quality types which include: relative accuracy, absolute accuracy and
graphic quality. Standards for GIS data will normally depend upon the accuracy required of the
dataset. In the GIS environment, accuracy will depend upon the scale at which the data is
digitized, and at which scale it is meant to be used.
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• Relative accuracy is basically a measure of the normal deviation between two objects on
a map and is normally described in terms of + or - the number of measurement units
(normally inches or feet) the feature is located apart from its neighboring map features, as
compared to their locations in the real-world.
• Absolute accuracy criteria will evaluate the measure of the maximum deviation between
the location of the digital map feature and its location in the real-world. Many
organizations set their absolute accuracy standards based upon National Map Accuracy
Standards.
• Graphic Quality refers to the visual cartographic display quality of the data, and pertains
to aspects such as the data's legibility on the display, the logical consistency of map
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graphic representations, and adherence to common graphic standards. Placement and

legibility of annotation, linework, and other common map elements all fall under graphic
quality.
Informational quality is another accuracy criteria component which should be given much
attention in building a database. Informational quality relates to the level of accuracy for both
map graphic features and to their corresponding tabular attribute data. There are four basic
categories for assessing these qualities:
• completeness
• correctness
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• timeliness
• integrity
Together, these aspects of informational quality comprise the extent to which the dataset will
meet the basic requirements for data conversion acceptance.
Completeness is an assessment of the dataset's existing features against what should currently be
located within the dataset. Completeness may relate to a number of digital map features:
annotation symbols, textual annotation, linework. Completeness will also relate to the attribute
data, and whether all of the necessary attributes are accounted for. A typical requirement for the
bottom limit of dataset completeness, when outsourcing conversion, is that not more than 1% of
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the required features and attributes will be missing from the digital dataset. For example, out of
80 roads that are located within a geographic area, if only 72 are included on the map, then only
90% of the data is included, and thus the map is only 90% complete.
Correctness is that quality which relates to the truth and full knowledge of the information
contained. If a map shows a number of roads, and the linework is positioned correctly, but is not
labeled correctly, there is a problem with correctness. Correctness applies both to map features
and to attribute data. If a dataset has the positional accuracy, or the completeness in terms of
placing an object, but does not have the correct label for that object, this is a problem with the
correctness of the dataset. Evaluating correctness can be done through automated or manual
procedures. Validation procedures are those which would be utilized in the testing of the
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datasets. An example of assessing correctness might include the matching of one dataset source
against another to check for data accuracy from the various matching qualities. Every graphic
and database feature has the potential for error.
Timeliness is another measure of informational quality, and it is a unique form of correctness.
Timeliness is based upon the currency of a dataset, and if it is not up-to-date, or current, then the
dataset must be of a specified age. The timeliness of a dataset begins from the date the dataset
arrives at the client's door. From that point on, it is the responsibility of the client organization to
maintain the data, and its currency.
The integrity of a dataset is a measure of its utility. Graphically, database integrity means that the
dataset is maintaining its connectivity and topological consistency. In it, all lines are connected,
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there are no line overshoots or undershoots, and all feature on the display are representative of
real-world features. In order to maintain database integrity, there should not be any missing or
duplicate records or features.
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Needs Assessment
1. INTRODUCTION
A needs assessment is the first step in implementing a successful GIS within any local
government. A needs assessment is a systematic look at how departments function and the
spatial data needed to do their work. In addition to the final needs assessment report that is
generated, intangible benefits are realized by an organization. Conducting a GIS needs
assessment fosters cooperation and enhanced communication among departments by working
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together on a common technology and new set of tools. Finally, the needs assessment activity
itself serves as a learning tool where potential users in each participating department learns about
GIS and how it can serve the department.
A needs assessment is required if the local government will be adopting a GIS throughout the
organization. Without a complete needs assessment each department might proceed to adopt
their own system and database which may or may not be compatible with those of another
department. The largest benefit for a local government adopting a GIS is to realize efficiencies
from common "base data" and the sharing of data among departments.
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At the conclusion of a needs assessment, an organization will have all of the information needed
to plan the development of a GIS system. This information can be grouped into the following
categories:
• Applications to be developed. - In evaluating the responsibilities and work flow within a
department, certain tasks are identified that can be done more efficiently or effectively in
a GIS. These tasks will form the basis of GIS applications. Application descriptions
prepared as part of the needs assessment will describe these tasks.
• GIS functions required. - For each application identified, certain GIS functions will be
required. These will include standard operations such as query and display, spatial
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analysis functions such as routing, overlay analysis, buffering, and possibly advanced
analysis requiring special programming.
• Data needed in the GIS database. - Most departments in local government use data that
has a spatial component. Much of this data are hard copy maps or tabular data sets that
have a spatial identifier such as addresses and zip codes or X-Y values (latitude-
longitude, state plane coordinates, or other coordinate system). A needs assessment will
identify how this information will be used by GIS applications.
• Data maintenance procedures. - By looking at the work flow and processes within and
between departments, responsibility for data creation, updates and maintenance will
become apparent.
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Note: The needs assessment procedure refers to a local government and its departments as the
organizational units. In a multi-agency GIS cooperative, the same activities described would be
carried out by all participants, at the appropriate level of detail as determined by the role each
participant would play in the resulting GIS cooperative.
Once all of this information is collected and analyzed for each department and published in a
report, it can be used as a blueprint for implementing the GIS. The GIS coordinating group
within the organization will use it to:
• Design the GIS database
• Identify GIS software that will meet the government's needs
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• Prepare an implementation plan

• Start estimating the benefits and costs of a GIS
A common mistake in performing a needs assessment is to simply take an inventory of the maps
and spatial data currently used in each department. There are two major problems with this
approach. First, this does not allow the GIS coordinating group to evaluate how a GIS could be
used to enhance the work of each department and the agency as a whole . By looking at the
department functions and what the department does or produces, the GIS coordinating group and
potential users develop an understanding of the role GIS can play in the organization. The
existing data and maps do need to be inventoried and may well be used in building the GIS,
however such an inventory should be separate from the needs assessment.
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The second major problem with the "data inventory" approach is that it tends to focus only on
data internal to the organization. Local governments rely heavily on data from outside sources -
federal agencies, state agencies, business, etc. The need for these data is better determined by
looking at the potential GIS applications and how data will be used by each application. It can
then be determined what data should be acquired from other sources.
2. CONDUCTING A NEEDS ASSESSMENT

The most significant aspect of a needs assessment is to document the findings in a standard and
structured manner. It is very important to adopt (or develop) a standard method to be used for the
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description of all the GIS tasks, processes and data that will be included in the needs assessment.
These forms will be used in needs assessment to identify the three kinds of GIS requirements:
• GIS applications - these will be tasks that can be performed by the GIS when a user
requires them, such as preparing a map, processing a query, or conducting some
particular GIS analysis. GIS applications can be described using the five page GIS
Applications forms included with this guide as Appendix A.
• GIS activity - these are situations where information needs to be kept on some activity or
process important to the user, such as issuing building permits, conducting public health
inspections, etc. A GIS activity can be described using pages 1 and 4 of the GIS
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Applications forms - the main application form and the data flow diagramming (DFD)
form.
• GIS data - there will be certain categories of spatial data that are important to keep, but
which will not appear in any GIS application or activity identified in any application
description. A separate method must be developed to systematically record the need for
such data. Other GIS data needed but not included in either of the above categories, can
be entered directly into the master data list.
The main method used to collect the information to enter onto the forms is individual interviews.
Potential users of the GIS can be identified by management and by examination of the
organization chart. A series of one-on-one interviews is the best way to identify the users needs.
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During the interview, the user can usually identify documents that can provide additional
information to the GIS analyst.
The needs assessment activity is composed of two main parts:
• Interviewing and documenting the needs of potential GIS users
• Compiling the results of the needs assessment into the master data list and the list of GIS
functions.
These two lists respectively are used to prepare the GIS data model and the GIS specifications
(activities described under Conceptual Design).
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The interview process should identify and describe all anticipated uses of the GIS. The next
section briefly describes the major categories of GIS use, followed by a detailed description on
how to complete the needs assessment forms.
3. LOCAL GOVERNMENT USES OF GIS
The use of geographic information systems by local government falls into five major categories:
• Browse
• Simple display (automated mapping);
• Query and display;
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• Map analysis; and

• Spatial modeling.
Browse
This function is equivalent to the human act of reading a map to find particular features or
patterns. Browsing usually leads to identification of items of interest and subsequent retrieval
and manipulation by manual means. For single maps, or relatively small areas, the human brain
is very efficient at browsing. However, as data volumes increase, automated methods are
required to effectively extract and use information from the map.
Simple Display
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This GIS function is the generation of a map or diagram by computer. Such maps and diagrams
are often simple reproduction of the same maps used in a previous manual oriented GIS
environment. Examples of this type of use are preparation of a 1:1000-scale town map, a sketch
of an approved site plan, maps of census data, etc.
Query and Display
This function supports the posing of specific questions to a geographic database, with the
selection criteria usually being geographic in nature. A typical simple query would be: "draw a
map of the location of all new residential units built during 1989" A more complex query might
be: "draw a map of all areas within the town where actual new residential units built in 1989
exceeds growth predictions." Such a query could be part of a growth management activity within
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the town. Queries may be in the form of regular, often asked questions or may be ad hoc, specific
purpose questions. The ability to respond to a variety of questions is one of the most useful
features of a GIS in its early stages of operation. In the long run, other more sophisticated
applications of the GIS may have a higher value or benefit, but to achieve these types of benefits,
users must be familiar with the GIS and its capabilities. Such familiarization is achieved through
the use of a GIS for the simpler tasks of query and display.
Map Analysis (Map Overlay)
This involves using the analytical capabilities of GIS to define relationships between layers of
spatial data. Map analysis is the super-imposition of one map upon another to determine the
characteristics of a particular site (e.g., combining a land use map with a map of flood prone
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areas to show potential residential areas at risk for flooding). Map analysis (often termed overlay
or topological overlay) was one of the first real uses of GIS. Many government organizations,
particularly those managing natural resources, have a need to combine data from different maps
(vegetation, land use, soils, geology, ground water, etc.). The overlay function was developed to
accomplish the super-imposition of maps in a computer. The data are represented as polygons, or
areas, in the GIS data base, with each type of data recorded on a separate "layer." The
combination of layers is done by calculating the logical intersection of polygons on two or more
map layers. In addition to combining multiple "layers" of polygon-type data, the map overlay
function also permits the combination of point data with area data (point-in-polygon). This
capability would be very useful in a town for combining street addresses (from the Assessor's
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files) with other data such as parcel outlines, census tract, environmental areas, etc. Many facility
siting problems, location decisions, and land evaluation studies have successfully used this
procedure in the past.
Spatial Modeling
This application is the use of spatial models or other numerical analysis methods to calculate a
value of interest. The calculation of flow in a sewer system is an example of spatial modeling.
Spatial modeling is the most demanding use of a GIS and provides the greatest benefit. Most
spatial modeling tasks are very difficult to perform by hand and are not usually done unless a
computerized system, such as a GIS, is available. These models allow engineers and planners to
evaluate alternate solutions to problems by asking "what if" type questions. A spatial model can
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predict the result expected from a decision or set of decisions. The quality of the result is only as
good as the model, but the ability to test solutions before decisions have to be made usually
provides very useful information to decision makers. Once again, this type of use of a GIS will
evolve over time, as the GIS is implemented and used.
A closely related computer capability is a CAD system (computer aided design). CAD systems
are used to prepare detailed drawings and plans for engineering and planning applications. While
CAD systems functions are different from GIS functions, many commercial CAD products have
some of the functionality normally found in a GIS. There are, however, significant differences
between a CAD system and a GIS, mainly in the structure of the data base. There may be some
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need for CAD-type capabilities in a particular local government, so this forms another category
of use.
In general, geographic information in local government is used to:
• Respond to public inquiries,
• Perform routine operations such as application reviews and permit approvals, and
• Provide information on the larger policy issues requiring action by the town board.
These are typical local government activities which benefit from a geographic information
system. The development of GIS will facilitate the present geographic information handling
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tasks and should lead to the development of additional applications of benefit to the local
government.
There are also other computer systems in local governments that perform GIS-like functions,
such as Emergency 911, underground utility locator systems, school bus routing systems, etc.
The variety and diversity of GIS applications are what make the definition of a GIS very
difficult. Basically, any computer system where the data have one or more spatial identifiers or
that perform spatial operations can be classed as a GIS. For example, a system containing street
addresses and census tract codes and that has the ability to place a given street address in the
proper census tract is a GIS whether or not map boundaries are part of the system. There are two
important points here:
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• A large proportion of local government data does have one of more spatial identifiers,
and therefore has the potential of being part of a GIS.
• Other, existing systems with GIS data or performing GIS-like functions must be
integrated into the overall system design. GIS should not be developed as a separate
system.
Whether a local government unit is considering or planning a "full, multi-purpose GIS" or is only
interested in a limited or single function system, the database planning and design considerations
are the same. Only the magnitude of the analysis and design activities differ. Some GIS users
believe that smaller and simpler applications, such as a school bus routing system, do not require
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a formal planning activity. There are, however, several reasons to conduct such a planning
activity for the smaller applications:
• To ensure that the user requirements will be fully met
• To develop documentation, especially data documentation (metadata), needed to use and
maintain the GIS
• To be in a position to participate in data sharing programs with other agencies as
additional applications are developed
• To create a permanent record of the data and its use to document agency plans and
decisions, and to meet data retention and archiving requirements.
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• To use as a base for building a larger, multi-function at some later date.

The level of effort needed to complete a GIS plan can be kept commensurate with the scope and
size of the intended GIS. Further, the GIS planning software tool that accompanies these
guidelines provides an easy and convenient way to create the recommended documentation.
4. DATA USED BY LOCAL GOVERNMENT
There are many kinds of data used by local government that can be included in a GIS. Data in a
GIS can be one of two types: spatial data and non-spatial data. Spatial data is that data which is
taken from maps, aerial photographs, satellite imagery, etc. It is composed of spatial entities,
relationships between these entities, and attributes describing these entities. Non-spatial data is
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usually tabular data taken from tables, lists, etc. Most of the time, the non-spatial data will be
linked to one or more spatial entities by keys (unique identifiers associated with the spatial data
and non-spatial data). For example, the tax map would represent the spatial data while the real
property inventory is non-spatial data, which is linked to the entities(parcels) on the tax map.
Spatial data is commonly represented by geometric objects (points, line, and polygons). Non-
spatial data containing a spatial reference is also considered spatial data. One of the most
common forms of this type of data in local government are records and files referenced by street
address.
Examples of local government data that have been used with GIS include:
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Tax parcels Land use maps

Real property inventories Zoning maps
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Infrastructure data Planimetrics

Water system
Right-of-way
Waterways
Sewer system
(streams)
Electric Building Outlines
Census data Permit records
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The operations required in a GIS must meet the data handling requirements of the spatial data as
well as those of the non-spatial data. The most common use of a GIS in local government is the
query based on attribute keys and then displayed in map form.
5. DOCUMENTING GIS NEEDS
The GIS needs are documented using the following forms:
A. The GIS Application Description (5 pages), used to:
• Describe products (mostly map displays) produced by the GIS
• Describe activities supported by the GIS
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B. The Master Data List

Most GIS applications can be described using the GIS Application Description. In cases where
these forms are not appropriate, any other systematic description of the need can be used. If more
appropriate, different forms can be developed as long as the same information can be
systematically recorded: the data required and the GIS functions need to develop the GIS
product.
The set of forms used to document a GIS contains the following five pages:
1. GIS Application Description Form
Use this form to enter:
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• Application identification information

• Application description and purpose
• Type of application, map scale, query key, frequency, and required response time
• Data needed by the application
○ Entities (features)
○ Attributes of entities
2. Map Display Form
Use this form to draw a sample of any maps to be produced by the application (including the
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legend showing symbols for each feature). This can be a hand drawn sketch, although it should
be drawn to the scale of the output desired.
3. Table Display Form
Use this form to show samples of any tables to be produced by the application (used only if
tables are needed in the application). If any entries in the table involve complex calculations,
these should be described using either a Data Flow Diagram or other separate pages.
4. Data Flow Diagram
Use this form to draw a data flow diagram or flow chart when an application is complex. This
chart is usually drawn by the GIS analyst or someone else familiar with the diagraming
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techniques, and is used to document complex calculations or descriptions of activities that will
need GIS support.
5. Entity-Relationship Diagram
Use this form to draw an entity-relationship (E-R) diagram of the data used in the application.
This drawing is usually done by the GIS analyst or someone else familiar with the E-R
technique, and is only done for more complex GIS applications.
6. DOCUMENTING AN ACTIVITY-TYPE USE OF THE GIS
Some GIS applications in local government do not involve the production of maps and tables.
For example, a GIS may be used to record and store information about a building permit
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application, a subdivision plat, a site plan, etc. Many activities of local government are simply
the processing of permits from individuals or firms. If any of these activities will also generate
GIS data, they should be described for the needs assessment. Two techniques available for
describing processes are flow charts and data flow diagrams.
A completed application description for a local government activity of this type can be entered
on pages 1 and 4 of the GIS Application Description forms.
7. THE MASTER DATA LIST
The master data list is a composite of all data entities (features) and their attributes that have
been entered in the data section of the GIS Application Description (Page 1). Other data
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identified by users as "needed," but not included in any application description may be entered
directly into the master data list.
Figure 3 - Master Data List
Master Data List
Entity Attributes Spatial Object
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Line
Street_segment name, address_range

Street_intersection street_names Line
section_block_lot#,
Parcel Polygon
owner_name,
owner_address, site_address,
area,
depth, front_footage,
assessed_value, last_sale_date,
last_sale_price, size,
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owner_name,
owner_address, assessed_value
(as
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of previous January 1st)

Building building_id, date_built, Footprint
building_material,
building_assessed_value
occupant_name,
Occupancy None
occupant_address,
occupancy_type_code
Street_segment name, type, width, length, Polygon
pavement_type
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Polygon
Street_intersection length, width,

traffins_flow_conditions,
intersecting_streets
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Line
Water_main type, size, material,

installation_date
Valve
type, installation_date Node
Hydrant type, installation_date,pressure, Node
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last_pressure_test_date
name, address, type,
Service None
invalid_indicator
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Polygon
Soil soil_code, area

Wetland
wetland_code, area Polygon
Floodplain flood_code, area Polygon

Traffins_zone zone_ID#, area Polygon
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Polygon
Census_tract tract#, population

Water_District name, ID_number Polygon
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Polygon
Zoning zoning_code, area

8. CONDUCTING INTERVIEWS
Individual interviews are the most effective way of finding out from users their potential GIS
applications. Before starting interviews, a briefing session for all potential users should be held.
During this meeting, the interviewers should describe the entire needs assessment procedure to
all participants. The main activities will be:
• Conduct "start-up" seminar or workshop
• Interview each potential user
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• Prepare documentation (forms) for each application, etc.

• Review each application description with the user
• Obtain user approval of and sign-off for each application description
An introductory seminar or workshop with all potential users in attendance is useful to prepare
the way for user interviews. At the beginning of a project, many users may not have much
knowledge about GIS or how it might help them. Also, the interview team may be from outside
the organization and may not be very familiar with the structure of the particular local
government. The start-up seminar should address the following topics:
• Definitions:
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1. What is a GIS?
2. How is a GIS used by local government? (Typical applications)
• Interview procedure to be followed:
1. What the interviewee will do?
2. What is expected from the interviewee?
3. Who approves the application descriptions?
4. How the information from the application descriptions will be used?
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• Group discussion: It is often useful to have the group identify an initial set of GIS
applications as candidates for further documentation. The discussion of possible
applications between interviewers and users will start to reveal what is suitable for a GIS
application. One or more applications can be described in the process by the group so
everyone sees how the process will work.
It is preferable to interview users individually rather than in groups. This provides a better
opportunity to explore the ideas of each person and also prevents other individuals from
dominating any particular meeting. Group meetings easily lose focus on specific GIS
applications and therefore do not provide the detailed information needed to adequately describe
the GIS applications.
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Conducting an interview is not an easy task. Some potential users may have a good grasp of GIS
and how they might use one. However, often potential users do not have complete knowledge of
the capabilities of a GIS and therefore may not be able to readily identify GIS applications. In
these cases, the interviewer (GIS analyst) needs to help the user explore his/her job activities and
responsibilities to identify GIS opportunities. The GIS analyst should usually begin an interview
with a review of the procedure, then ask the user to identify and describe potential applications.
When specific GIS applications cannot be easily identified, it is helpful if potential users
describe, in general, his/her job functions and responsibilities and the role their department plays
in the whole organization. From this discussion, the GIS analyst can usually identify potential
GIS applications and then explore these for possible inclusion in the needs assessment.
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9. PREPARING THE NEEDS ASSESSMENT REPORT

The needs assessment report consists of the application descriptions, the master data list, and
several summary tables. A list of all applications summarizing the type and frequency of use is
the first table.
Figure 5 - List of GIS Applications
App
Application Name Type Frequency
#
Query &
1 Zoning Query 85 / day
Display
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2 Customer Phone Inquiry Query & 100/day

Display
Query &
3 Fire Dispatch Map 86/day
Display
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4 Fire Redistricting Map Map Analysis 1/year

Query &
5 Crime Summary Map 12/month
Display
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6 Patrol Dispatch Map Query & 133/day

Display
Complaint Summary Query &
7 624/year
Map Display
Subdivision Query &
8 No estimate
Development Map Display
Query &
9 Counter Query Map 85/day
Display
10 Land Use/Land Value Map Display 1/year
11 Assessed Value Map Query & 144/year
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Display
Query &
12 Grievance Map 2500/year
Display
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13 Comparable Value Map Query & No estimate

Display
14 Built/Vacant Map Display 1/year
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15 Water and Sewer Line Query & 30/month

Map Display
16 Hydrologic Profile Map Spatial Model 1440/year
Sewer System Flow
17 Spatial Model 12/year
Analysis
Query &
18 Emergency Repair Map 110/year
Display
19 Storm Drainage Map Spatial Model 700/year
20 Fire Flow Test Map Spatial Model 260/year
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21 Easement Map Query & 520/year

Display
Query &
22 Zoning Map 50/day
Display
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23 Floodplain Map Query & 50/day

Display
Check Query &
24 Youth League Residency 3500/year
Display
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25 Mosquito Control Area Query & 50/year

Map Display
Site Plan Approval Query &
26 200/year
Process Display
27 Census Data Map Display 48/year
28 Population Density Map Map Analysis 50/year
29 Land Use Inventory Display 24/year
30 Retail Space Projection Spatial Model 24/year
31 Office Space Projection Spatial Model 12/year
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32 Traffic Volume Map Query & 24/year

Display
This table contains selected GIS applications from the Town of Amherst, N.Y. Needs
Assessment
Figure 6 - Tables Summarizing Applications - Examples
GIS Application by Department by Type
Query & Map Spatial
Department Display Total
Dispatch Analysis Model
Fire Dispatch 0 3 1 1 5
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Police 0 4 0 0
Assessor 2 5 0 0 7
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15
Engineering 3 7 7 0
Building 2 2 0 0 4
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Recreation 0 2 0 0
Highway 0 10 0 1 11
Planning 10 12 3 3 28
Total 17 46 4 10 76
The data from the table above can be used to prepare tables like the one below, summarizing
applications by department and the frequency of applications by department.
GIS Application by Department by Frequency
Query & Map Spatial
Department Display Total
Display Analysis Model
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94,271
Fire Dispatch 0 94,170 1 100

Police 0 49,637 0 0 49,637
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23,896
Assessor 2 23,894 0 0
Engineering 18 2,049 0 3,452 5,519
Building 250 25,000 0 0 25,250
Recreation 0 3,520 0 0 3,520
Highway 0 1,475 0 10 1,485
Planning 718 2,536 80 40 3,374
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206,952
Total 988 202,281 81 3,602

Numbers in these tables are from the Town of Amherst, N.Y. needs assessment and represent the
estimates of GIS use per year. These numbers will be used during the database Planning and
Design phase to estimate usage and benefits, of the GIS. In this example, for the Town of
Amherst, it is estimated that 2.5 minutes of staff time will be saved for each query giving a total
savings of 4.03 years staff time/year (202,281 times 2.5 minutes divided by 60 minutes/hour
divided by 2088 hours per year).
The last table relates GIS applications to the data used by each application.
Figure 7 - GIS Applications/Data Item Matrix
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Application/Data Item Matrix

Land Water Fire Wetland
Roads Buildings
Parcels Mains Hydrants Areas
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#1 Leak X X X
Detection Map
#2 Customer
Service X X X
Report<
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#3 Pressure X X X
Test Map
#4 Hydraulic
Model X X
Analysis
#5 Work Crew
X X X
Schedule
This matrix is useful in planning and scheduling data conversion. If applications are prioritized,
then data needed by high priority applications can be scheduled for conversion early in the
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conversion process. Also, if some data is not available for some reason, it is possible to
determine the affected applications.
The last step in compiling the needs assessment report is to extract the list of GIS functions
needed from the application descriptions. This list will include the standard function types of
display and query and display plus any other functions included in a data flow diagram or flow
chart. Typical examples of such GIS functions are: calculate distance between objects, determine
the shortest path through a network, etc. Figure 8 is an example of a GIS functions list.
Figure 8 - GIS Function List
GIS Functions/Procedures List
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ARC/INFO INTERGRAPH SYSTEM 9

Macr Basi
Basic Macro Basic Macro
o c
Screen
ARCPLOT YES YES
Display
Plotter
Display ARCPLOT YES YES
Display
Generate
INFO YES YES
Report
Query Attribute INFO YES YES
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Query
Spatial Spatial
IDENTIFY YES YES
Query Search
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YES
Map Overlay ARC YES

Analysis Buffer ARC YES YES
Reclassif
ARC YES YES
y
Shortest Shortest NETWOR
NO YES
Path Path K
NETWOR
Route Route NO YES
K
Hydraulic
AML YES YES
Model
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The list of GIS functions and the master data list will be used in subsequent tasks to design the
database and prepare the GIS specifications.
10. SUMMARY
The procedure presented in the guideline for preparing a needs assessment is based on
documenting GIS applications in a standard format. The components of this format are structured
to facilitate communication between potential GIS users and the GIS analyst, and to provide
specific and detailed information to the GIS analyst for designing the GIS. The first page of the
application description is the most critical to the GIS analyst as an indication of the GIS
functionality required by the application. If additional information on the GIS functionality is
needed, than a flow chart or data flow diagram can be developed (page 4 of the application
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description). For the potential user, the map display and report format describe output he/she will
receive. These pages should be sufficiently detailed for the user to approve or sign-off as to the
correctness of the application description. It is, of course, very important that the entire GIS
application description be internally consistent.
The entity-relationship diagram (page 5) is mainly useful in the next phase of the GIS design -
Conceptual Design, where the data model for the entire system will be defined. If entity-
relationship diagrams are prepared for individual applications, they will than be available for the
Conceptual Design phase. Otherwise, these diagram can be prepared during the Conceptual
Design phase.
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Figure 9 is a diagrammatic representation of the flow of information from the elements of the
application description to the master data list and the list of GIS functions.
Appendix A - GIS Application Description Forms
GIS Application Description Form A-1
Map Display Form A-2
Table Display Form A-3
Data Flow Diagram A-4
Entity-Relationship Diagram A-5
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Appendix B
Master Data List B-1
Appendix C - Sample GIS Application Descriptions
*Note: This is not available in electronic format. You may obtain a paper copy of these
guidelines by contacting RECMGMT@mail.nysed.gov.
Appendix D - Data Flow Diagramming
*Note: This is not available in electronic format. You may obtain a paper copy of these
guidelines by contacting RECMGMT@mail.nysed.gov.
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Appendix E
List of Application Name, Type, & Frequency E-1
E-2
Application Descriptions
(35.6K)
Master Data List E-17
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E-21
Summary Table of Depts. & Counts of Application Type

Summary Table of Depts. & Annual Frequencies of
E-22
Application Type
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Pilot Studies and Benchmark Tests

1. INTRODUCTION
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Prior to making a commitment to a new technology like GIS, it is important to consider testing
concepts and physical designs for development of such a system within a local government. This
can be done by performing a pilot study to determine if GIS can be useful in the daily conduct of
business and, if so, further conducting a benchmark test to determine the best hardware and
software combination to meet specific needs.
Numerous GIS pilot studies and benchmark tests have been conducted by local governments
within the state and across the nation. Decisions on deployment of GIS should not be based
solely on other experience. Managers and end users respond best to relevant local data and actual
applications, and will learn more readily if they have first hand experience defining and
conducting a pilot study on benchmark test in-house.
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2. PILOT STUDY: PROVING THE CONCEPT

Planning a Pilot Study
A pilot study provides the opportunity for a local government to evaluate the feasibility of
integrating a GIS into the day-to-day functions of its' operating units. Implementing GIS is a
major undertaking. A pilot study provides a limited but useful insight into what it will take to
implement GIS within the organization. Proving the concept, measuring performance, and
uncovering problems during a pilot study, which runs concurrent with detailed system
planning, database planning, and design, is more beneficial than pressing forward with
implementation without this knowledge.
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To maximize the usefulness of the pilot study, it must be planned and designed to match the
organizations work flow, functions, and goals as described in the GIS needs assessment. The
pilot study will be successful if it has the support and involvement of upper management and
staff from the outset. This involvement will provide the opportunity to evaluate management and
staff ability to learn and adopt new technology.
Objectives of a Pilot Study
A pilot study is a focused test to prove the utility of GIS within a local government. It is not a
full GIS implementation nor is it simply a GIS demonstration; but rather a test of how GIS can
be deployed within an organization to improve operations. It is the platform for testing
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preliminary design assumptions, data conversion strategies, and system applications. A properly
planned and executed pilot study should:
• create a sample of the database
• test the quality of source documents
• test applications
• test data management and maintenance procedures
• estimate data volumes
• estimate costs for data conversion
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• estimate costs for staff training

The pilot study should be limited to a small number of departments or GIS functions and a small
geographic area. The pilot study should be application or function driven. Even though data
conversion will take a major portion of the pilot study development time, it is the use of the data
that is important. What the GIS can do with the data proves the functionality and feasibility of
GIS in local government. The Needs Assessment document has identified applications, data
required, sources of data, etc. In addition, a conceptual database design has been previously
developed. Following is a list of procedures for carrying out a pilot study:
• select applications from needs assessment
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• determine study area

• review conceptual database design
• determine conversion strategy
• develop physical database design
• procure conversion services and develop conversion work plan
• commence source preparation and scrubbing
• develop acceptance criteria and qc plan
• develop data management and maintenance procedures
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• test application
• evaluate and quantify results
• prepare cost estimates
Selecting Applications to Include
Care must be taken to select a variety of applications appropriate to test the functional
capabilities of GIS and the entire database structure. A review of the Needs Assessment report
should provide selective applications to meet these requirements. Make sure to include data
administration applications along with end user/operations applications. Data loading, backups,
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editing and QC routines have little user appeal, but they represent important functions that the
organization will rely on daily to update and maintain the GIS database.
Data to be tested in the pilot study can either be purchased from external sources or converted
from in-house maps, photos, drawings, documents and databases. In any event, the data should
represent the full mix and range of data expected to be included with the final database. It should
include samples of archived or legacy system records and documents if they are planned to be
included in the GIS in the future. All potential data types and formats should be considered for
the pilot. This is the chance to test the whole process of integrating and managing data, together
with the utility of the data in a GIS environment and different conversion and compression
methods, before final decisions are made.
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Spatial Extent of the Pilot Study

Selection of the study area should address several issues:
• Data density
• Representative sampling
• Seamless vs. sheet-wise conversion or storage
Choose an area (or areas) of interest that represents the range of data density and complexity.
Make sure that all data entities to be tested exist in the area of interest. This will provide a
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representative dataset and allow the extrapolation of data volumes and conversion costs for the
range of data over the entire conversion area.
To measure hardware performance the selected area should be chosen to match the file or map
sheet size the end user will normally work with. Be aware that even if the data is currently
represented as single map sheets at a variety of scales, the GIS will store the data as a "seamless"
dataset.
Preliminary Data Conversion Specifications
A set of data conversion specifications need to be defined for each of the required data layers in
the test datasets. The conversion specs need to address....
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• Accuracy
• Reliability
• Coverage
• Convenience
• Completeness
• Condition
• Timeliness
• Readability
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• Correctness
• Precedence
• Credibility
• Maintainability
• Validity
• Metadata
The foundation of the GIS is derived from the conversion process which creates a topologically
correct spatial database.
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Selecting GIS Hardware and Software

To provide for continuity and to minimize added expense for total system development, select
the most likely choice of hardware and software based on the database design specifications, and
purchase or borrow that necessary for the pilot study from the hardware and software vendors.
Selecting a Data Conversion Vendor
Even though this is only a pilot study, it also serves as a test of likely suppliers of hardware,
software and data conversion services. Therefore, a respectable data conversion vendor should be
selected to perform the work, and prior uses of the vendor services should be contacted to
confirm their ability to meet expectations. It shouldn't matter what method the conversion vendor
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uses to convert the data. Be open to suggestions from the potential conversion vendors as to the
most cost effective methods to convert the data. As long as you get the data in the correct and
usable format to satisfy your database plans, the method for data conversion used should not be
an issue. However, you will get much better results if the vendor has first hand experience with
the chosen GIS software and the data conversion takes place in the same GIS software package.
There is always a chance of losing attributes or inheriting coordinating precision errors
converting from one format to another.
Defining Criteria for Evaluating the Pilot Study
The pilot study performance must be evaluated in measurable terms. By its very name, a pilot
study implies an initial investigation. An investigation implies a set of questions to ask and a set
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of answers to achieve. For clarity, the questions can be addressed to match the major component
of GIS plus others as needed.
Database
• Were adequate source documents available and was their quality sufficient?
• How much effort was involved in "scrubbing" the data before conversion?
• How long did the conversion process take?
• Were there any problems or setbacks?
• Was supplemental data purchased, if so, what was the cost?
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• Did the data model work for each layer as defined?

• Was the data adequate (i.e. all data elements populated)?
• What errors were found in the data (closure, connectivity, accuracy, completeness, etc.)
Applications
• Were the applications written as specified
• Did the applications fit smoothly in the GIS or was a separate process invoked?
• Are the required functions built into the GIS or will applications need to be developed?
• Is the GIS customizable?
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• How responsive and knowledgeable is the software developer's technical support staff?
• Were expectations met?
Management and Maintenance Procedures
• How will the data be updated, managed, and maintained in the future?
• Have all those who will contribute to the updating and maintenance been identified?
• Have data management and administration applications been developed and tested?
• Have data accuracy and security issues been addressed?
• Who will have permission to read, write, and otherwise access data?
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• How will using GIS change information flow and work flow in the organization?
Costs
• How large a database will be created?
• What will be the required level of existing staff commitment during the data preparation
and GIS construction process?
• What will be the cost for data conversion of in-house documents?
• What will be the cost for obtaining supplemental data from outside sources?
• How will GIS impact or interface with existing hardware and software?
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• What new hardware, software and peripheral equipment is required?

• How much training of staff is required?
• Will additional staff with distinct GIS programming and analysis capabilities be
required?
3. EXECUTING THE PILOT STUDY
Data Preparation (Scrubbing) and Delivery
Document preparation of source data representing the entire range of data to be included in the
database must be completed before the conversion contractor can begin work. Data preparation
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includes improving the clarity of data for people outside the organization who are unfamiliar
with internal practices. This pre-conversion process is referred to a "scrubbing."
Scrubbing is used to identify and highlight features on maps that will be converted to a digital
format. The process provides a unique opportunity to review or research the source and quality
of the documents and data being used for conversion.
Scrubbing is generally an internal process, but may also be performed by the conversion vendor.
The conversion vendor will need to be trained on how to read your maps or drawings. The first
map (or all maps) may need to be marked with highlighter pens and an attached symbol key to
define what features need to be collected.
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At the same time the maps are marked-up, coding sheets are filled out with the attributes of the
features to be captured and a unique id number is assigned to both the feature and the coding
sheet to create a relate key. This key is critical to connecting the attribute records to the correct
map feature defined in Database Design.
The best key is a dumb, unique, sequential number that has no significance. The key should
never be intelligent, that is contain other information. The key should never be a value that has
meaning, or has the potential of changing. Don't use address, or map sheet number or XY
coordinates or date installed. These values are very important and should each have their own
field in the database. Do not use them as the primary key. The reason is very simple. If you use a
smart key like SBL number and you have to change the number, you run the risk of losing the
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connection to all other related tables that key on the SBL number. Make the change and the
records no longer match. However, if the key is unique and has no meaning it will never have to
be changed. Street names change, numbers get transposed, features are discovered to be on the
wrong map sheet or at the wrong XY coordinates. If any corrections need to be made, a large
defensive programming effort must be in-place to guarantee the integrity of the intelligent key.
Avoid the grief and use a dumb, unique key.
Coding sheets are only required if the attributes of the features are not readily available from the
map document. For example, if all the required attributes for a feature are shown as annotations
on the map (e.g. the size, material and slope for a sanitary sewer line), then a coding sheet is
unnecessary. If additional research is required to find the installation date, contractor name, flow
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modeling parameters or video inspection survey, then a coding sheet needs to filled out for each
feature. Again it is critical to create and maintain a unique key between the map feature and the
attribute data on the coding sheet.
Once the data has been prepared for conversion, make copies of everything being sent out and
make an inventory of the maps, coding sheets, photos, etc. that will be sent to the vendor. Ask
the vendor to perform an inventory check on the receiving end to verify a complete shipment
arrived.
Change management is essential. If the manual maps or data will be continually updated in-
house during the conversion process, keep careful records about what maps and or features have
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changed since the maps have been sent out. This is an important process that needs to be fully in-
place if the pilot study leads to a full GIS implementation.
When and Where to Set Up the Pilot Study
Expect the pilot study to have an impact on daily work. Choose participants where the pilot will
not have a negative impact on the daily workload. Even if the GIS is to assist a mission critical
process like E911, conduct the pilot as a parallel effort, don't expect it to replace an existing
system. At the same time try to make the GIS a part of the daily workflow to test the integration
potential.
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To ensure some level of success of the pilot study, choose willing participants to act as the test
bed/ pilot study group. Make sure they understand the impact the pilot will have on the
organization and the level of commitment from the staff members. Use educational seminars to
inform the employees about GIS technology and the purpose of the pilot study. Communicate
very clearly what the objectives of the pilot study will be, what functions and datasets will be
tested and which questions will be investigated. Describe the required feedback and the use of
questionnaires or checklists that will be used. Above all else, communicate to keep staff
informed and to control expectations.
Who Should Participate
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A team representing a cross-section including managers, supervision, and operations staff should
be assembled for the pilot study. Choose the staff carefully to assure objective and thoughtful
system evaluation. If possible, choose the same people that were involved in the needs
assessment process. They will be more aware of GIS technology and may be eager to see the
project move forward.
Testing and Evaluation Period
Have a pilot team kickoff meeting with the conversion / software / hardware vendors present.
Restate the objectives of the pilot study and responsibilities of each party. Review Needs
Assessment, database design documents and assess training requirements. Define
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communication protocol guidelines if necessary to keep key players communicating and

resolving problems.
Before the data arrives, install the software and or hardware in the target department. Conduct
user training to familiarize employees with the use of the GIS software. If employees are
unfamiliar with computers, allow more time for training and familiarization.
Once the data has been converted and delivered, have the conversion vendor or the software
vendor load the data on the target machines. Be sure that this step and all preparatory efforts are
monitored and treated as a learning process for your staff.
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Begin a thorough investigation of the capabilities and limitations of the hardware and software.
Keep user and vendor defined checklists beside the machines at all times. Have each user log
their observations and impressions with each session. Make sure to note any change in
performance as a function of time of day or workload. Also note if the user's level of comfort has
increased with time spent using the software.
Log all calls to the data conversion, software and hardware vendors. Note the knowledge and
skill of the call takers, responsiveness and turn-around time from initial call to problem
resolution. Some problems may be addressed on the phone, others may take days. If the call
cannot be handled immediately, ask the outside technical support person for an estimated time.
Obtaining Feedback From Participants
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It is imperative that all individuals involved in the pilot study provide input before, during and
after the pilot study is complete. The best method to guarantee feedback from the participants is
to have them help formulate the objectives of the pilot, the questionnaires and checklists. Sample
questions to address were listed earlier in this document. Augment these with questions from
your own staff. Some questions can be answered with a yes/no checklist, some answers will be a
dollar figure, and some will require a scoring system to rate aspects of the system performance
from satisfactory to poor or unacceptable. Other issues that may effect information flow,
traditional procedures and work tasks will require participants to write essay questions or draw
sketches of changes they would like to see in the user interface or in the map display. All
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responses should be compiled in such a way that the responses can be measured and rated
numerically.
4. EVALUATING THE PILOT STUDY
What Information Should Be Derived From the Pilot Study
The first question to be addressed is whether the pilot study was a success. Success doesn't
necessarily mean that the process went without a hitch. A successful pilot study can be fraught
with problems and GIS can be rejected as a technology for the organization. The success of the
pilot study should be measured by whether the goals and objectives defined for the pilot were
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achieved. Most issues listed below were covered in earlier portions of the document, but are
summarized again.
Data Specific Issues
Many issues to be assessed in the pilot study are data specific and are related to data quality,
volumes and conversion efforts.
Source Document Quality
Most first time GIS users are so awestruck by seeing their maps on the computer screen or on
colorful hard copy plots that they overlook the importance of reviewing the quality and
usefulness of the source documents and the utility of the final product. Many original maps are
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so old and faded, that they are unusable as a source document to create a GIS dataset. Some
municipal agencies have scrapped the existing maps and re-surveyed the entire town's street and
utility infrastructure. This is not a cheap alternative, but digitizing bad maps is not a good
investment.
Quality Control Needs
There is a danger present in any data conversion project (even for a pilot study) that the vendor
will perform the conversion and deliver the data to the client without an adequate Quality
Control process in place. If the client is new to GIS, they may not be able to determine if all the
data is present, if the data is layered correctly or if all attributes are populated.
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Because a GIS looks at map features as spatially related, connected or closed features, GIS query
and display functions can be used to identify features that are in error. By displaying each map
layer one at a time using the attributes of the features, item values that are out of range (blank,
zero, or extreme values) will show up graphically on the maps in different colors or symbol
patterns. Erroneous values should be reported to the conversion vendor immediately for
resolution.
The client may consider using a third party GIS consulting firm to review the quality of the data
and verify the map accuracy.
Data Availability
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Before an attribute field is added to a coding sheet as a target for data capture, be sure the value
is readily available and has importance to the operation of the agency. Many data fields would be
nice to have, but may not be cost effective. For example, a sidewalk and driveway inventory for
a community would be a useful data layer to capture. However, if there are no existing maps
showing sidewalk locations, using aerial photos and photogrammetry is a costly approach to
capture sidewalks and driveways. A cheaper alternative may be to create two single digit fields
in the street centerline attribute table to hold flags indicating the presence or absence of
sidewalks on the left or right side of the street. An operator looking at the GIS screen and air
photos can assign the values to the flags without a large amount of effort. Based on these values,
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different line styles or colors can be used to symbolize the presence of sidewalks in a screen
display or hardcopy maps.
Pre-conversion Editing
Be sure to track and review the number of man hours and problems encountered during the pre-
conversion scrubbing effort. These steps will undoubtedly be performed again during the full
conversion and now is the time to assess the impact on the organization.
Data Volumes
Data volumes and disk space is an important issue to evaluate in the pilot study. The pilot by
design covers a small area of interest. Use the same data cost ratios discussed above to
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extrapolate data volumes for the entire GIS implementation effort. Data volume is not only a disk
space issue. There are inherent problems associated with managing large datasets. Large files
take more computer resources to manipulate, backup, restore, copy, convert, etc. A tiling scheme
(i.e. breaking the data into smaller packets for storage and manipulation) should be investigated
in the pilot study as a future solution for full implementation.
Assessing the Adequacy of the Data Conversion Specifications
Data conversion specifications are provided to give the conversion vendor and the client
organization a set of guidelines on what layers, features and attributes should be captured, at
what precision, level of accuracy and in what format is the data to be delivered. Best intentions
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and reality need to meet in the pilot study to evaluate the expectations and the level of effort
(costs) involved with converting the target dataset.
Ask the conversion vendor for feedback on the clarity of the specifications. Do the specs make
sense? Some vendors, holding to the adage the customer is always right, will not question your
specifications and will do whatever you ask no matter how in-efficient the process. Others will
openly suggest alternative approaches and will seek clarifications. Note the kinds of questions
they present and be open to changes early in the process.
Evaluation of logical data model and applications
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Not only should the quality of the data conversion and the GIS software be reviewed in the pilot,
but just as important, the logical data model needs to be reviewed. The logical data model
describes how map features are defined (points, lines, polygons, annotations) and the
relationships between these map features and related database tables. Running applications
against the data model will allow measurement of response time that is a function of data
organization.
The bottom line is does the data model make sense for all the applications being addressed in the
pilot and will it be useful in the full implementation. Ask the conversion and software vendors to
explain the organizational structure of the GIS data model. What are the advantages,
disadvantages and tradeoffs for the model used in the pilot and ask if the same structure would
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work comparably in a full implementation. Look carefully for short cuts or data model changes
to make a dataset work in the pilot. It may work very well for a demo on a small dataset, but it
may be unwieldy in a large implementation.
GIS hardware and software performance
Test the GIS running under a variety of scenarios ranging from single to multiple users
performing simple to complex tasks. Ask your software vendor to write a simple macro to
simulate multiple users running a series of large database queries. Test the performance of query
and display user applications while data administration functions are running.
Were the users able to learn to use the system and perform useful work?
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Refined GIS Cost Estimates

By requiring the conversion vendor to keep detailed logs of conversion times for each data
layer and feature type by map sheet, the client organization can project or extrapolate from the
pilot data conversion to a cost for full conversion. One approach that has worked well in the past
is to use parcel density as an indicator of manmade features. For example, if you compute a
series of ratios of the number of buildings, light poles, miles of pavement edge, manholes,
hydrants, and other features against the number of parcels in the pilot area, you can compute with
pretty good certainty the number of manmade features in the remainder of the GIS
implementation area. The Office of Real Property Services has a low cost ($50 / town) parcel
centroid database in a GIS format that can be used as a guide for parcel density. Unfortunately
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physical features like streams, ponds, contours, wooded areas, wetlands, etc., do not have a direct
correlation to parcels. In fact there seems to be an inverse relationship between parcel density
and number of physical features. The point to be learned is that the pilot study should provide an
indication of costs for a full featured/full function GIS implementation effort.
Analyzing User Feedback
Tally the number of positive responses to yes/no questions, compute an average score for user
satisfaction, and compile the essay responses for content and tone. Review the complied results
with all team members and management. Interview team members to clarify questions with
unclear or strong responses to gain more insight. From response scorecards and comments
develop an overall score to determine user satisfaction, completion of goals and objectives.
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5. BENCHMARK TESTS: COMPETITIVE EVALUATION

The purpose of a benchmark is to evaluate the performance and functionality of different data
conversion methods, hardware and software configurations in a controlled environment. Each
software package can be compared in the same hardware environment or one software package
can be compared across different hardware platforms.
By defining a uniform set of functions to be performed against a standard dataset, key
advantages and disadvantages of the different configurations can be compared fairly and
objectively.
Planning a Benchmark Test
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As with any successful project, a detailed, thought out plan needs to be devised. It should be
noted that performing a benchmark takes a large amount of effort by both the local government
agency and the vendors taking part. Few firms can afford to devote large amounts of staff time
and computing resources competing in benchmark tests for free. Keep that in mind as you design
the benchmark to focus the tests on key issues that can be readily compared. If the benchmark
will be extensive, associated costs may be incurred.
Objectives for the Test
A benchmark provides an opportunity to evaluate the claims of advanced technology and high
performance presented by the marketing/sales force of competing data conversion, hardware and
GIS software vendors.
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The objectives of the benchmark should be defined clearly and communicated to all parties
involved. Suggested objectives for each of the different types of benchmarks include testing:
Conversion Methods
• Cost effective procedures
• Sound methodology
• Quality control measures
• Compliance with conversion specifications
Hardware
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• Computing performance
• Conformance to standards
• Network compatibility and interoperability
• Future growth plans and downward compatibility
Software
• Conformance to standards
• Computing speed / performance
• GIS functionality (standard and advanced)
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• Can the software run on your existing hardware system

• Ease of use - menu interface, on-line help, map generation, etc.
• Ease of customization for non-standard functions
• Licensing and maintenance costs
This list of objectives is not all inclusive and should only be used as a guideline or a starting
point for your organization to design a benchmark study.
Preparing Ground Rules
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Based on the defined objectives, all parties involved should be aware of what will be tested, how
they will be judged and what criteria will be used as a measure (i.e. low cost, high performance,
good service, quality, accuracy, etc.).
• Tests to be performed should be as fair as possible
• The exact same information and datasets should be given to all vendors
• A reasonable time frame should be provided to perform the work
• No vendor should be given preferential treatment over any other and clarifications of
intent should be offered to all
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• Tests should be quantitatively measurable

• Hardware tests should use comparably equipped or comparably priced machines
• Software tests should be performed on the same hardware and operating system
Create scoring sheets for each aspect of the test. For subjective tests, like ease of use, have each
user rate their satisfaction/dissatisfaction with the results of each phase using a numeric rank-
order scheme. This won't eliminate bias but will allow impressions and opinions to be compared.
For objective tests, like machine performance, record the clock speed, disk space requirements,
number of button clicks, error messages, response time, etc. for each test conducted.
Preparing the Test Specifications (Preliminary Request for Proposals or RFP)
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The test specifications need to outline the type of test to be conducted (conversion, hardware or
software); objectives of the test; detailed description of the test; measures for compliance; and a
time frame for completion.
Selecting the Participants and Location
In order to conduct a benchmark, you need knowledgeable participants (both internal and
external). The internal participants should be knowledgeable regarding the topic to be tested
(data conversion, hardware or software).
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Selecting external participants is more involved. Situations range from not knowing any vendors
to invite to how to limit the number of vendors. The smaller the number of participants the easier
the final selection process will be for the local government agency.
The Request for Qualifications (RFQ) process can be used to filter or pre-qualify potential
participants. GIS is a specialized field and not every business involved with computers is
qualified.
Several factors should be considered when selecting vendors for a benchmark test
• Are they knowledgeable about local government agency operations
• Are they a well known company
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• Are they technically qualified

• Are they experienced and have a successful track record
• Are they financially sound, insured or bonded
• Are they going to be around 5 years down the road
• Are they local or do they have a local representative
• Would their previous clients hire them again
If the RFQ and/or the RFP are written clearly and succinctly, the process will filter the
participants and only those companies that specialize in the subject in question will respond.
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The benchmark can occur either at the client's site or the vendor's offices. Some tests like data
conversion are best conducted at the vendor site to minimize relocating staff and equipment for a
test. Hardware and software benchmarks are commonly conducted at both the vendor and client
site. The initial data loading, customization and testing is performed at the vendor site. Once the
operations are stable, the client is invited to view the results at the vendor site, or the system is
transported to the client site.
Preparing the Data
For a data conversion benchmark, provide each vendor with a set of marked up (scrubbed) set of
maps, documents and coding sheets as described in the pilot study section above. If possible,
provide the data conversion vendor with an example dataset from the pilot study which shows
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the appropriate data layering, tolerances and attributes to be captured. If not a dataset, clear
specifications for how the data should appear when complete. Specify what data format (*.dxf,
*.e00, *.mif, tar, zip, etc.) and what type and size of media (1/4î, 8mm or 4mm tapes) you want
the data delivered in.
For a hardware or software benchmark, provide a sample dataset which contains all possible
layers for inclusion in the GIS. The data could be purchased, converted during the pilot study or
could be the results from a data conversion benchmark noted above. Provide sufficient
documentation with the data to describe the use of the data, the organizational structure and
contents.
Scheduling The Benchmark Test
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Once the benchmark has been defined and agreed to by the participants, set a time for the testing
to occur. Schedule a start date and a duration. Unless you specifically want to use company
responsiveness as part of the test (i.e. how fast can they respond to a problem), don't require an
immediate start date or extremely short time frame. There is no need to cause undue panic and
stress, you want a good test.
Transmitting Application Specifications And Data To Participants
Before transmitting maps, documents or data to any vendor, make an inventory and backup
copies of all items. Either specify to the vendors that the data will be provided in a single data
format on a specific media, or make arrangements to provide the data in a format they can read.
Be sure to test the readability of the tape or disk on a target machine in your office before
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sending the data out. Once the data has been verified as complete and readable, make two copies
of the tapes or diskettes, one to send and one to keep as a recoverable backup for documentation
of the delivery. Provide detailed instructions as to the contents of the tapes or disks and how to
extract the data. List phone numbers of responsible persons should problems arise with delivery
or data extraction. Ask the vendor to perform an inventory at the receiving end to acknowledge
receipt of the data or documents.
On-Site Arrangements
If the tests are to be conducted at your site, make sure you have the authorization and backing of
management and all personnel to be involved. Provide plenty of advanced notice and time to
setup. If you are conducting hardware tests you have to decide if more than one vendor's
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machines will be present at the same time for comparative testing. With both machines setup in
the same room, you can conduct the exact same tests in "real time" and visually compare the
results, but this will require more setup space and logistic leeway in the schedule to
accommodate multiple vendors. Make sure you have a suitable environment for equipment with
adequate power, air conditioning and security. Also make sure you have all required utility
software in place to read and write compressed files from tape and virus detection software
If you are performing software tests, make sure you have two or more machines with the exact
same hardware and operating system configurations. If you can't have multiple machines, be sure
to backup and restore the current operating system files before testing each software package to
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ensure a fair test of disk space requirements, resource usage and functionality. Always use the
same datasets for each test.
Identifying Deficiencies In Specifications
Although the tests were well thought out and carefully followed, you will probably wish you had
performed additional tests during the benchmark. If short comings are discovered early on and
they do not involve major changes in direction, additional tests could be incorporated. Be sure to
notify the local management, staff and vendor participants of the change in objectives.
Defining benchmark criteria
Data Conversion Issues
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A standard set of tests need to be performed to evaluate the results of a data conversion
benchmark. Overlaying checkplots with the source documents on a light table is a
straightforward but time consuming way to compare the conversion results. Suggestions made in
the Pilot Study section of this document, outline methods for using GIS query and display
functions to determine if all the data is present, layered correctly and attribute values are within
range. Displaying map features by attributes will highlight errors or items out of range in
different colors or symbol patterns.
GIS Software Performance
Software tests can be classified into 2 groups - capabilities and performance. Capabilities tests if
the software can perform a specific task (i.e. convert DXF files, register image data, access
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external databases, read AutoCAD drawings, etc.) Performance deals with how well or how fast
the software performs the selected task. How fast can be measured with a stopwatch, how well is
open to interpretation.
The operating system on the machines in question will play a big factor in how GIS software will
perform. GIS software written to run on a 32 bit operating system will not perform as well in a
16 bit environment without work arounds. Likewise, a 16 bit application will run faster on a 32
bit machine, but will not run as well as 32 bit software on a 32 bit operating system like UNIX,
Windows 95 or Windows NT.
Hardware Performance
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The goal is to find the fastest, cheapest hardware to meet your budget. Take advantage of
computer magazine reviews of hardware. They conduct standard benchmark tests involving word
processing, spreadsheets and graphics packages. The test results won't be GIS specific, but will
show the overall performance of a given computer. Oddly enough, two computers with
seemingly identical hardware specifications (clock speed, memory, and disk space) can perform
very differently based on internal wiring, graphics acceleration and chip configurations.
Evaluating Benchmark Results
If the questions were formulated clearly, and the results were recorded honestly, evaluating the
results of the benchmark should be the process of simple addition. Essay responses and
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comments will have to be followed up with further tests to clarify any problems or differences
encountered.
Conceptual Design of the GIS

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PART 1 - DATA MODELING

1. INTRODUCTION
This guide describes data modeling in general, spatial data modeling in specific, the setting of
GIS specifications, and an introduction to spatial data and metadata standards. These activities
are collectively called conceptual design of the GIS system. This activity takes the information
developed during the Needs Assessment and places it a structured format. The result of this
activity will be a GIS data model and functional specifications for the GIS system.
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Conceptual design is the first step in database design where the contents of the intended
database are identified and described. Database design is usually divided into three major
activities
• Conceptual data modeling: identify data content and describe data at an abstract, or
conceptual, level. This step is intended to describe what the GIS must do and does not
deal with how the GIS will be implemented - the "how" question is the subject of logical
and physical database design;
• Logical database design: translation of the conceptual database model into the data model
of a specific software system; and
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• Physical database design: representation of the logical data model in the schema of the
software.
The conceptual design of the GIS system is primarily an exercise in database design. Database
planning is the single most important activity in GIS development. It begins with the
identification of the needed data and goes on to cover several other activities collectively termed
the data life cycle - identification of data in the needs assessment, inclusion of the data in the
data model, creation of the metadata, collection and entry into the database, updating and
maintenance, and, finally, retained according to the appropriate record retention schedule. A
complete data plan facilitates all phases of data collection, maintenance and retention and as
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everything is considered in advance, data issues do not become major problems that must be
addressed after the fact with considerable difficulty and aggravation.
The conceptual design of the GIS also includes identification of the basic GIS architecture
(functions of hardware and GIS software), estimates of usage (derived from the needs
assessment), and scoping the size of the GIS system. All of this is done with reference to the
existing data processing environments (legacy systems) that must interface with the GIS.
Preparing A GIS Data Model
A data model is a formal definition of the data required in a GIS. The data model can take one of
several forms, the two used in this guideline are a structured list and an entity-relationship
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diagram. The purpose of the data model, and the process of specifying the model, is to ensure
that the data has been identified and described in a completely rigorous and unambiguous
fashion and that both the user and GIS analyst agree on the data definitions. The data model
is then the formal specification for the entities, their attributes and all relationships between the
entities for the GIS.
Building a data model is not necessarily an easy task. Most professionals in local government
will not have had experience in this task. The GIS analyst of the project is the individual who
either should build the data model or acquire assistance, such as a qualified consultant, to
complete this task. If the opportunity exists for the GIS analyst to attend a database design course
or seminar, this would enhance this person's ability to build the model but, more importantly,
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provide the knowledge for using the final data model in building the GIS. To the extent that data
models prepared for other local governments match the needs of a particular GIS development
program, or can be easily adapted, they can be modified for use as the data model. However, the
GIS analyst must have a good understanding of the resulting model and how it is used to build
and manage the GIS database.
The next sections of the guideline first discuss the nature of geographic data, then present the
methodology used for data modeling, and lastly describe the development of a GIS data model
from the information collected during the Needs Assessment. The example provided in the last
section is actually a sample local government GIS data model and is suitable for direct use, with
appropriate modification to specific situations.
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2. NATURE OF GEOGRAPHIC DATA

Geographic data describe entities which have a location. The geographic data includes the
location information and other information about the entity of interest. This other information
will be referred to as attributes of the entities. Historically several terms have been used to
describe the data in a GIS database, among them features, objects, or entities. The term feature
derives from cartography and is commonly used to identify "features shown on a map," while
entity and object are terms from computer science used to identify the elements in a database.
The normal dictionary definitions of these terms are:
Object: a thing that can be seen or touched; material thing that occupies space
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Entity: a thing that has definite, individual existence in reality

Feature: the make, shape, form or appearance of a person or thing
A good GIS database design methodology requires the use of terms in a clear an unambiguous
manner. This guideline will use the term entity to represent objects or things to be included in the
database and attribute will be the term for representing the characteristics or measurements to be
recorded for the entities. Other terms have commonly been used to describe the organization of
entities and attributes in a GIS, such as layer, coverage, base map, theme, and others. Each of
these will usually refer to a collection of one or more entities organized in some useful way
which is specific to the GIS software in use. These terms will become important during the
logical/physical database design activities where decisions about how the GIS data are to be
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stored in the GIS database are made. The conceptual database design activity is focused solely on
specifying what is to be included in the GIS database and should provide clear and unambiguous
representation of the entire GIS database.
In addition to a clear and concise definition of entities and their attributes, data modeling
describes relationships between entities. An example of a relationship between an employee and
a company would be "works for."
Employee - Works For - Company
Relationships may be bi-directional, thus:
Company - Has - Employees
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An important aspect of a relationship is "cardinality," that is if the relationship is between only

one of each entity or if either entity may be more than one. For example, one company usually
has many employees whereas one employee works for only one company. The possible
cardinalities are: one-to-one; one-to-many; and many-to-many. Thus:
--- Has --->
Company (One) <--- Work For ------ (Many) Employees
There are many variations of the notation used to express these facts. The notation recommended
for local government will be described later.
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Geographic, or spatial data, differs from other "regular" data that are included in computer
databases in how entities are defined and in the relationships between entities. Entity
identification for spatial data includes the definition of a physical or abstract entity (e.g., a
building) and the definition of a corresponding spatial entity (i.e., a polygon to represent the
building footprint). This latter, or second entity does not exist for other types of computer
databases. The existence of the corresponding spatial entity is one of the major factors that
distinguishes GIS from other types of systems and is what makes it very important to utilize
proper planning and design techniques when building a GIS. An example will be used to
illustrate this difference.
3. ENTITY-RELATIONSHIP (E-R) DATA MODELING
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To start the discussion of entity-relationship modeling, two examples will be shown. One, a
regular database and the second, a simple GIS database. The personnel database in any local
government could have entities of employee, dependent and department. Relationships between
these entities would be employee " works in" department and dependent "is a member of"the
employee's family. Some of the attributes for each entity would be as follows:
Employee (name, age, sex, job title)
Dependent (name, age, relationship_to _employee, i.e., spouse, child, etc.)
Department (department_name, function, size)
An example of a simple spatial database would be a follows:
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Polygon
Parcel ID#, owner_name, owner_address,

site_address
Building Building_name, height, floor_area Footprint
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None
Occupant Occupant_name, unit_number

This example has been presented using two standard notational forms for conceptual database
design: a relation, the entity name followed by a list of attributes; and an entity-relationship
diagram showing entities, their attributes, and the relationships between entities. There are two
things to notice:
• The standard entity - relationship diagram has no provision for representing the
corresponding spatial entity (point, line, polygon) of the data; and
• The representation of the attributes (ellipses) can be somewhat awkward due to different
name lengths and the number of attributes to be shown.
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The two notational forms modified to accommodate GIS data will be used as the primary tools
for conceptual database design in this guideline; however, modifications will be made to
adequately represent GIS data.The next section will provide the formal definition of the basic
entity-relationship data modeling method, the modifications needed to represent GIS data,
followed by examples of GIS data entities and attributes typical for local government and the by
a description of how to model these data using the modified entity-relationship data modeling
technique.
Basic Entity-Relationship Modeling
The basic entity-relationship modeling approach is based on describing data in terms of the three
parts noted above (Chen 1976):
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• Entities
• Relationships between entitles
• Attributes of entitles or relationships
Each component has a graphic symbol and there exists a set of rules for building a graph (i.e., an
E-R model) of a database using the three basic symbols. Entities are represented as rectangles,
relationships as diamonds and attributes as ellipses.
The normal relationships included in a E-R model are basically those of:
1. Belonging to;
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2. Set and subset relationships;

3. Parent-child relationships; and
4. Component parts of an object.
The implementation rules for identifying entities, relationships, and attributes include an English
language sentence structure analogy where the nouns in a descriptive sentences identify
entities,verbs identify relationships, and adjectives identify attributes. These rules have been
defined by Chen (1983) as follows:
Rule 1: A common noun (such as person, chair), in English corresponds to an entity type on an
E-R diagram.
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Rule 2: A transitive verb in English corresponds to a relationship type in an E-R diagram.

Rule 3: An adjective in English corresponds to an attribute of an entity in an E-R diagram.
English statement: Mr. Joe Jones resides in the Park Avenue Apartments which is located on
land parcel #01-857-34 owned by the Apex Company.
Analysis: .. "Joe Jones"," "Park Avenue Apartments," "land parcel" and "Apex Company" are
nouns and therefore can be represented as entities "occupant," "building," "parcel," and "owner."
"resides," "located on" and "owned by" are transitive verbs (or verb phrases) and therefore define
relationships.
Example of Simple E-R diagrams
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Many times it is possible to build different E-R diagrams for the same data. For example, instead
of creating the entity "owner," the owner's name could be an attribute of parcel. During the
process of building an E-R diagram (i.e., the conceptual model) for a database, the analyst must
make decisions as to whether something is best represented as an entity or as an attribute of some
other entity.
The process of constructing an E-R diagram uncovers many inconsistencies or contradictions in
the definition of entities, relationships, and attributes. Many of these are resolved as the initial E-
R diagram is constructed while others are resolved by performing a series of transformations on
the diagram after its initial construction. The final E-R diagram should be totally free from
definitional inconsistencies and contradictions. If properly constructed, an E-R diagram can be
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directly converted to the logical and physical database schema of the relational, hierarchical or
network type database for implementation.
Unique Aspects of Geographic Data
In the simplest terms, we think of geographic data as existing on maps as points, lines and areas.
Early GIS systems were designed to digitally encode these spatial objects and associate one or
more feature codes with each spatial feature. Examples would be a map of land use polygons, a
set of points showing well locations, a map of a stream shown as line segments. For the purposes
of plotting (redrawing the map) a simple data structure linking (x,y) coordinates to a feature code
was sufficient.
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Topology
A distinguishing feature of a modern GIS is that some spatial relationships between spatial
entities will be coded in the database. This coding is termed topologically coding. Topology is
based on graph theory, where a diagram can be expressed as a set of nodes and links in a manner
that shows logical relationships. Applied to a map, this concept is used to abstract the features
shown on the map and to represent these features as nodes and arcs (point and lines). Nodes are
the end-points of arcs and areas are formed by a set of arcs. If the concept and definitions of
topologic data structures are not familiar to the reader, the following readings are recommended:
• Geographic Information Systems: A Guide to the Technology, by John Antenucci, et.
al, pages 98-99.
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• Fundamentals of Spatial Information Systems, by Robert Lauring and Derek

Thompson, pages 206-211.
• ARC/INFO Data Model, Concepts, & Key Terms, by Environmental Systems
Research Institute, Inc., pages 1-12 to 1-15.
Coordinate strings without topology with associated feature codes were called "spaghetti" files
because there was not any relationship between any two coordinate strings formally encoded in
the database. For example, the "GIS system" would not "know" if two lines intersect or not or
whether they had common end points. These relationships could be seen by the human eye if a
plot were to be made or alternatively could be calculated (often a time consuming process).
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Typical of this type of geographic data file are those produced by computer-aided drafting
systems (CAD), or known as .dxf, .dwg, or .dgn files.
4. GEOGRAPHIC DATA MODELS
The data models in most contemporary GISs are still based on the cartographic view. Other data
models have begin to evolve, but are still very limited. Current and potential geographic data
models include:
• The cartographic data model: points, lines and polygons (topologically encoded) with
one, or only a few, attached attributes, such as a land use layer represented as polygons
with associated land used code;
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• Extended attribute geographic data mode: geometric objects as above but with many
attributes, such as census tract data sets;
• Conceptual object/spatial data model: explicit recognition of user defined objects, zero or
more associated spatial objects, and sets of attributes for reach defined object (example:
user objects of land parcel, building, and occupant, each having its own set of attributes
but with different associated spatial objects: polygon for land parcel, footprint for
building, and no spatial object of occupant);
• Conceptual objects/complex spatial objects: multiple objects and multiple associated
spatial objects (example: a street network with street segments having spatial
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representations of both line and polygon type and street intersections having spatial
representations of both point and polygon type).
Current GIS are based on the cartographic and extended attribute data models. The trend to
object-oriented computer systems and databases will require that GIS planners view their
databases from an "object viewpoint."
Spatial Relationships
GISs also differ from other systems in that they include spatial relationships. These relationships
are included in the GIS either by the topologic coding or by means of calculations based on the
(x,y) coordinates. One common calculation is whether or not two lines intersect. Figure 7 shows
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the spatial relationships, associated descriptive verbs, and the common implementation of each
relationship by a GIS.
Connectivity and contiguity are implemented through topology: the link-node structure for
connectivity through networks and the arc-polygon structure for contiguity. Containment and
proximity are implemented through x,y coordinates and related spatial operations: containment is
determined using the point-, line-, and polygon-on-polygon overlay spatial operation and
proximity is determined by calculating the coordinate distance between two or more x,y
coordinate locations. The spatial relationship of coincidence may be complete coincidence or
partial coincidence. The polygon-on-polygon overlay operation in ARC/INFO™ calculates
partial coincident of polygons in two different coverages. The System 9™ Geographic
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Information System recognizes coincident features through a "shared primitive" concept (the
geometry of a point or line is stored only once and then referenced by all features sharing that
piece of geometry). Future versions of commercial GISs will likely implement coincident
features through either the "belonging to" database relationship or through x,y coordinates and
related spatial operations, whichever is more efficient within the particular GIS.
In summary, there are three types of relationships that will be represented in a geographic
database with an "object view" orientation:
• Normal database relationships, which are represented in a relational database by means of
keys (primary and secondary)
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• Spatial relationships represented in the GIS portion of the database by topology

• Spatial relationships that exist only after a calculation is made on the (x,y) coordinates
5. METHODOLOGY FOR MODELING
Modeling a geographic database using the E-R approach requires an expanded or extended
concept for:
• Entity identification and definition; and
• Relationship types and alternate representational forms for spatial relationships.
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There are three considerations in the identification and definition of entities in a geographic
database:
Correct identification and definition of entities
Entities in a geographic database are defined as either discrete objects (e.g., a building, a bridge,
a household, a business, etc.) or as an abstract object defined in terms of the space it occupies
(e.g., a land parcel, a timber stand, a wetland, a soil type, a contour, etc.). In each of these cases
we are dealing with entities in the sense of "things" which will have attributes and which will
have spatial relationships between themselves. These "things" can be thought of as "regular"
entities.
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Defining a corresponding spatial entity for each "regular" entity

A corresponding spatial entity will be one of the spatial data types normally handled in a GIS,
e.g., a point, line, area, volumetric unit, etc. The important distinction here is that we have a
single entity, its spatial representation and a set of attributes; we do not have two separate
objects. A limited and simple set of spatial entitles may be used, or alternatively, depending on
the anticipated complexity of the implemented geographic information system, an expanded set
of spatial entities may be appropriate. The corresponding spatial entity for the regular entity may
be implied in the definition of the regular entity, such as abstract entities like a wetland where the
spatial entity would normally be a polygon, or a contour where the spatial entity would be a line.
Other regular entitles may have a less obvious corresponding spatial entity. Depending on the
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GIS requirements, the cartographic display needs, the implicit map scale of the database and
other factors, an entity may be reasonably represented by one of several corresponding spatial
entities. For example, a city in a small-scale database could have a point as its corresponding
spatial entity, while the same city would have a polygon as its corresponding spatial entity in a
large-scale geographic database.
Recognize multiple instances of geographic entities, both multiple spatial instances and
multiple temporal instances
Multipurpose (or corporate) geographic databases may need to accommodate multiple
corresponding spatial entities for some of the regular entities included in the GIS. For example,
the representation of an urban street system may require that each street segment (the length of
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street between two intersecting streets) be held in the GIS as both a single-line street network to
support address geocoding, network based transportation modeling, etc., and as a double-line (or
polygon) street segment for cartographic display, or to be able to locate other entities within the
street segment (such as a water line), etc. In each of these instances the "regular" entity is the
street segment, although each instance may have a different set of attributes and different
corresponding spatial entities. Also, there may be a need to explicitly recognize multiple
temporal instances of regular entities. The simple case of multiple temporal instances will be
where the corresponding spatial entity remains the same, however, future GISs will, in all
likelihood, have to deal with multiple temporal instances where the corresponding spatial entity
changes over time.
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Three symbols are defined to represent entities: entity (simple); entity (multiple spatial
representations); and entity (multiple time periods). The internal structure of the entity symbol
contains the name of the entity and additional information indicating the corresponding spatial
entity (point, line or polygon), a code indicating topology, and a code indicating encoding of the
spatial entity by coordinates. The coordinate code is, at the present time, redundant in that all
contemporary GISs represent spatial entities with x,y coordinates. However, it is possible that
future geographic databases may include spatial entities where coordinates are not needed.
Similarly, topological encoding is normally of only one type and can, for the present, be
indicated by a simple code. However, different spatial topologies have been defined and may
require different implementations in a GIS (Armstrong and Densham, 1990). In the future, the
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topology code may be expanded to represent a specific topologic structure particular to a GIS
application.
Modeling Spatial Relationships
The spatial relationships are defined by three relationship symbols. The traditional diamond
symbol can be used for normal database relationships. An elongated hexagon and a double
elongated hexagon, are defined to represent spatial relationships. The elongated hexagon
represents spatial relationships defined through topology (connectivity and contiguity) and the
double elongated hexagon represents spatial relationships defined through x,y coordinates and
related spatial operations (coincidence, containment and proximity). The appropriate "verbs" to
include in the hexagonal symbols are the descriptors of the spatial relationships. The spatial
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operation will be implicitly defined by the relationship symbol (double hexagon), the spatial
entity and the topology code. For example, a spatial relationship named "coincident" between
entities named "wetlands" and "soils," both of which carry topologic codes and x,y coordinates,
indicates the spatial operation of topological overlay. If this does not sufficiently define the
spatial operation needed, the name of the spatial operation can be used to describe the
relationship, such as shortest path, point-in-polygon, radial search, etc.
6. DEVELOPING A SPATIAL DATA MODEL (ENTITY-RELATIONSHIP DIAGRAM)
The information needed to develop the E-R diagram representing the spatial data model comes
from the Needs Assessment activity as:
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• The GIS application descriptions

• The master data list: Lists, entities, corresponding spatial entities and attributes
• The list of functional capabilities (spatial operations)
The process of building the E-R diagram involves taking entities from the master data list one at
a time and placing each one on the diagram. For each new entity, any relationship to any
previously entered entity should be entered. Relationships are found by examining the
Application Descriptions and determining if the GIS processes require a specified operation. For
example, if an Application Description indicated that land parcels needed to be compared to a
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flood plain area, then a spatial relationship of "coincident area" (or topological overlay
operation) should be defined between the two entities.
As each entity is added to the E-R diagram, the list of attributes should be reviewed and checked
to determine if the attribute is appropriate for the entity, does not duplicate any other attribute or
entity, and can be rigorously defined for entry to create the metadata (metadata is discussed in
the next section of this guideline).
7. SUMMARY OF CONCEPTUAL DATA MODELING
The E-R diagram will be used to verify with the expected users the data content of the GIS and,
by additional reference to the GIS needs analysis, the required spatial operations. Once verified
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by the users, the E-R representation can be mapped into a detailed database design (as will be
described in the Database Planning and Design Guideline)where:
1. Each entity and its attributes map into:
a. One or more relational tables with appropriate primary and secondary keys (this
assumes the desired level of normalization has been obtained);
b. The corresponding spatial entity for the "regular" entity. As most commercial
GISs rely on fixed structures for the representation of geometric coordinates and
topology, this step is simply reduced to ensuring that each corresponding spatial
entity can be handled by the selected GIS package;
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Each
relationship into:
a. Regular relationships (diamond) executed by the relational database system's normal
query structure. Again, appropriate keys and normalization are required for this mapping.
b. Spatial relationships implemented through spatial operations in the GIS. The
functionality of each spatial relationship needs to be described, and if not a standard
operation of the selected GIS, specifications for the indicated operation need to be
written.
8. SPATIAL DATA STANDARDS AND METADATA REQUIREMENTS
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Spatial data standards cover a variety of topics including the definition of spatial data entities
(including a formal data model), methods of representation of the spatial entities in a GIS,
specifications for the transfer of spatial data between different organizations, and the definition
of the attributes of the spatial entities and the values these attributes may assume. Metadata is
"information about data," and should describe the characteristics of the data such as identifying
entities and attributes by their standard names and provide information on such items as data
accuracy, data sources and lineage, and data archiving provisions.
Much of the work on spatial data standards to date as been done under the auspices of the
Federal Geographic Data Committee and only concerns federal spatial data directly. The
relationship between the existing federal data standards and state and local spatial data standards
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have yet to be developed. Appendix A contains a list of current and pending reports on federal
spatial data standards. Work towards New York State spatial data standards will be conducted
under the proposed GIS Standing Committee of the Information Resources Management Task
Force.
Metadata for Local Governments in New York State
Metadata can serve many purposes. Some of the more important functions of metadata are:
• Provide a basic description of a data set
• Provide information for data transfers to facilitate data sharing
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• Provide information for entries into clearinghouses to catalogue the availability of data
The metadata structure and content for local government recommended in this guideline has
been prepared according to the following criteria:
• The metadata must first, and primarily, serve as a documentation and data management
tool for the data administrator in an agency or department
• Secondly, the metadata must encompass and support the data manager and records
management officer in a local agency in all aspects of data management including data
definition, source documentation, management and updating, and data archiving and
retention requirement.
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• Thirdly, the metadata information must be able to generate and supply database
descriptions for spatial data clearinghouses such as the prototype New York State Spatial
Data Clearinghouse developed under the GIS Demonstration Project conducted by the
Center for Technology in Government, SUNY - Albany and any relevant federal spatial
data clearinghouses.
The following metadata information is a prototype for a New York State Local Government
Spatial Metadata Standard. This metadata is represented in a set of tables listed below and has
been implemented in Microsoft Access™. A working copy of this metadata program is available
to all local governments in the state. The structure and information on how to use the software
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are described in a user's guide available with the program. The content of the metadata tables is
as shown in the following lists.
Metadata Tables
1. Organization Information
○ Name Of Organization
○ Department
○ Room/Suite #
○ Number And Street Names
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○ City
○ State
○ Zip Code
○ Phone Number
○ Fax Number
○ Contact Person
○ Phone Number/Extension
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○ Email Address
○ Organization Internet Address
○ Comments
2. Reference Information
○ Filename
○ File Format
○ Availability
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○ Cost
○ File Internet Address
○ Metadata Created By
○ Date Metadata Created
○ Metadata Updated By
○ Date Metadata Updated
○ Metadata Standard Name
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○ Comments
3. Object/File Name Information
○ Filename
○ Data Object Name
4. Data Object Information
○ Distribution Filename (Same as Filename in Reference Information)
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○ Type
○ Data Object Description
○ Spatial Object Type
○ Comments
5. Attribute Information
○ Data Attribute Name
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○ Attribute Description
○ Attribute Filename
○ Code set Name/Description
○ Measurement Units
○ Accuracy Description
○ Comments
6. Data Dictionary Information
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○ Data Attribute Name
○ Data Type
○ Field Length
○ Required
○ Comments
7. Spatial Object Information
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○ Place Name
○ Projection Name/Description
○ HCS Name
○ HCS Datum
○ HCS X-Offset
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○ HCS Y-Offset
○ HCS Xmin
○ HCS Xmax
○ HCS Ymin
○ HCS Ymax
○ HCS Units
○ HCS Accuracy Description
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○ VCS Name
○ VCS Datum
○ VCS Zmin
○ VCS Zmax
○ VCS Units
○ VCS Accuracy Description
○ Comments
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8. Source document information

○ Source Document Name
○ Type
○ Scale
○ Date Document Created
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○ Date Digitized/Scanned
○ Digitizing/Scanning Method Description
○ Comments
9. Lineage Information
○ Data Object 1
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○ Data Object 2
○ Description of Spatial Operation and Parameters
○ Comments
10. Update Information
○ Update Frequency
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○ Date
○ Updated By
○ Comments
11. Archive Information
○ Retention Class
○ Retention Period
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○ Data Archived
○ Archived By
○ Date to be Destroyed
12. Source Documents
○ Source Document Name
○ Source Document ID#
○ Source Organization
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○ Type of Document
○ Number of Sheets (map, photo)
○ Source Material (paper, mylar)
○ Projection Name
○ Coordinate System
○ Date Created
○ Last Updated
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○ Control/Accuracy (map, photo)

○ Scale
○ Reviewed by
○ Review date
○ Spatial extent
○ File format
○ Comments
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13. Entities Contained in Source

○ Source ID#
○ Entity Name
○ Spatial Entity
○ Estimated Volume of Spatial Entity
○ Symbol
○ Accuracy Description of Spatial Entity
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○ Reviewed by
○ Review Date
○ Scrub Needed (yes/no)
○ Comments
14. Attributes by Entity
○ Source ID#
○ Entity Name
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○ Attribute Description
○ Code Set Name
○ Accuracy Description of Attribute
○ Reviewed By
○ Review Date
○ Comments
Additional Reading
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(The following material is quite technical, but a good set of sources on conceptual database
design.)
Armstrong, M.P. and P.J. Densham, 1990, "Database Organization Strategies for Spatial
Decision Support Systems," International Journal of Geographical Information Systems, vol. 4,
no. 1, 3-20.
Calkins, Hugh W., "Entity Relationship Modeling of Spatial Data for Geographic Information
Systems," International Journal of Geographical Information Systems, January 1996.
Chen, P.P., 1976, "The Entity-Relationship Model - Toward a Unified View of Data," ACM
Transactions on Database Systems, vol. 1, no. 1, March 1976, pp. 9-36
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Chen, P.P., 1984, "English Sentence Structure and Entity-relationship Diagrams," Information
Sciences, 29, 127-149
Davis, C., et. al., eds., 1983, Entity-Relationship Approach to Software Engineering, Amsterdam,
Netherlands: Elsevier Science Publishers B.V.
Elmasri, R. and S.B. Navathe, 1989, Fundamentals of Database Systems, Redwood City,
California: The Benjamin/Cummings Publishing Company, Inc.
Jajodia, S. and P. Ng, 1983, On Representation of Relational Structures by Entity-Relationship
Diagrams, Entity-Relationship Approach to Software Engineering, P. Ng and R. Yeh (eds.),
Amsterdam, Netherlands: Elsevier Science Publishers B.V., pp. 249-263.
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Liskov, B. and S. Zilles, 1977, "An Introduction to Formal Specifications of Data Abstractions,
Current Trends in Programming Methodology" - Vol. 1: Software Specification and Design, R.T.
Yeh (ed), Prentice Hall, pp 1-32.
Loucopoulos, P. and R. Zicari, 1992, Conceptual Modeling, Databases, and CASE: An
Integrated View of Information Systems Development, New York: John Wiley & Sons, Inc.
Teorey, T.J. and J.P. Fry, 1982, Design of Database Structures, Englewood Cliffs, NJ: Prentice-
Hall, Inc.
Ullman, J.D., 1988, Principles of Database and Knowledge-Base Systems, 2 vols. (Rockville,
Maryland: Computer Science Press, Inc.)
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Appendix A
Developing Standards for Spatial Data and Metadata
Spatial data standards are needed in order to facilitate the exchange of spatial data between
geographic information systems. We refer to data as "spatial" because the common factor is a
geographic reference (a reference in space) which allows the data to be accessed through a GIS.
In order to accomplish the goal of facilitating data exchange, spatial data standards should
provide:
• Definitions of terms for spatial objects or features included in GIS;
• A structure (or format) for the exchange of spatial data;
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• A method for describing the accuracy and lineage of the data; and
• The definition of metadata (the data that describes the spatial data).
The primary purpose for spatial data standards is to facilitate data sharing and exchange, thus the
focus only on data issues. The Council concluded that It is not necessary to develop standards for
GIS hardware or software at this time. as these standards are expected to evolve from groups
such as the Open GIS Consortium, a non-profit trade association formed to implement the Open
Geodata Interoperability Specification .
The Current Status of Standards
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At present, spatial data standards exist only at the Federal government level. Under the Federal
Geographic Data Committee, three standards documents have been prepared:
The Spatial Data Transfer Standard (SDTS - FIPS 173)
This standard defines a method for the exchange of spatial data between different GIS software
systems. It also contains definitions of terms for the spatial objects of interest to Federal
government agencies.
Content Standards for Digital Geospatial Metadata (proposed)
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This standard defines the content for digital geospatial metadata, the information about spatial
data that would be entered into a clearinghouse or repository to form a catalog of spatial data
available to other users.
Cadastral Standards for the National Spatial Data Infrastructure (draft)
This is a draft standard for cadastral (land ownership) data, one of twelve theme standards
documents under preparation.
The Federal Geographic Data Committee has also established a National Spatial Data
Infrastructure (NSDI) for the purpose of coordinating geographic data acquisition and access.
The mechanism for this will be a National Spatial Data Clearinghouse, a distributed network of
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geospatial data producers, managers, and users linked electronically. It is envisioned that this
network of clearinghouses would contain information about available spatial data. Potential users
would search this clearinghouse to find data of interest, access the metadata for a description of
data of interest, and could acquire the data from the distributing agency. Spatial data may be
deposited directly with a clearinghouse or retained by the originator.
The Federal effort towards standards development started in 1981 and The National Spatial Data
Infrastructure and Federal spatial data standards are still evolving at this time. The remaining
subject area (theme) standards reports are scheduled for release during the Spring of 1996
( themes are: base cartographic, bathymetric, cultural and demographic, geodetic, geologic,
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ground transportation, international boundaries, soils, vegetation, water, and wetlands). The table
below shows the current status of federal spatial data standards development.
Implementation of the Federal geospatial data standards is through Executive Order 12906
signed by the President on April 11, 1994. The FGDC is directed to " ...seek to involve State,
local, and tribal governments in the development and implementation of the initiatives continued
in this order." The Order provides that:
"Federal agencies collecting or producing geospatial data, either directly or indirectly ~e.g.
through grants, partnerships, or contracts with other entities) shall ensure, prior to obligating
funds for such activities, that data will be collected in a manner that meets all relevant standards
adopted through the FGDC process. "
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Status of Federal Geographic Data Committee Standards

Currently in development: Completed public review:
National Spatial Data Accuracy Standard Cadastral Content Standard
Federal Domain of Values for Data Content
Standards for Digital Orthoimagery
Standard
Draft Standards for Digital Elevation Data Cadastral Collection Standard (Cadastral)
Hydrographic and Bathymetric Accuracy
Clearinghouse Metadata Profile (Cadastral)
Standard
Standards for Geodetic Control Networks Classification of Wetlands and Deepwater
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Habitats of the United States

Transportation Network Profile for Spatial Data
Transfer Standard
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Transportation-related Spatial Feature

Dictionary
Soils Data Transfer Standard
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Vegetation Classification Standards

River Reach Standards and Spatial Feature
Dictionary
Facility ID Code
Content Standard for Cultural and Demographic
Data
Metadata
Source: Federal Geographic Data Committee Newsletter, November 1995.
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Acquisition of Hardware & Software

1. INTRODUCTION
This guide begins the description of the first of four steps of the GIS Development process which
deals with the actual assembly of the GIS and its subsequent operation.
All of the necessary planning, design and testing should have been completed during the
execution of the previous seven steps of the GIS development process. The remaining steps and
their main purpose are as follows:
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• GIS Hardware and Software Acquisition - includes the final selection of the hardware
and software (by competitive bid in response to a Request for Proposals - RFP, as
necessary); the delivery and installation of the hardware and software; and all necessary
renovation of space, wiring, and environmental remodeling.
• GIS System Integration - bringing the final database and the hardware and software
together and testing their combined operation.
• GIS Application Development - preparing applications identified in the Needs
Assessment which require additional programming using the GIS macro language or
other supporting programming languages.
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• GIS Use and Maintenance - starting use of the GIS and institution of database, hardware
and software maintenance programs. Further application development and user training
are also continuing needs.
2. GIS HARDWARE AND SOFTWARE ACQUISITION
This step is the actual purchase of the GIS - hardware and software. The GIS to be acquired is
usually subject to competitive bid by the interested vendors. The single most critical part of this
process is the preparation of an adequate (and detailed) Request for Proposals (RFP).
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Acquiring the components for your GIS is an important step. Use all of the information you have
gathered up to this point to produce a document telling prospective bidders what you need. The
document should clearly communicate your needs and how bidders should respond to the RFP.
During this phase remain objective. Keep as much of the "politicking" out of the selection
process. You should be looking for the best value for your money, not the lowest cost.
3. STEPS IN THE GIS ACQUISITION PROCESS
Evaluation Team
The evaluation team should be made up of interested staff from departments involved in
implementing GIS within the local government. These individuals need to be objective and not
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have pre-defined ideas of what system they want. They need to be action oriented and willing to
put in the time to do the job right. A successful RFP process involves a great deal of hard work
and coordination. You will need to have people on the committee to help accomplish this.
Once a draft RFP has been developed, have an objective 3rd party look at it. You want it as
complete and readable as possible. This can be another local government (maybe one of the ones
how supplied you a copy of theirs) or a consultant helping you with the RFP process (make sure
the consultant is not planning on bidding on the project).
Preparation of Request for Proposal (RFP)
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The RFP document is used to communicate your needs to potential bidders. It will also tell
bidders how you want them to respond to the RFP.
Be as specific as possible in defining what you need for your GIS. Provide detailed descriptions
of the functionality, services and support you are looking for. It is recommended that you do not
use specific brand names of software and hardware products in your RFP specifications. This
will limit the number of potential bidders you can choose. There will be situations where specific
products are needed. An example is when your organization has a policy in place for using a type
of operating system or has already standardized and developed data sets for use in a particular
software package. Focus more on what you want the system to do. You will not get what you
need unless you specify it clearly in the RFP.
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In your RFP, tell the bidders how you want them to respond. Provide examples of what you
want: define how pricing should be structured, use standardized forms if appropriate, clearly
state criteria for evaluating the responses. You will receive responses that are more consistent
and easier to evaluate if you define the response guidelines in the RFP.
To get started, contact other local governments who have recently developed similar RFPs. Use
these as a guide. It would be a good idea to contact the person responsible for evaluating the
responses. Ask them what worked and what didn't work with the RFP. Adjust your RFP
accordingly. Also adjust the scope of your RFP to fit your needs. If you are a small village, don't
use a RFP developed by a larger city (or visa-verse) you will not get what you need and the
potential bidders will be confused or mis-directed.
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Distribution of RFP
You will want your RFP to go to qualified bidders. The best source for this is to go to trade
shows or GIS user group meetings and ask around. Again, try to stay objective. Don't get mis-
lead by flashy demos or excessive hype. Talk to other local governments and get
recommendations of companies they think are qualified to respond to your RFP.
Another method might be to post a notice in GIS trade journals (both regional and national). Be
prepared for a large amount of companies inquiring about your project. This method is better
used for large, expensive projects.
Bidder's Meeting
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A bidder's meeting should be scheduled within a week or two of the RFP be sent out. Make sure
the time and location is in the RFP. This meeting is used to get feedback from the bidders and to
clarify anything not clearly stated in the RFP. It is always an interesting experience to have
number of competitors gathered together in one room. There will be a reluctance by the bidders
to ask any questions that might give away their bidding strategy to their competitors. Do not be
surprised if there are not many questions raised at the meeting. To get things going, have a short
prepared statement or presentation that outlines the history of the project and the requirements of
the RFP.
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It is important to ask the bidders to submit written questions to you in a specified period of time.
It is also recommended that all written questions and your responses be compiled and sent back
to all bidders. This will provide consistency and fairness in the process.
The purpose of this meeting is to communicate to all bidders what you need and how you want
them to respond.
Answering questions
In addition to the written responses from the bidder's meeting, you will need to provide some
mechanism for answering ad-hoc questions from bidders. The best way to do this is to require
that all questions be faxed or e-mailed to a specific person and provide a response within 24
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hours. It would be impractical for your organization to provide these ad-hoc questions and
answers to all bidders. It would be a good policy to take questions up to the submission date for
proposals. After that date no correspondence between a bidder and people involved with the
selection process should be allowed.
Deadline for submission
Establish a deadline for submission. All responses must be in by the specified time and the
specified location in order to be considered. Set your time to be a few hours before the close of
business. Inevitably a bidder will get stuck in traffic or a courier will be delayed. This will give
you a little cushion and allow you time to check in responses while still allowing you to go home
at a reasonable time.
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4. EVALUATION OF PROPOSALS
Evaluating proposals should be done by the RFP committee with all the members using the same
criteria as listed in the RFP. This process should be documented in case a protest arises. If you
have been specific defining your GIS needs and defining how bidders needed to respond, the
evaluation process should be straight forward.
Sample Questions - Has the bidder:
• Proven they can meet all of the functionality needed?
• Provided pricing that can be compared with other responses?
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• Described the types of services and support in an understandable way?

• Provided references and related experience for you to check on?
Criteria for Evaluation
It is important that this process be documented in case a protest is submitted or to explain why a
proposal was not accepted. Each of the criteria needs to be measurable or quantifiable.
Functional capabilities
In the Needs Assessment phase GIS functionality was identified and documented. This
documentation of functionality should be defined in the RFP and used for this evaluation.
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Develop a checklist of the various functions and have each committee member fill out the
checklist for each proposal.
Vendor Support
Without proper support any system is doomed to failure. Part of the evaluation is to understand
the type of support being offered. What kind of response time is being offered and what are the
standards. Will the vendor provide answers to a problem within 24 hours of a call? Will they
provide on-site vs. factory service for hardware problem? Make sure you are comfortable with
the level of service being offered.
Cost / Maintenance Fee
There are a lot of ways to state the price of a proposal. It is recommended that you be specific as
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possible in the RFP and bidder's meeting about how the price should be structured. The more
pricing can be itemized in the proposal the easier it will be to compare the responses to each
other. A suggestion is to develop a pricing form for each bidder to fill out and include with their
proposal. As a minimum have separate pricing for software, hardware, services and support.
More detail for each of these sections would be nice, just don't get too carried away.
Interviews / Benchmark Test (see Benchmark Test Guide)
After the RFP committee has evaluated the written proposals, a "short list" of bidders should be
agreed upon. Any proposals that are not in compliance with the RFP or do not rank high in the
evaluation should be eliminated from consideration the remaining bidders compromise the short
list. Some marginally qualified bidders many need to be eliminated as well to keep the short list
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of bidders a manageable size. These short list bidders will be invited to a interview and/or a
benchmark.
During this process you will be evaluating the bidder on:
• Ability to interact with your organization
• Technical ability
• Ability to communicate effectively
Selecting a Proposal
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Once the Interview / Benchmark is completed. The RFP committee members should compile all
of their evaluations independently then meet as a group. This meeting should review all of the
proposals and begin to focus on which proposal to select. At this meeting questions may arise
that need to be answered in more detail. Take the time to get these answers from the bidder
before a selection is made (generally a phone call will work but sometimes a follow up interview
is needed if practical).
Once all of the committee's questions are answered, it should move quickly to making a selection
and notifying the bidders. At this point a contract needs to be put in place that defines the scope
of work outlined in the RFP. This contract needs to be executed before any further phase of GIS
implementation is started.
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5. GIS DELIVERY AND INSTALLATION PLAN

Once you have selected a vendor(s) for your system you will need to coordinate the delivery and
set up of all of the components. there are many resources to call on to do this. The most obvious
being the vendor. They should have demonstrated that they have some level of expertise with
GIS and can help you get up and running quickly. It is a good investment to buy their services to
install and set up the system for you. These services can be contracted for on a time-and-material
basis or under a scope-of-service contract.
The most effective means of describing how to prepare the RFP is to do so by example. The
remainder of this guideline consists of selected parts from an actual RFP, - presented here to
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illustrate the scope, content, and level of detail needed. A properly prepared RFP increases the
chances that the vendor responses will be most appropriate to the needs of the local government.
6. SAMPLE HARDWARE SPECIFICATIONS
Specifications for a system configuration to support Geographical Information System (GIS)
development and operational applications follow. The system configuration consists of various
devices that will be networked together to support data capture, storage, processing and display
in both digital and hard copy forms, including:
• mapping/analysis workstations (2)
• color laser printer (1)
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• black and white laser printer (1)

• cartridge tape drive (1)
• color raster plotter (1)
The proposal shall include technical and functional capabilities of the devices offered to meet
these specifications. Provision of the following information should be included for each device:
• manufacturer
• model number
• capabilities/configuration of each device in comparison to the device specifications
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• documentation provided with the device (i.e., manuals)

• warranty included in the purchase price
• the nature and duration of user support services included in the purchase price such as
maintenance agreements, user support and service, and the average time period between
requests for user support and on-sit technical service if available.
GIS Workstations
The Mapping/Analysis workstations will support a wide range of GIS activities, including
database development, database quality control, user application development, database
maintenance and all GIS applications supported by fully functional GIS software such as
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cartographic production, geographic database queries, and advanced geographic analysis using
both spatial and attribute information. One of the GIS workstations must support high capacity
data storage, and multi-user GIS processing, and should perform all GIS operations and
applications within acceptable user response times.
General Specifications for Workstations:
• Mass storage may be configured within the workstations' cabinetry and/or as external
drives
• The workstations should be configured with a single high resolution (1280 x 1024 or
greater) color monitor with at least 19" minimum diagonal screen dimension
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• All devices shall include a keyboard and a pointing device such as a mouse
• Each GIS workstation should be network-ready, and should be capable of connecting to a
local area Ethernet network and supporting a minimum transmission speed of 10
megabits per second (mbps).
• Multi-user, multi-tasking operating system supporting logical security measures such as
user name/password validation, and user access privileges.
• The devices should support virtual memory operations, either through a dedicated
hardware controllers(s) or through software (operating system) functions.
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• Descriptions of options for upgrading speed and performance through the addition or
replacement of boards or other components in the existing cabinetry of the workstations
should be provided.
Specific Details of Workstations:
Both workstations should support the following hardware specifications:
• The workstation should include a minimum of a 32-bit processor supporting both 64-bit
address and data buses. The CPUs should operate at a minimum of 75 MHz clock speed
and/or have enough processing speed and capacity to support other intelligent GIS client
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devices. These will consist of X-Stations or PCs. The workstations may have multiple
CPUs on board.
• The devices should include at least 128 MB (megabytes) of main memory and shall
support 32 MB memory modules and be expandable to at least 256 MB.
• The devices should be configured with mass storage disk drive(s) for direct access of data
and software functions. They will have a minimum of 3 GB of mass storage each
• The workstations will be configured with a quad speed CD-ROM drives that will
facilitate the installation of upgrades to the operating system, installation and upgrade of
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application software, and user access and review of systems and application
documentation.
• The devices should also be equipped with one 1.44 or 2.88 MB floppy drive each
• The server must support multi-user/multi-tasking operations and must concurrently
support both server and host workstation functions.
• Vendors shall describe options for upgrading the speed and performance of the server and
mass storage capacity through the addition or replacement of boards or other components
in the existing cabinetry. Also, Vendors shall describe options for increased performance
and mass storage that involve connection of devices external to the existing cabinetry.
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Small-Format Color Printer

One (1) color printer will be used for the production of color hard copy graphic plots and
nongraphic report generation.
The color laser printer should meet the specifications or equivalent described below:
• Minimum of 300 dots per inch (dpi) resolution
• Minimum 100 sheet paper tray
• Minimum of 4 MB memory onboard with capacity for memory upgrades
• Support for letter, legal size, and 11"x17" paper sizes
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• Built-in postscript compatibility

• Serial and parallel interface
Sample hard copy outputs from the proposed device(s) shall be included with the proposal.
Cartridge Tape Drive
The system should include one (1) 4mm DAT tape subsystem for the Planning and Zoning
Department. The tape should have a capacity of not less than 5 GB. The tape subsystem will
provide a mechanism for performing system and data back-ups.
Large-Format Color Raster Plotter
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A color raster plotter shall be included for the production of high quality, large format
cartographic products. This device must provide a high-volume color plotting capacity. The
plotter shall support 36" x 42" plots and produce color plots at a minimum resolution of 300 dots
per. The plotter shall be compatible with the proposed LAN hardware and communications
protocols and must be accessible by all workstations on the LAN. A sample hard copy output
from the proposed plotter(s) shall be included in the proposal.
Additionally, the plotter shall meet the specifications described below:
• Capable of supporting true color plotting
• Minimum of 8 MB memory onboard with capacity for memory upgrades
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• Support for all paper sizes, A through E size

• Built-in postscript compatibility
• Serial and parallel interface
Provide four (4) replacement paper rolls with the printer. The paper should be a high quality
glossy bond.
7. NETWORK AND COMMUNICATIONS SPECIFICATIONS
There is a requirement to connect new hardware in two departments. Existing software consists
of Intergraph's I-Dispatcher, emergency response dispatch system. Requirements for each level
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of communications are outlined in the section below. Vendors shall state the level of compliance
and provide a description and cost quotation for all hardware and software components needed to
meet the requirements at each level of data communications. Vendors should include in the cost
proposal the cost of any specialized hardware devices that will be required to implement the
proposed communication network.
Network Processing Requirements
Network processing requirements are as follows:
• Storage of data which is accessible by users on the network by specifying particular files,
collections of features or attributes, and geographic areas
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• Access security to allow assignment of different levels of access rights to portions of the
GIS database by user name or physical device
• Ability to support query workstations on the network, directly connected to the server, or
connected through remote communication lines so that network users can have access to
these devices and vice versa
• Ability to allow database queries directly from workstations on the network without the
need to download data to workstations
• Ability to allow network-wide access to plotters and printers, all with print/plot queries
for generating hard copies
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Network Management and Monitoring Capabilities

The proposed physical network should also be able to perform the following network
management functions:
• Access to data on remote nodes by reference to the node, disk, directory, and file
• Access to programs on remote nodes by similar reference
• Assignment of logical names or aliases for programs or data locations on remote nodes
• Control of peripheral devices from any node on the network
• Passing of mail messages across nodes
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• Program-to-program communications across nodes

• Monitoring of traffic and errors on the network
The proposal shall include all cabling and devices required to implement all data communication
connections, utilizing existing facilities.
Network Speed and Capacity
The proposed system must operate at a minimum raw data speed of 10 megabits per second. The
Proposer shall provide information about the upper limit in numbers of mapping/analysis/query
workstations that can be supported without major degradation in response time or error rates on
the proposed network.
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Transactions and Data Exchange with Existing Systems

Initially, the GIS network will not support on-line links with the existing IBM mainframe.
Access to data residing on the mainframe will be accomplished by downloading data onto 9-
track tapes and then re-writing this data onto current industry standard media such as 4mm data
tapes or CDs.
8. SOFTWARE SPECIFICATIONS
Software Component Overview
The GIS software components shall fully support and exploit the capabilities of the proposed
hardware platform and shall provide full functionality for entry, editing, maintenance, analysis,
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display, and hard copy output of both graphics and tabular data on a continuous and interactive
basis.
For purposes of this procurement, software component capabilities have been grouped into the
functional categories of:
• Database structure
• User interface
• Data entry
• Data editing/maintenance
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• Data query and analysis

• Data display/output
• Application development
• Operating system requirements
Data Editing And Maintenance
The proposer shall describe the tools and capabilities of the proposed system to modify and
manipulate spatial and attribute data in the GIS for the following categories:
• Interactive Graphic Editing
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• Attribute Editing
• File Copying
• Deletion of Features
• Edit Controls
• Rubber Sheeting
• Coordinate Registration and Transformations
• Quality Control/Error Detection
• Merging, Extraction, Edge Matching of Data
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• Data Transactions, including the capabilities of the proposed system to translate data into
and out of the following formats:
○ GFIS to Proposed System Format (specify how attribute data is addressed
○ AutoCad DXF (specify how attribute data is addressed)
○ AutoCad CWG (specify how attribute data is addressed)
○ Intergraph IGDS (specify how attribute data is addressed)
○ USGS DLG and DEM
○ TIGER Line Files
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○ ArcInfo Export Files

○ Exchange data with KVS Computer Assisted Mass Appraisal (CAMA) System
Data Query And Analysis
The proposed software shall support the following data query and analysis capabilities:
• Graphic Data Query
• Area/Perimeter/Distance Calculation
• Attribute Data Query
• Spatial Aggregation
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• Buffer Analysis
• Address Matching
• Polygon Overlay Analysis
• Linear Network Analysis
• Area Districting and Zoning
Data Display/Output
The data display and output tool capabilities that the proposed software shall support including
the following:
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• Graphic Display
• Tabular Display
• Raster Image Display/Production
• Vector Map Overlay
• Hard Copy Map Production
• Hard Copy Report Production
• Map Plot/Display Relationship with Scale
• Graph/Chart Production
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• Interactive Map Composition

Application Development
The Proposer shall propose one of more software components that, in a well integrated manner,
provide the following capabilities and features:
• Menu Design and Custom Application Development
• Programming Features
• Supporting High-Level (4 GL) Programming
• Subroutine Libraries
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Basic Operating System Requirements

The operating system component of the software shall be the primary operating system of the
proposed hardware platform and shall provide all of the traditional features of current operating
systems as described below:
• Multi-user Support
• Multi-tasking, Multi-threading Support
• Security Management
• File Management
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• Memory Management
• Database Backups
• Error Monitoring/Disaster Recover
• System Diagnostics
• Anti-viral Protection
• Electronic Mail (E-Mail)
Network Management Functions
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The proposed system shall provide capabilities for monitoring and managing all data and devices
on the GIS network as one unified system and support the following capabilities:
• Multi-user Database Access and Maintenance
• Monitoring of network Activity
• Network Problem Diagnostics
• Print and Plot Management
9. GIS DATABASE STRUCTURE
Database Model
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A GIS database model defines the nature and usage of spatial (geographic)data with a database.
The proposed software shall support a spatial data model that is capable of creating, managing,
and manipulating data sets, defined on the basis of spatial coordinates and associated attribute
data sets.
Feature Types: The data model shall support multiple feature types including point, node, line,
polygon, and text features
Data Storage: Features shall be stored as double precision x and y coordinates
Data Types: The data model shall support multiple graphic and nongraphic data types
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Database Organization: Vendors shall describe strategies for organizing data into logical groups
on the basis of data themes, and shall describe the capabilities of the data model for supporting
simple and complex feature types.
Topological Data Structures
The geographic data model shall support the creation and maintenance of topological data.
Topology shall be created through execution of a software function to structure graphic data sets.
Vendors shall describe the ability of the proposed data model to support logical polygons,
networks, and user-defined topological structures.
Design
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Software capabilities that support large-scale engineering and design activities should be
outlined as well as specific engineering functions and appropriate modules.
Raster Image Data
The Proposer shall describe support for storage of raster map images (e.g., scanned bluelines,
orthophotos) and for raster scanned documents.
Continuous Geographic Database
The geographic data model shall support the creation and storage of a continuous geographic
database
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Relational Database Management System

The Proposer shall recommend a relational database management system (RDBMS) that will be
able to maintain a minimum of 30,000 records of parcel ownership information in a single table
and shall provide functionality for updating database content, queries, and production of reports.
The recommended RDBMS must be either a part of the GIS software or have a direct access
capability.
10. SUMMARY
The RFP sections presented above give a good example of the scope of topics and level of detail
needed. This particular RFP did not present a conceptual data model for consideration by the
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vendors, but rather specified general characteristics for the GIS data model required. An actual
conceptual data model, rather than its general characteristics, could be more useful to vendors,
and thus more productive for the user's organization.

1. INTRODUCTION
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One of the most important elements of developing a GIS is finding and utilizing the appropriate
data. The form of the data is critical to the overall database design and the success of the
analyses performed with the system. The quality of the results produced from GIS analyses and
applications ultimately resides in the quality of the data used. GIS data can be obtained in
various formats from many different sources. Application requirements based upon quality, scale
and level of completeness will depend upon the needs of the application. Once data requirements
are developed, there are usually a plethora of data options which the potential user can choose
from. Some of these choices will include whether to utilize government- or privately-developed
data, cost in this case will be a major difference. Other choices may involve data currency, scale,
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accuracy, and depending upon the application, the data structure, platform specifications or even
media format.
This guideline will discuss various information surrounding available GIS data including
evaluating data requirements, various types and sources of available GIS data, potential data sets.
This guideline will also discuss potential opportunities for data sharing.
2. DATA REQUIRED
Master Data List (from Needs Assessment)
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One of the products available from a Needs Assessment is a Master Data List. Based upon
descriptions of the tasks future GIS users will want to perform, a listing of the various required
data is developed.
From the Needs Assessment you will have identified:
• the data entities
• the attributes associated with the entities
The Master Data list is used to prepare a database plan which includes:
• a logical/physical design of the GIS database
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• procedures for building the GIS database

• procedures for managing and maintaining the database
In this guide, the procedures for identifying and documenting existing data will be described.
3. POTENTIAL SOURCES OF DATA
Types of Data
There are many different types of data which can be utilized by a GIS system. Each data type has
its own unique properties and potential for contributing to the overall quality and functionality of
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the GIS database. These various data types are mapped data, tabular data listings, remotely
sensed imagery, and scanned images. The following sections describe these data types.
Mapped Data/Map Series
Mapped data may refer to published maps found in an existing map series or collection. These
maps should be logically classified based upon their data content (e.g., topographical,
hydrological data). Maps which meet National Map Accuracy Standards are usually produced by
federal or state government agencies. Paper maps, if not already in digital format, can be utilized
in developing the database through vector tablet digitizing or scanning.
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Mapped data can also be identified as geographic data which has been digitized into the vector
data structure. Vector map data may be found with or without real-world coordinate information
and may or may not have topological relationships. Many organizations which digitized their
map data in the past, did so utilizing CAD (computer aided drafting), and thus were not able to
establish topological relationships between their spatial elements. Today, there exists software
which allows CAD data to be quickly converted into topologically correct geographic data which
can then be assigned coordinate data within a GIS. Many alternative sources of digital spatial
data thus exist, in addition to the volumes of topologically correct geographic data available from
local, state and federal governments.
Attribute Tables or Lists
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A readily available form of GIS input, data tables and listings are available from many different
organizations and government agencies. Various data tables can be obtained as GIS input to
provide additional attributes which will be associated with spatial data elements. These elements
are easily linked using primary relationship keys. Database, spreadsheet or ASCII-delimited text
tables include some of the various import formats available in many GIS systems. Any
organization that maintains a database, or uses spreadsheets to organize their records is able to
create digital listings. Tables and lists are available from almost any government organization as
long as the data does not involve privacy issues which would impede accessing such data.
Image Data (Remotely Sensed Images, Aerial Photos)
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Image data is an excellent source of GIS input data. It mainly consists of remotely sensed images
which includes both aerial photographs (in analog or digital format) and satellite images. Aerial
photos are normally captured with analog cameras. These cameras produce photographs whose
data can be very important in a GIS system. Photographs, though not digital, can be digitized by
using a vector digitizing tablet, or they can be scanned, and then input into the GIS as an image.
In either case, the digital version will normally require rectification and re-scaling in order to
correct camera distortions common with most aerial photography.
Until they are converted into a raster GIS format, basic raster images such as satellite imagery or
scanned aerial photographs do not offer any topological connectivity or potential for GIS
analysis. Satellite imagery is captured in raster digital format. With the advent of an open display
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architecture, many GIS packages are able to integrate both raster and vector data into the same
display. Remotely-sensed image data is useful within an editing environment for display as a
backdrop for both heads-up digitizing and updating of vector layers, for verification, or for
conversion into raster GIS layers and then subsequently into vector data layers.
Most remote sensing cameras allow for the capture of infrared images, separating different light
waves into varying band-widths which together and/or alone may show much more information
than a normal camera reading only in the visible spectrum. Most GIS will allow for the display
of these images and will allow for the assigning of different colors to the various bands for the
effective display of the data. GIS packages today also allow for the processing of these images in
order to rectify, warp, and geo-reference the imagery as necessary so that they will be useful as
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scaled images. After such procedures, geo-referenced images can be overlaid with similarly geo-
referenced vector imagery for effective display.
Scanned Images (Pictures, Diagrams)
Scanned raster images are able to be displayed in a GIS the same way that satellite images are
displayed. Any raster image, whether it be a scanned map, photograph or diagram, can be easily
input into a GIS for display purposes. Integrating scanned images into a GIS display, or
converting raster data into raster GIS format are fairly routine capabilities for most high-end GIS
packages. As discussed earlier, a GIS allows for the assignment of coordinates to raster image
data.
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Scanned maps (as opposed to digitized vector representations) can be effective backgrounds
upon which other GIS vector layers can be displayed. Scanned maps usually contain much
valuable annotation which would be very time-consuming to duplicate in a vector environment.
Including raster images allows for the enhancing of an application by providing the user with
visual display data which can enhance the user's understanding of the data. Scanned photographs
are especially effective. In many GIS packages, links can be established between an image
viewer, which displays scanned images, and vector geographic features so that when an event
sequence is initiated (e.g. selecting a vector feature), the raster image viewer appears with the
specified scanned image.
Formats
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There are three major formats in which GIS-usable data can be obtained. They include
hardcopy/eye-readable format, analog image format, and in fully digital format. Unique types of
information can be accessed from each of these data formats.
Hardcopy (Paper, Linen Or Film)/Eye-Readable
Hardcopy maps are easily accessed from a wide variety of organizations. Hardcopy maps, as a
form of GIS source data, can be digitized on a digitizing tablet into vector GIS format, or
scanned and then converted into raster GIS format. Although there are potential accuracy
problems which are associated with paper and linen maps (related to distortions due to
shrinkage/expansion of the media) in capturing geographic features, there is still much unique
geographic data which can only be found on these maps. An example of unique data from paper
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or linen maps is seen when seeking geographic data for a certain time period. Much of the digital
data which is readily available may only be the most current, updated data for a region. For
example, in order to find geographic data from before 1970, the only choice may be to access a
paper or linen map. Use a film copy of the source document where available as this will be the
most stable media.
Accessing dated tabular information for the development of an attribute database may be a
similar endeavor requiring the use of paper documents. Organizations which have been in
existence since before the dawn of digital filing systems all had to keep their data in paper "hard-
copy" format at one time. Some of these older records may have been converted into digital form
at one point. In other cases, there may be hard-copy documents which are the only versions of
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dated material. In order to conserve space and the integrity of most documents, many might
possibly have been copied onto microfiche.
Image (Picture)
Aerial photography is found to be an abundant geographic data form. Photogrammetry (aerial
mapping) is a common way of creating an accurate and up-to-date land base. Aerial photos
provide the raw data which is necessary for various planimetric and topographic mapping
applications. Photographic images are a very rich data source in that many geographic features
can be seen clearly on a photograph but may not be seen in a paper map or a vector digital file
(e.g., a large clearing within a wooded area would not be differentiated on most paper maps, but
it is clearly visible on the aerial photo).
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Aerial photography is available from many sources (i.e.: USGS, DOT, County agencies, etc.)
The federal government has recently developed the National Aerial Photography Program
(NAPP) in which states that desire to have their counties flown may split the cost with the
Federal government. Many useful products are derived from the NAPP including 1:12,000 hard
or soft-copy orthophotographs. An orthophoto is a scanned aerial photograph which has been
digitally rectified using control points and a digital elevation model. The digital versions are
especially useful for GIS applications. If the type of digital aerial photography needed is not
available, organizations can create a request for proposal to solicit bids for aerial mapping,
although this can be very expensive.
Digital
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Within the digital format genre, there are many different varieties of data available. These
various options are becoming as numerous as what is currently available in paper maps. In terms
of map graphics, there are again two different data structures which are quickly integrated into
today's GIS systems: these are raster and vector data formats. Tabular data can be found in
digital data format most frequently. Various forms of digital spatial data which are currently
available in raster format may include some of the following:
• Scanned maps and aerial photography
• Satellite Imagery
• Digital Orthophotography
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• Digital Elevation Models

Some of the various forms of digital spatial data which are currently available in vector format
may include some of the following:
• Topological vector linework
• Non-topological vector linework
• Annotation layers
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Some of the various forms of digital attribute data which can be input into a GIS includes file
types associated with various software components: spreadsheet, database and word-processing.
Some of the file formats which can be utilized include: dBase, Excel, and ASCII delimited text.
Government Sources
Government is the largest single source of geographic data. Data for most any GIS application
can be obtained through federal, state, or local governments. Various data formats, whether
paper, image or digital, can all be obtained through government resources. The following
subsections give basic descriptions of the datasets which are available through some federal,
state and regional/local government agencies.
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Federal Data Sources

The federal government is an excellent source of geographic data. Two of the largest spatial
databases which are national in coverage include the US Geological Survey's DLG (Digital Line
Graph) database, and the US Census Bureau's TIGER (Topologically Integrated Geographic
Encoding and Referencing) database. Both systems contain vector data with point, line and area
cartographic map features, and also have attribute data associated with these features. The
TIGER database is particularly useful in that its attribute data also contains census demographic
data which is associated with block groups and census tracts. This data is readily used today in a
variety of analysis applications. Many companies have refined various government datasets,
including TIGER, and these datasets offer enhancements in their attribute characteristics, which
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increases the utility of the data. Unfortunately, problems associated with the positional accuracy
of these datasets usually remain as these are much more difficult to resolve. Satellite and digital
orthophoto imagery, raster GIS datasets, and tabular datasets are also available from various data
producing companies and government agencies.
The following information on federal agencies was taken from the Manual of Federal
Geographic Data Products developed by the Federal Geographic Data Committee (FGDC). To
contact the FGDC:
Federal Geographic Data Committee Secretariat
US Geologic Survey
590 National Center
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Reston, VA 22092
Phone: (703) 648-4533
The departments all have different agencies and bureaus within them which offer various listings
on the types of data which are available (e.g. concerning data structure, scale, software export
format, source data, currency, what applications the data can be used for), and from which
agencies they can be acquired. The reader is encouraged to consult this manual for further
information regarding the geographic data products related to these organizations.
DEPARTMENT OF AGRICULTURE
• The Agriculture Stabilization & Conservation Service: R
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• Forest Service: B, H, L, Sur, T

• Soil Conservation Service: H, Sub, Sur
DEPARTMENT OF COMMERCE
• Bureau of the Census: B, S, H, Sur
• Bureau of Economic Analysis: B, S
• National Environmental Satellite Data & Info. Service: A, Ged, Gep, H, R, Sub, Sur, T
• National Ocean Service: Ged, H, R, Sub, Sur, T
• National Weather Service: A, R, T
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DEPARTMENT OF DEFENSE
• Defense Mapping Agency: B, H, Sur, T
DEPARTMENT OF HEALTH & HUMAN SERVICES
• Centers for Disease Control: B, S
DEPARTMENT OF THE INTERIOR
• Bureau of Land Management: B, H, L, R
• Bureau of Mines: Sub
• Bureau of Reclamation: H, Sur
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• Minerals Management Service: B, H, L

• National Park Service: B, H, Sur, T
• US Fish & Wildlife Service: H, Sur
• US Geological Survey: A, B, S, Ged, Gep, H, L, R, Sub, Sur, T
DEPARTMENT OF TRANSPORTATION
• Federal Highway Administration: Sur
INDEPENDENT AGENCIES
• Federal Emergency Management Agency: H
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• National Aeronautics & Space Administration: H, L, R, Sub, Sur

• Tennessee Valley Authority: B, S, Ged, H, L, R, Sub, Sur, T
Federal Agency Data Product Code:
• A = Atmospheric H = Hydrologic Sub = Subsurface
• B = Boundaries L = Land Ownership Sur = Surface and Manmade Features
• Ged = Geodetic R = Remotely Sensed T = Topography
• Gep = Geophysics S = Socioeconomic
National Spatial Data Infrastructure (NSDI)
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There is a wealth of geographic data which can be accessed from federal and state agencies over
the Internet. Most federal agencies which deal with geographic data have File Transfer Protocol
(FTP) servers storing various geographic datasets. These servers allow organizations to
download digital data over the Internet. One of the most populated servers is the US Geological
Survey FTP server, which holds all of the USGS Digital Line Graph files (the USGS server FTP
address can be found by calling the USGS at 1-800-USA-MAPS). The Census Bureau also has
an FTP server which allows organizations to access portions of its TIGER/Line file database.
Government FTP servers can be searched for on the Internet using ARCHIE.
Many federal and state agencies and corporations which deal with geographic data have Internet
home pages which can be accessed on the World-Wide-Web. The US Geological Survey
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(USGS) home page, like the USGS FTP server, contains a wealth of information about USGS
geographic data and how it can be used. From the USGS home page it is possible to search for,
view, and download USGS data. One can also obtain USGS Fact Sheets, general information on
the USGS, educational resources, publications, research papers, and informational resources on
other Internet sites. Most federal agencies have their own home page and are structured similarly
to the USGS home page. Most major GIS software vendors also have Internet home pages.
Environmental Systems Research Institute (ESRI), Inc. has an excellent home page (URL
address: http://www.esri.com) which contains a wide assortment of useful information.
State Government Agencies
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There are many New York State agencies which are good sources of GIS data. Three of these
organizations include the Department of Transportation, the Department of Environmental
Conservation, and the Office of Real Property Services.
The New York State Department of Transportation (NYSDOT) offers data in paper and digital
file formats. Paper topographic maps can be obtained at various scales. Most applicable to GIS
needs, the NYSDOT has developed digital spatial files which are part of the New York State
County Base Map Series. The Base Map files, though created with a CADD (Computer Aided
Design and Drafting), have been designed for use in a GIS. The Department has developed a file
structure which will allow for their conversion into a topological GIS format. There are various
data layers available within this database including: Roads, Boundaries, Hydrography,
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Miscellaneous Transportation, and Names (NYSDOT, 1994). For further information, see Digital
Files from the County Base Map Series from the NYSDOT.
The New York State Department of Environmental Conservation (NYSDEC) is another state
organization which offers GIS data in varying formats. In 1990, the NYSDEC compiled an in-
house inventory of its geographic data sources called the "Geographic Data Source Directory."
The directory contains information on all of the DEC's geographic data sources with potential
GIS applications. The DEC divided its data into the following categories: Air Resources,
Construction Management, Fish and Wildlife, Hazardous Substances Regulation, Hazardous
Waste Remediation, Lands and Forests, Law Enforcement, Management Planning and
Information Systems Development, Marine Resources, Mineral Resources, Operations,
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Regulatory Affairs, Solid Waste, and Water (Warnecke et al, 1992). A copy of the directory is
available from NYSDEC. Call your local office or the main office in Albany.
The New York State Office of Real Property Services (ORPS) has developed a database known
as RPIS (Real Property Information System) which contains information on all tax parcels in the
state. Each parcel contains a coordinate representing the center point of the parcel and attribute
information which includes: unique land-based parcel identification numbers and descriptive
information, such as land use, locations, sales information, exemptions, and other parcel
attributes. RPIS data is available to local assessors, real property assessment offices ,
corporations and the general public for a nominal fee.
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The New York State Department of Health (DOH) uses GIS in its work in analyzing and
mapping environmental health risk areas and hazardous waste sites. The DOH has a database
containing Census Bureau TIGER files and parcel maps. These GIS files can be acquired by the
public.
Some other agencies which have GIS databases and which may have data usable in a GIS
include: the Adirondack Park Agency (APA); the Hudson River Valley Greenway; New York
Metropolitan Transportation Council; the Office of Parks, Recreation and Historic Preservation;
Department of Public Service; State Emergency Management Office; New York City
Department of Environmental Protection (Hilla, 1995); State Data Center Affiliates (various
NYS Counties). Please note these are all examples and not intended to be an exhaustive list.
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Regional And Local Governments

Many regional and local government agencies and organizations maintain GIS databases. These
agencies may have data sharing arrangements with local companies and other municipalities.
Information identifying which government agencies and companies have available GIS data
layers may be found in regional or local GIS data directories. One such regional data directory
developed within New York State is the Regional Directory of Geographic Data Sources for
Genesee/Finger Lakes Counties. The directory contains information on participating government
agencies and companies which have GIS data layers, then lists information regarding these
layers, and provides the name, address and phone number of the person within the organization
who can be contacted for further details or data sharing arrangements (GIS/SIG, 1995).
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Private Data Firms

There are companies that will develop data for a local government. These companies will
develop programs based on contract data conversion or public/private partnerships. Contract data
conversion firms are available for those organizations that wish to have custom geographic
datasets developed. Usually, the development of these datasets involves the client organization
providing existing source data (e.g., paper maps) to the data development firm, which then
converts the data into digital format.
In public/private partnerships, the company will work out an agreement with the local
government that will provide data conversion but also retain the ability to market, sell and/or use
the digital data that was created. Public/private agreements are just emerging as a method for
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creating GIS databases cost effectively. When considering a public/private partnership, issues
such as ownership, access, freedom of information requirements and long-term data maintenance
must be addressed as well as the cost sharing of building the database.
4. DESCRIBING AND EVALUATING POTENTIAL DATA
The next step is to actually survey the various departments within the local governments and
other external sources to determine what data is available for use in the GIS and what condition
the data is in.
Metadata Documentation
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The first step will be to document the data by developing metadata files for each database
available. The metadata file is used for two roles. 1) develop information that will be used to
evaluate the data for use in a GIS and 2) fulfill the metadata requirements for data once it is used
in a GIS.
For each potential data source for the GIS database, the map series, photos, tabular files, etc. just
be identified, reviewed, and evaluated for suitability to use in the GIS. Maps, photos, and
remotely sensed data are the most likely sources and should be evaluated for:
• appropriate scale
• projection and coordinate system
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• availability of geodetic control points

• aerial coverage
• completeness and consistency across entire area
• symbolization of entities (especially positional accuracy of symbol due either to size of
symbol or off-set placement on map)
• quality of linework and symbols
• general readability and legibility for digitizing (labels)
• quality and stability of source material (paper/mylar)
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• amount of manual editing needed prior to conversion

• edge match between map sheets
• existence and type of unique identifies for each entity (often entities shown on in map
series used so-called "intelligent" keys or identifiers where an identifier for an object
contains the map sheet number and/or other imbedded locational codes - in database
design, it is much better to avoid "intelligent" keys of this type, particularly locational
codes).
• positional and attribute accuracy
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All of the above information needs to be documented for each potential data source. If a
particular data source is then used to build part of the GIS database, some of this information will
become part of the permanent metadata.
The metadata software accompanying this guideline provides three tables for recording the basic
metadata about a potential data source. The first table contains information on the source
document (or file); the second table can describe each entity contained on a source document;
and the third table can describe each attribute of an entity. Once again, only the most basic
entries have been included in the supporting software in order to keep the software simple an
straightforward. A particular user may wish to expand the tables provided to meet his/her
specific needs.
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The following lists the fields of the three tables that contain source data information:
Source Documents
Source Document Name: Parcel Map
Source ID #: 1
Source Organization: Town of Amherst
Type of Document: Map
Number of Sheets (map, photo, etc.): 200
Source Material: Mylar
Projection Name: UTM
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Coordinate System: State Plane

Date Created: 5-Oct-91
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Last Updated: 8-Nov-95

Control Accuracy Map: National Map Accuracy Standard
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Scale: Variable; 1" = 50 ft To 1" = 200 ft

Availability: Current
Reviewed By: Lee Stockholm
Review Date: 19-Dec-95
Spatial Extent: Town of Amherst
File Format: N/A
Comments:
Entities Contained In Source
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Source ID #: 1
Entity Name: Parcel
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Spatial Entity: Polygon

Estimate Volume Spatial Entity:
126 per map sheet
Symbol: None
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Accuracy Description Spatial Entity: National Map Accuracy Standard

Review Date: 02-Jan-94
Scrub Needed: Yes
Comments:
Attributes By Entity
Source ID #: 1
Entity Name: Parcel
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Attribute Name: SBL Number

Attribute Description: Section, Block, and Lot Number
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Code Set Name: N/A

Accuracy Description Attribute: N/A
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Reviewed By: John Henry

Review Date: 08-Feb-93
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Comments:
Additional Criteria For Evaluating Potential Data Sources
As the survey is being conducted, it is important to consider the following issues about the data:
• Is the data current and what is its continuing availability?
• Is the data suitable for intended applications?
• Is the quality of the data appropriate for the type of applications needed? This should
include both locational and attribute accuracy.
• Is the data cost effective?
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FOR FURTHER INFORMATION:

The Manual of Federal Geographic Data Products, developed by the Federal Geographic Data
Committee, is an excellent source for information on geographic datasets produced by agencies
within the federal government. Listed by federal agencies and bureaus within each federal
department, there are listings on the types of data which are available (e.g. concerning data
structure, scale, software export format, source data, currency, what applications the data can be
used for), and from which agencies they can be acquired.
To order contact:
Federal Geographic Data Committee Secretariat
US Geologic Survey
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590 National Center

Reston, VA 22092
Phone: (703) 648-4533
New York State Department of Transportation data listing: Digital Files from the County Base
Map Series.
Map Information Section
Mapping and Geographic Information Systems Bureau
New York State Department of Transportation
State Office Campus
Building 4, Room 105
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Albany, New York 12232

Phone: (518) 457-3555
Example of a Regional Level GIS Data Directory:
1995 Regional Directory of Geographic Data Sources, developed by the GIS/SIG (Geographic
Information Sharing/Special Interest Group) for New York State's Genesee/Finger Lake Region
Counties. The directory is a listing of the various data sources which are available from local
companies, and local government agencies in the Genesee/Finger Lakes Region.
The International GIS Source book, published by GIS World, Inc. is an annual publication which
contains an excellent "Data Source Listings" chapter. It provides a wealth of information on
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companies which produce GIS datasets and also provides descriptions of the data they produce.
The chapter also lists the different types of spatial data produced by public agencies, and lists
data availability and contacts.
REFERENCES
Hilla, Christine M. "The Revolution of Geographic Information Systems in Land Use and
Environmental Planning in New York State," Environmental Law in New York, Vol. 6, no. 3.,
March, 1995.
Montgomery, Glenn E. and Harold C. Schuch, 1993. GIS Data Conversion Handbook. Fort
Collins, CO: GIS World, Inc., pp. 89-91.
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NYSDOT (New York State Department of Transportation), Digital Files from the County Base
Map Series, Mapping and Geographic Information Systems Bureau (1994).
Warnecke, L., J. Johnson, K. Marshall and R. Brown, State Geographic Information Activities
Compendium, 294 Council of State Government (1991).
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1. INTRODUCTION
At this point in the GIS development process the GIS hardware and software have been acquired
and data conversion is complete (or a substantial portion has been finished). Different
components of the hardware and software may have been purchased separately. It is now
necessary to put all the pieces together, test them to make sure they work as expected, and to
initiate all procedures necessary to use the GIS.
2. GIS SYSTEM COMPONENTS
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GIS Software
Vendors will usually install and test their software. Acceptance criteria (often the performance
measures used during the pilot study or benchmark test) will be needed and the vendors must
meet these criteria before you relieve them of their obligation to you. Check the functionality of
the program(s) to ensure that you received what you expected. The vendor should fix any
problems that arise, either in software functionality or performance prior to you indicating
acceptance of the software.
Check that not only the main GIS software works, but that it works in relation to the other
software programs that are part of your "total system," which also includes all legacy databases,
software, and hardware. In addition to acceptable performance for each individual piece of
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software, make sure all software works together. Once the total system is your responsibility and
problems arise it can be very difficult to determine the part of the system causing the trouble.
Although not nearly as common as in the past, the first response of a vendor can still be "blame
the other guy!" Make the vendors responsible for providing you with one integrated system.
Remember - they are the experts. Do not allow anything to be left up to you to check or test. If
you are uncomfortable about something or do not understand how something works, talk to the
vendor representative and get an explanation. Additionally, technical support is an extremely
valuable necessity. All contracts should include on-site technical support and then on-going
phone support after the installation is complete.
GIS Hardware
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Implementing your hardware system is about the same as your software and must occur
simultaneously. Contract with the vendor to install and test the hardware components. As with
the software, choose acceptance criteria for the hardware and operating system. Check
functionality and performance of the hardware and have the vendor resolve any problems. Make
sure the hardware is able to support the software, database, and network as required. Technical
support, both on-site and telephone, should have been included in the contract with the hardware
vendor.
Database
Integrating and testing hardware and software components are fairly well-defined processes and
vendors have good experience with these tasks. However, dealing with larger and more complex
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databases has not been nearly as common in the GIS area. Therefore, adequate procedures and
vendor experience may be lacking. There are two processes which remain basically user
responsibility:
• building a master database or library (database integration)
• integrating the database with the GIS hardware and software
The overall process of building the master database from the converted data files (the product of
the digitizing or scanning process)deals with quality control checking, other editing procedures,
correction procedures, checking corrections for accuracy and finally placing the data file into the
master database (or library). It is assumed that organizing data entities into logical groups (i.e.,
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layers) has been defined during the previously completed logical/physical database design
activity. Processing to enter data into the master database may involve restructuring the content
of the digital/scanned files from data conversion into the final database structure, usually
combining entities that may have been digitized separately.
Other database building processes that must be accomplished within the activities are:
• linking GIS layers to attribute tables
• edge matching between areas used in digitizing and repartitioning the spatial extent into
the final organization
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• initialization of all database related procedures needed for both establishing the database
and its continued maintenance
Procedural components needed to complete the database include those on the following list.
Many of these procedures will have been defined, at least initially, during database design and/or
the pilot study and benchmark activities. The procedures are:
• Naming convention for all files (covering versions, status, etc.)
• definition of error conditions
• definition of accuracy requirements
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• quality control routines

• manual editing procedures
• checking procedures (verification of corrections)
• error recording (flags associated with data or other error/accuracy information recorded
in the database
The second major process is the integration of the database and all other system components.
3. SYSTEM TESTING
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Once the installations are complete, you need to test your integrated system. Test how the
software programs work together, how the network is running, are the computers running slowly
when complex functions are requested or all workstations are running simultaneously, and if data
retrieval is quick enough, to name a few. This process should continue at least a week, if not
more. It is important to experiment with the system on multiple days, with different processes
running, and with different numbers of people accessing the data. Ask your staff to document
any problems and report these to the vendor. See that resolutions are provided back to you in a
timely manner. Utilize technical support lines and keep in mind that the vendors are responsible
for following through on what they told you would work.
4. USER TRAINING
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Most hardware and software vendors offer classes to teach new users about their products. You
can usually include vendor instruction as part of your contract with them. User groups often offer
information sessions on software products where you can learn valuable information. Proper
instruction is important, however, and is a step that should not be disregarded.
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Evaluating GIS Hardware and Software

1. INTRODUCTION
Purpose of Guide
A GIS is more than just hardware and software. It is a complex system with multiple
components: Hardware, Software, People, Procedures and Data. The purpose of this guide is to
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focus on the hardware and software components of the system and how to acquire information
on what is available.
Deciding what hardware and software to use for your GIS is a difficult yet important task. It will
make up the foundation on which you will build your system. There is no clear-cut formula to
use to make the selection process easier. In this guideline we will give you suggestions that you
can use to evaluate various systems and sources for additional information.
2. SOURCES OF INFORMATION ABOUT GIS
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To develop an understanding of GIS, you will need to get information about GIS systems. Here
is a sampling of references to start with. This is not a comprehensive listing. Use it as a starting
point and spread out from there.
GIS Source Book
The GIS source book is a good reference book that will give you a great deal of information
about software vendors, trade associations, product specifications and more. This book is
published by:
GIS World, Inc.
155 E. Boardwalk Drive, Suite 250
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Phone: 303-223-4848
Fax: 303-223-5700
Other Publications
Conference Proceedings
Each major GIS conference publishes the proceedings from their event. Contact the association
listed in Attachment A for information on how to obtain these documents.
Scholarly Journals
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There are a number of scholarly journals that deal with GIS. These are published on an on-going
basis.
Cartographica- Contact: Canadian Cartographic Association
Cartography and Geographic Information Systems - Contact: American Cartographic
Association
International Journal of Geographical Information Systems -Contact: Keith Clark at CUNY
Hunter College, New York City
URISA Journal - Contact: Urban and Regional Information Systems Association
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Trade Magazines
There are a number of trade magazines that are focused on GIS. They are:
GIS World
GIS World, Inc.
Phone: 303-223-4848
Fax: 303-223-5700
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Business Geographics
GIS World, Inc.
Phone: 303-223-4848
Fax: 303-223-5700
Geo Info Systems

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859 Williamette St.

Eugene, OR., 97401-6806
Phone: 541-343-1200
Fax: 541-344-3514
Website: http://www.advanstar.com/geo/gis
GPS World
859 Williamette St.
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Eugene, OR., 97401-6806

Phone: 541-343-1200
Fax: 541-344-3514
Website: http://www.advanstar.com/geo/gis
Association Newsletters
Many associations have newsletters that cover GIS topics and can be a good source of
information. Contact the organizations listed in attachment A for more information
Books with vendor specific information
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There is a number of books published about GIS and related topics. Here are some of the
publishers:
Onword Press
2530 Camino Entrada
Sante Fe, NM, 87505-4835
Phone: 505-474-5132
Fax: 505-474-5030
John Wiley & Sons, Inc.

605 Third Avenue
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New York, NY, 10158-0012
ESRI, Inc.
80 New York Street
Redlands, CA 92373-8100
Phone: 909-793-2853
Fax: 909-793-4801
GIS World, Inc.

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Phone: 303-223-4848
Fax: 303-223-5700
Vendor Booths at Trade Shows
A wealth of information is available at trade shows from vendor booths. These can range from
the general product literature to white papers and technical journals. This is also a good time to
gather a large amount of information on different companies in a short period of time.
User Groups
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User Groups are another source of valuable information and support. There are a number of user
groups that have formed to provide support and professional networking. GIS user groups are
formed around a geographic region or by users of specific software products. New users are
always welcome to these groups. A listing of users groups is contained in Attachment A.
Current Users
The best way to gauge a vendor is by talking to their installed sites. The information that you get
from talking to these users will be valuable insight into the type of company you will be working
with. Ask the vendors you want to explore for a list of all of their users in the area or that are
similar to your organization. Ask for contact names and phone numbers/e-mail addresses.
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3. SELECTION PROCESS
Initially you will need to evaluate the software independently of hardware. The software will be
selected based on the functionality it offers. Your hardware selection will be based on the GIS
software you select and the operating system strategy your organization uses. You will need to
test the hardware and software together making sure it works as advertised.
The nature of hardware and software technology is that it changes. In recent years it has been
changing very quickly. Don't let this stop your efforts. It is easy to get intimidated. The important
thing to remember is to get a product that has been proven in the marketplace and continues to
have a clear development path. Avoid technology that is outdated or is on the bleeding edge and
has not been proven.
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Software
Software is evaluated on functionality and performance. In the Needs Assessment guide the need
to identify the functionality was discussed. Here is where you will begin to use this information.
Functionality
What is important here is the ability of the software to do the things you need it to do in a
straightforward manner. As an example, if the intended users are relatively new to using
computers, the software has to have an easy-to-use graphical user interface (GUI). If the
organization needs to develop specific applications, the software should have a programming
language that allows the software to be modified or customized.
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In the Needs Assessment Guide, the final report contains tables and references to the
functionality you will need. Use this in developing the overall functionality required for the
system.
Standards
Standards are a way of making sure that there is a common denominator that all systems can use.
This can be in the form of data formats that can import and export data into the system,
guidelines used for developing software, supporting industry developed standards that allow
different applications to share data. Standards are generally developed by a neutral trade
organization or in some cases are defined by the market.
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There is a group that has formed for the GIS industry called Open GIS. This organization is
developing standards for developers to use as they engineer software. Open GIS is made up of
representatives from the software developer companies.
Performance
The performance of the software is dependent on two factors, 1) how it is engineered and 2) the
speed of the hardware it is running on. GIS software is complex and will use a large amount of
the system resources (memory, disk, etc.). The more complex the software, the more resources it
will need.
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Performance will be impacted if you have a minimally configured computer. Look for the
developer's software specifications to see what configuration is needed to run the software. This
will give you the minimum requirements. Follow this up by getting the recommended
specifications from the developer or a user group. These recommendations will give you a more
accurate idea of the type of configuration you will need.
Expandability
The software needs you have today will change over time. More than likely your system will
need to expand. Is the software being evaluated able to provide networking capabilities? Will it
share data with other applications? Will it grow as the organization's GIS grows? Evaluate
software based on the ability to grow with you. This may mean that there are complimentary
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products that can be used in conjunction with the package you are evaluating today or the
developer has clearly defined plans for added functionality. Talk with other users to see if the
developer has a good track record for providing these enhancements.
Licensing
GIS software is not purchased, it is licensed. There is normally a one-time license fee with an on-
going maintenance fee that provides you with the most current versions of the software as they
are released. In large systems this will be spelled out in a licensing agreement with a
corresponding maintenance agreement. For desktop software a shrink wrap license is used with
subsequent releases being offered to existing users through a discounted upgrade. The
maintenance fees and upgrade costs generally run between 15% to 30% of the initial license fee.
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The terms in most software packages spell out how the software can and cannot be used. Have
the terms of the license reviewed by an attorney before signing up. This can save hassles later as
you are developing and using your system.
Hardware
When discussing hardware, there are terms/concepts that you need to understand. The following
is a discussion of these. However, GIS software selection drives the hardware requirements.
Therefore before launching a full scale evaluation of hardware, make your selection for the GIS
software you will be using.
Hardware can be broken down into the following basic components:
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• Operating System
• Processor
• Disk
• Memory
• Communications
Operating Systems
An operating system is the software that runs the computer hardware. It is this program that tells
the computer what to do and how to do it. You may already be familiar with some of the
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operating systems that are on the market such as Microsoft's Windows product or various brands
of the UNIX operating system.
It is important to have an Operating System plan within your organization. The plan should take
into account the departments that will be using the computer system, the type of network being
used (or being planned), what operating systems are currently being used, how large the database
is and what kind of technical support skills you have access to (in-house or contractor).
The GIS will need to fit into your operating system plan. This will be important as you add other
departments onto the system.
Processor
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The processor or CPU (central processor unit) is the part of the computer that actually does the
calculations or "processes" the instructions being sent to it. The most common term that describe
the processor's capabilities is the clock speed. This is stated in terms of MHz (megahertz). The
clock speed simply describes how many cycles per second the processor works. The higher the
clock speed the faster the processor.
Another description of the processor's capability is how many bits it can access at one time.
Many of the new processors are 32-bit processors. This means that the CPU can access or grab
32 bits of information during each cycle. Older computers such as a "386" machine were 16-bit
machines. There are some machines on the market that manufacture a 64-bit machine (such as
Digital Equipment Corporation). These are very fast CPUs but are hampered by the lack of a 64-
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bit operating system that can take advantage of its speed. It is the direction the hardware industry
seems to be heading.
Disk
The disk or hard drive is the device used to store the operating and application software. It is also
used to store data and images. In working with a GIS you will quickly find out that GIS uses a
large amount of disk space. It is not uncommon to have multiple gigabytes of hard drive on a
single end-user machine and 10 - 20 gigabytes on a central data server. Luckily the prices of hard
drives have been coming down and will continue to be affordable.
Memory
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Memory or random access memory (RAM) is used as a temporary storage space by the operating
system and by the application software which is running on the computer. Most applications run
better as the amount of memory increases. This is true up to a point. At some point, the
performance increases will begin to taper off as additional memory is added. Most software
developers can give you configuration data that indicates where this point is.
Communications
The trend in most systems today is to link up users throughout the organization on a network.
This is an area in the computer industry that is advancing very rapidly. It is recommended that
you retain a competent consultant who works with networks to give you detailed and current
information.
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In simple terms, a network is a connection between computers that allows information to be

passed around from computer to computer. In a typical organization, this is a local area network
(LAN). In order to connect a computer to the network it will need a network card for the wiring
to plug into and network software to allow the computer to transmit and receive signals over the
wiring. Of course the physical network (wiring) is also needed.
A small network within a department is inexpensive and can allow the users to share network
resources such as printers and database servers. The network can provide services like e-mail and
disk sharing. It can also be the entryway into larger networks that go outside the building or
campus your organization is located on. This is called a Wide Area Network (WAN). A WAN
requires a more structured network architecture. It does give users access to more resources.
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Another important point to consider is developing access to the Internet. This specialized
network is growing rapidly and provides an incredible amount of resources for a user. The
Internet is an area to share ideas in a GIS forum, download data for use in the system, get
technical support for a problem, get the latest information on a product from a vendors' home
page or develop one of your own. The amount of information is overwhelming and too diverse to
list in this guide. The point is that you should seriously be considering getting a connection to the
Internet. When considering your network, factor this into the equation.
Benchmarking a System
Benchmarking a GIS can be a very involved process. The level of effort needed for the
benchmark should be proportional to the size and complexity of the overall system being
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developed. A benchmark is the process of testing various combination of hardware and software
and evaluating their functionality and performance. The benchmark is usually part of an RFP
process and is only done with a limited number of selected vendors (i.e.: those that have been
short listed). Each combination is tested under similar conditions using a predefined data set that
is indicative of your database. This dataset should be used with all of the hardware / software
configurations selected for evaluation. When completed, an organization will have results that
can used to objectively evaluate the systems.
Setting It Up
When putting a benchmark together there is strength in numbers. Get a committee together. A
committee will take the burden off of one person and give the process more objectivity. Have
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representation from all the interested departments and agencies within the organization. A
working group of about 8-10 committee members is reasonable.
The committee will develop the criteria that will be used to evaluate the systems. Use the Needs
Assessment documentation as a reference for this. These criteria will form the basis of the
benchmark. Develop a series of tasks that each vendor will need to complete during the
benchmark. The tasks should be measurable (i.e.: time, ease of use, can the function be done).
Also prepare a form that each of the committee members will use to rate the tasks performed in
the benchmark.
In your benchmark you will not only be to rating various aspects of the system, you are also
going to be rating the vendor. Be sure to include some measurement for teamwork,
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communication, and technical skills of the vendor. It might be useful to work with a consultant
that has experience setting up benchmarks or to get advice (and examples of documentation)
from another local government who has recently completed a benchmark.
Well in advance of the scheduled benchmarks, send out information that outlines the tasks the
vendor will need to perform and any rules they will need to follow (how much time for set up,
time given to perform various tasks, how many people can be present for the benchmark, etc.).
Vendor Support
The vendor you select will become an extended team member for your GIS. There needs to be a
good "fit". The vendor will be a good source of support and information. All vendors provide
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some type of technical support. Ask current users how it has worked for them. If there have been
problems in the past, do existing users see improvement? The GIS industry has been growing
very fast over the last few years, there are bound to be some growing pains. What you should be
looking for is a vendor who listens to what you need and makes improvements based on user
input.
Attachment A - User Groups

New York State
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URISA - New York State Chapter

Lee Herrington, Professor
SUNY College of Environmental Science and Forestry
312 Bray Hall
Syracuse, NY 13210-2778
Phone: (315) 470-6670
Fax: (315) 470-6535
e-mail: lpherrin@mailbox.syr.edu
Western New York ARC/INFO Users Group (WNYARC) (Buffalo area):
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Graham Hayes
GIS Resource Group, Inc.
Roycroft Campus
21 South Grove Street
East Aurora, NY 14052-2398
Phone & Fax: (716) 655-5540
e-mail: ghayes@localnet.com
GIS/SIG (Rochester Area):
Scott Sherwood
Center for Government Research
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37 South Washington St.

Rochester, NY 14608-2091
Phone: (716) 325-6360
Tri-County GIS Users Group (Southern Tier):
Jennifer Fais
Southern Tier Central Regional Planning and Development Board
Phone: 607-962-5092
Fax: 607-962-3400
e-mail: stc3@servtech.com
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GISMO (New York City):

Jack Eichenbaum
Department of Finance
1 Centre St., Room 373
New York, NY 10007
Phone: (212) 669-4563
Fax: (212) 669-2060
email: jaconet@aol.com
Capital Region ARC/INFO User Group (CAPARC) (Albany area):
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Marty Goldblatt
Office of Real Property Services
Phone: (518) 474-3453
Fax: (518) 486-7237
e-mail:marty.goldblatt@orps.state.ny.us
Albany, New York MapInfo Users Group (ANYMUG):
Austin Fisher
Applied GIS, Inc.
301 Nott Street
Schenectady, NY 12305
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Phone: (518) 346-0942

Fax: (518) 346-5322
e-mail: afisher@appliedgis.com
Long Island GIS (LIGIS)
Joseph P. Jones
1550 Franklin Ave.
Mineola, NY 11501
Phone: (516) 571-4096
Fax: (516) 571-3918
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Top of page
National
American Congress on Surveying and Mapping (ACSM)
5410 Grosvenor Lane
Bethesda, MD, 20814
Phone: 301-493-0200
Fax: 301-493-8245
American Society of Photogrammetry and Remote Sensing (ASPRS)
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5410 Grosvenor Lane

Bethesda, MD, 20814
Phone: 301-493-0290
Fax: 301-493-0208
Association of American Geographers (AAG)
1710 Sixteenth St. N.W.
Washington D.C., 20009-3198
Phone: 202-234-1450
Fax: 202-234-2744
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Automated Mapping/Facility Management International (AM/FM International)

14456 East Evans Ave.
Aurora, CO, 80014
Phone: 303-337-0513
Fax: 303-337-1001
Canadian Association of Geographers (CAG)
Burnside Hall, McGill University
Rue Sherbrooke St. W
Montreal, Quebec H3A 2K6
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Phone: 514-398-4946
Fax: 514-398-7437
Canadian Institute of Geomatics (CIG)
206-1750 rue Courtwood Crescent
Ottawa, Ontario, K2C 2B5
Phone: 613-224-9851
Fax: 613-224-9577
Urban And Regional Information Systems Association (URISA)
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900 Second St. N.E., Suite 304

Washington, D.C. 20002
Phone: 202-289-1685
Fax: 202-842-1850
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1. INTRODUCTION
Through time, as users become more experienced with GIS, they require more complex
applications. The initial Needs Assessment will contain some applications of a complex nature,
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however the majority of initial applications will be straight-forward, using the basic functionality
that is part of every commercial GIS (e.g., query, display). The more complex applications
usually are not supported by the basic functions of a GIS but must be programmed using the GIS
macro language or other programming language. This guideline identifies several categories of
applications that must be prepared by users and how overall requirements change over time.
2. WHY APPLICATIONS ARE NEEDED
Sales brochures, live demos and journal articles touting the impressive and extensive array of
GIS capabilities creates the impression that application development is a non-issue. The vendors,
it would seem, have already developed fully functional, out-of-the-box, meet-your-business-
needs, GIS software. GIS can and should do anything and everything.
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So why are we talking about application development?

Applications are the icing on the GIS layer cake; the highest level of customizable software. The
underlying "cake" provides the functionality common to all user disciplines. Commercial GIS
packages tend to focus on the common or basic applications - the "cake." When it comes to
specialized uses, application development fills the needs for functionality. Though there is a
great deal of commonalty in the basic spatial query and display functions, there is still a need for
other advanced applications. We need additional applications because needs are different
between organizations.
Commercial GIS development is driven by market pressure. The software vendors only respond
to what makes economic sense for their market share. What's important to your organization may
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not be important to others. Because of this, there are no truly "off-the-shelf" applications that will
match all of your needs. You either have to adapt your uses to their data model and functionality
or you develop applications to fit your use environment.
3. CATEGORIES OF APPLICATIONS
Application development is not rewriting the GIS software, but instead custom applications to
meet specific needs. The applications may be as simple as a set of preferences that are stored for
each user group or individual and are run as a macro at startup time. Or they may be a very
complex query that selects a group of layers, identifies features of interest based on attribute
ranges, creates variable width buffers, performs a series of overlays and produces a hard copy
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map. In either case, an application is required to convert the user's ideas into a usable, stable
product.
4. DATABASE APPLICATIONS
Applications are not restricted to user-defined needs. One of the short-comings of the needs
assessment methodology presented earlier, is the focus on only end-user query, analysis, and
display requirements. Collective needs, particularly those related to system-wide functions, are
not identified by individual users. The most important of these are the data administration
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functions for maintaining the quality and integrity of the database, such as quality control,
verification, editing, back-up routines, and security.
Database applications fall into the following categories:
• database set-up (described as part of GIS System Integration)
• database management
• database maintenance
• data archiving and retention
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Each step needs to be fully defined, as appropriate to the specifics of the GIS program. The main
point here is not how these steps are completed but rather to identify all of the necessary steps
and to emphasize the importance of planning and executing each one.
The MS Access™ metadata software tool accompanying these guides sets forth a structure for
creating documentation needed for the management and maintenance of the GIS database. Table
definitions for the metadata tool are in the appendix to the GIS use and Maintenance Guideline.
Formal Specifications for Advanced Applications
The documentation of applications in the Needs Assessment guideline describes methods
suitable for preparing full and formal specifications for all applications. However, most
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applications in a new GIS will be of the simpler, more basic type (display, query, map overlay).
These applications will likely be satisfied by the normal functionality that is included in most
commercial GIS.
More complex applications, either database or spatial analysis, will require development using
the GIS macro programming language. For these applications the process of preparing formal
specifications, similar to what any large programming project uses, should be followed. The
techniques recommended in the Needs Assessment guideline are data modeling by application
(E-R technique) and data flow diagramming. These techniques are suitable to provide an
overview of a complex application. Additional techniques should be used, as appropriate,
including:
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• structural analysis and programming

• rapid prototyping
As the application development needs increase, there will be a need for additional staff with the
appropriate programming skills and experience using the macro programming language of the
GIS.
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Database Planning and Design

1. INTRODUCTION
The primary purpose of this phase of the GIS development process is to specify "how" the GIS
will perform the required applications. Database planning and design involves defining how
graphics will be symbolized (i.e., color, weight, size, symbols, etc.), how graphics files will be
structured, how non graphic attribute files will be structured, how file directories will be
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organized, how files will be named, how the project area will be subdivided geographically, how
GIS products will be presented (e.g., map sheet layouts, report formats, etc.)., and what
management and security restrictions will be imposed on file access. This is done by completing
the following activities:
• Select a source (document, map, digital file, etc.) for each entity and attribute included in
the E-R diagram
• Set-up the actual database design (logical/physical design)
• Define the procedures for converting data from source media to the database
• Define procedures for managing and maintaining the database
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The database planning and design activity is conducted concurrently with the pilot study and/or
benchmark activities. Clearly, actual procedures and the physical database design cannot be
completed before specific GIS hardware and software has been selected while at the same time
GIS hardware and software selection cannot be finalized until the selected GIS can be shown to
adequately perform the required functions on the data. Thus, these two activities (design and
testing) need to be conducted concurrently and iteratively.
In many cases, neither database design matters nor hardware and software selection are
unconstrained activities. First, the overall environment within which the GIS will exist must be
evaluated. If there exist "legacy" systems (either data, hardware or software) with which the new
GIS must be compatible, then design choices may be limited. Both GIS hardware and software
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configurations and database organizations that are not compatible with the existing conditions
should be eliminated from further consideration. Secondly, other constraints from an
organizational perspective must be evaluated. It may, for example, be preferable to select a
specific GIS or database structure because other agencies with whom data will be shared have
adopted a particular system. Finally, assuming that the intended GIS (whether it will be large or
small) will be part of a corporate or shared database, the respective roles of each participant need
to be evaluated. Clearly, greater flexibility of choice will exist for major players in a shared
database (e.g., county, city, or regional unit of government) than for smaller players (town,
village, or special purpose GIS applications). This does not mean that the latter must always go
with the majority, but simply that the shared GIS environment must be realistically evaluated. In
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fact, one way for the smaller participants in a shared GIS to ensure their needs are considered, is
to fully document their needs and resources using procedures recommended in these guidelines.
Finally, with the completion of both the database planning and design and the pilot
study/benchmark activities, sufficient detailed data volume estimates and GIS performance
information will be known to calculate reliable cost estimates and prepare production schedules.
This becomes the final feasibility check before major resources are committed to data conversion
and GIS acquisition.
What is already known about the GIS requirement
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Prior phases of the GIS development process should have produced the following information
which is needed at this time:
• A complete list of data, properly defined and checked for validity and consistency (from
the master data list, E-R data model and metadata entries).
• A list of potential data sources (maps, aerial photos, tabular files, digital files, etc. )
cataloged and evaluated for accuracy and completeness (from the available data survey).
This inventory would also include all legacy data files, either within the agency or
elsewhere, which must be maintained as part of the overall shared database.
• The list of functional capabilities required of the GIS (from needs assessment).
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2. SELECTING SOURCES FOR THE GIS DATABASE

This activity involves matching each entity and its attributes to a source (map, document, photo,
digital file). The information available for this task is as follows:
• List of entities and attributes from the conceptual design phase
Table 1: Master
Attributes Spatial Object
Data List Entity
Street_segment name, address_range Line

Street_intersection street_names Line
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Polygon
Parcel section_block_lot#,
owner_name, owner_address,
sites_address,
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area, depth, front_footage,

assessed_value,
last_sale_date, last_sale_price, size
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(owner_name, owner_address,
assessed_value
(as of previous January 1st))
Building building_ID, date_built, Footprint
building_material,
building_assessed_value
occupant_name,
Occupancy None
occupant_address,occupancy_type_code
name, type, width, length,
Street_segment Polygon
pavement_type
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Polygon
Street_intersection length, width, traffic_flow_conditions,

intersecting_streets
Water_main type, size, material, installation_date Line
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Node
Valve type, installation_date

type, installation_date, pressure,
Hydrant Node
last_pressure_test_date
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None
Service name, address, type, invalid_indicator

Soil soil_code, area Polygon
Wetland wetland_code, area Polygon
Floodplain flood_code, area Polygon
Traffic_zone zone_ID#, area Polygon
Census_tract tract#, population Polygon
Water_District name, ID_number Polygon
Zoning zoning_code, area Polygon
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• The list of surveyed data sources from the Available Data Survey and their recorded
characteristics in the metadata tables Source Documents, Entities Contained in Source,
and Attributes by Entity.
Source Documents
Source ID #: 1
Source Organization: Town of Amherst
Type of Document: Map
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Number of Sheets (map, photo, etc.): 200

Source Material: Mylar
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Projection Name: UTM

Coordinate System: State Plane
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Date Created: 5-Oct-91

Last Updated: 8-Nov-95
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Control Accuracy Map: National Map Accuracy Standard

Scale: Variable; 1" = 50 ft To 1" = 200 ft
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Availability: Current
Review Date: 19-Dec-95
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Spatial Extent: Town of Amherst

File Format: N/A
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Comments:
Entities Contained In Source

Source ID #: 1
Entity Name: Parcel
Spatial Entity: Polygon
Estimate Volume Spatial Entity: 126 per map sheet
Symbol: None
Accuracy Description Spatial Entity: National Map Accuracy Standard
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Review Date: 02-Jan-94
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Scrub Needed: Yes

Comments:
Attributes By Entity
Source ID #: 1
Entity Name: Parcel
Attribute Name: SBL Number
Code Set Name: N/A
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Accuracy Description Attribute: N/A

Reviewed By: John Henry
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Review Date: 08-Feb-93

Comments:
If there is a choice between sources, that is, two or more sources are available for a particular
entity attribute, then criteria for deciding between them will be needed. In general, these criteria
will be:
• Accuracy of resulting data
• Cost of conversion from source to database
• Availability of the source for conversion
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• Availability of a continuing flow of data for database maintenance.

Occasionally, alternative sources may result in different representations in the database, such as a
vector representation versus a scanned image. In this situation, the ability of each representation
to satisfy the requirements of the GIS applications will need to be evaluated.
Once a source has been selected, the metadata tables that record source data information need to
be completed as appropriate. These are:
• Data Object Information
• Attribute Information
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• Spatial Object Information

• Source Document Information
To complete the accuracy information, the accuracy expected from the conversion process will
need to be determined. This accuracy target will also be used later in the database construction
phase by the quality control procedures. The metadata tables that need to be completed at this
time are shown below:
Data Object Information
Data Object Name Parcel
Type: Simple
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Data Object Description: Land ownership parcel

Spatial Object Type: Polygon
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Comments:
Attribute Information
Data Object Name: Parcel
Data Attribute Name: SBL Number
Attribute Filename: Parcel.PAT
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Codeset Name/Description: N/A

Measurement Units: N/A
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Accuracy Description: N/A

Comments:
Spatial Object Information

Place Name: Amherst
Projection Name/Description: UTM
HCS Name: State Plane Coordinate System
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HCS Datum: NAD83

HCS X-offset: 1000000
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HCS Y-offset: 800000

HCS Xmin: 25
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HCS Xmax: 83
HCS Ymin: 42
HCS Ymax: 98
HCS Units: Feet
HCS Accuracy Description: National Map Accuracy Standard
VCS Name:
VCS Datum:
VCS Zmin: 0
VCS Zmax: 0
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VCS Units:
VCS Accuracy Description:
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Comments:
Source Document Information

Type: Map
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Scale: Variable: 1" = 50 feet To 1" = 200 feet

Date Document Created: 17-Nov-89
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Date Last Updated: 05-Oct-94

Date Digitized/Scanned: 24-Apr-95
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Digitizing/Scanning Method Description: Manual digitized with Wild B8

Accuracy Description: 90% of all tested points within 2 feet
Comments:
For some of the above tables, information will be available for only some of the entries. The
remaining entries will be completed later as the database is implemented. The examples shown
are from the metadata portion of the GIS Design software package that accompanies these
guidelines. This package is a Microsoft Access™ program that runs "stand-alone" (you do not
need a copy of Microsoft Access™) on a regular PC. Where the same information is needed for
multiple tables, this information is only entered once. The information is then automatically
transferred to the other tables where it is needed.
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3. THE LOGICAL/PHYSICAL DESIGN OF THE GIS DATABASE

This activity involves converting the conceptual design to the logical/physical design of the GIS
database (hereafter referred to as the physical design). The GIS software to be used dictates most
of the physical database design. The structure and format of the data in a GIS, like
ARC/INFO™, Intergraph™, MapInfo™, System 9™, etc. have already been determined by each
vendor respectively. If one separates the conceptual entity and its attributes from the
corresponding spatial entity and its geometric representation, it can be seen that the physical
database design for the spatial entity has been completely defined by the vendor and the GIS
designer does not need to do anything more for this part of the data. The attributes of the entities
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may, however, be held in a relational database management system linked to the GIS. If this is
the case, the GIS analyst needs to design the relational tables for the attribute information.
It will not always be the case where one entity from the E-R diagram translates into a single
layer. More complex representations will be needed. Generally this will involve two or more
entities forming a single layer with, possibly, several relational database tables.
The water main segments, the valves and the fire hydrants have been placed together in one layer
as line segments, and two sets of nodes. However, each entity has its own relational table to
record its respective attributes (see Table 1). The relationship is maintained by unique keys for
each instance of each entity.
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Every entity shown on the E-R diagram must be translated to either a GIS layer, a relational
table(s), or both, as indicated by the information to be included. In addition, every relationship of
the type "relationship represented in database" (single line hexagon on the E-R diagram) must be
implemented through the primary and secondary keys in the tables for the entities represented.
The entity "parcel" may "contain" the entity "building." The table for each entity would have
its own primary key (ID#), however, the table for building must also have a secondary key
(parcel ID#) to maintain the relationship in the database.
The completed physical database design must account for all entities and their attributes, the
spatial object with topology and coordinates as needed, and all relationships to be contained in
the database. The remaining items on the E-R diagram, the two types of spatial relationships,
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must be accounted for in the list of functional capabilities, that is, the implied spatial operations
must be possible in the chosen GIS software.
4. PROCEDURES FOR BUILDING THE GIS DATABASE
Developing a GIS database is frequently thought of as simply replicating a map in a computer.
As can be inferred by the nature and detail of the activities recommended up to this point in these
guidelines, building a GIS database involves much more than "replicating a map." While
substantial portions of the GIS database will come from map source documents, many other
sources may also be used, such as aerial photos, tabular files, other digital data, etc. Also, the
"map" representation is only part of the GIS database. In addition to the map representation and
relational tables, a GIS can hold scanned images (drawings, plans, photos), references to other
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objects, names and places, and derived views from the data. The collection of data from diverse
sources and its organization into a useful database requires development of procedures to cover
the following major activities:
• Getting the Data which may include acquiring existing data from both internal and
external sources, evaluating and checking the source materials for completeness and
quality, and/or creating new data by planning and conducting aerial or field surveys.
Contemporary GIS projects attempt to rely on existing, rather than new, data due to the
high cost of original data collection. However, existing data (maps and other forms) were
usually created for some other purpose and thus have constraints for use in a GIS. This
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places much greater importance on evaluating and checking the suitability of source data
for use in a GIS.
• Fixing any problems in the data source, often focused only on map source documents,
this activity has been called "map scrubbing." Depending on the technology to be used to
convert the map graphic image into its digital form, the source documents will have to
meet certain standards. Some conversion processes require the map to be almost perfect
which other processes attempt to automate all needed "fixes" to the map. What is required
here is for the GIS analyst to specify, in detail, a procedure capable of converting the map
documents into an acceptable digital file while accounting for all known problems in
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the map documents. This procedure should be tested in the pilot project and modified as
needed.
• Converting to digital data, the physical process of digitizing or scanning to produce
digital files in the required format. The major decision here is whether or not to use an
outside data conversion contractor or to do the conversion within the organization. In
either case, specifications describing the nature of the digital files should be prepared. In
addition to including the physical database design, specifications should describe the
following:
○ Accuracy requirements (completeness required, positional accuracy for spatial
objects, allowable classification error rates for attributes).
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○ Quality control procedures that will be conducted to measure accuracy.

○ Partitioning of the area covered by the GIS into working units (map sheets) and
how these will be organized in the resulting database (including edge matching
requirements).
○ Document and digital file flow control, including logging procedures, naming
conventions, and version control.
• Change control, most map series are not static but are updated on a periodic basis. Once
a portion of the map has been sent to digitizing (or whatever process is used), a procedure
must be in place to capture any updates to the map and enter these into the digital files.
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• Building the GIS Database, once digitizing has been completed, the sponsoring
organization has a set of digital files, not an organized database. The system integration
process (a subsequent guideline document) must take all the digital files and set-up the
ultimate GIS database in a form that will be efficient for the users. The several
considerations required for this process are covered under GIS Data Database
Construction, GIS System Integration and GIS maintenance and use.
5. PROCEDURES FOR MANAGING AND MAINTAINING THE DATABASE
Because the physical world is constantly changing, the GIS database must be updated to reflect
these changes. Once again, the credibility of the GIS database is at stake if the data is not current.
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Usually, the effort required to maintain the database is as much as, or more than that required to
create it. This ongoing maintenance work is usually assigned to in-house personnel as opposed to
a contractor. The entire process should be planned well in advance. Once again, the equipment
and personnel must be ready to take over the maintenance of the database when the data
conversion effort and database building processes are complete.
Database maintenance requires two supporting efforts: ongoing user training and user support.
Ongoing user training is needed to replace departing users with newly trained personnel. This
will enable the data maintenance to be carried out on a continuous and timely basis. It is also
important to offer advanced training to existing users to provide them with the opportunity to
improve their skills and to make better use of the system.
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GIS is a complicated technology, making operating problems inevitable. User support will help
users solve these problems quickly. It will also customize the GIS software to enable them to
execute processing tasks more quickly and more efficiently. User support is usually provided by
in-house or contract programmers. It requires a knowledge of the operating system and macro
programming language as well as troubleshooting common command and file problems.
6. GIS DATA SHARING COOPERATIVES
The establishment of data sharing cooperatives within the public sector is a cost-effective means
of database development and maintenance which is encouraged. Cooperative-multiparticipant
database projects allow for data exchange, and the opportunity to create new means for
developing, maintaining, and accessing information. The sharing of data in the public sector,
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especially between government agencies and offices which are funded by the same financial
resources, should be expected. It does not make fiscal sense for public funds to be utilized in the
development of two GIS databases of the same geographic area for two different agencies.
Benefits of data sharing thus would include: the development of a much larger database, for far
less cost; the development of more efficient interaction between public agencies; and through the
utilization of a single, seamless database the availability of more accurate information, since all
agencies would share the same, up-to-date information.
The goal of a data sharing strategy is to maximize the utility of data while minimizing the cost to
the organization. It is important that all parties involved have clear and realistic expectations as
well as common objectives to make the data sharing work. Under any circumstance, however,
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database management and maintenance will require us to redefine our relationships with those
we routinely exchange data with, whether they are within an organization or part of a multi
participant effort including outside agencies. Work flow and information flow must be reviewed
and changed if necessary. Procedures and practices for the timely exchange and updating of data
must be put in place and data quality standards adhered to, whether it be hard copy data which
must be converted for inclusion or digital files which might be available for importing to our
system. Systematic collection and integration of new and/or updated data must be employed in
order to safeguard the initial investment, maintain the integrity of the database and assure system
reliability to meet function needs.
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GIS Use and Maintenance

1. INTRODUCTION
The last step in GIS implementation is to put the system to use. With system integration and
testing complete and at least some applications available for use, the system can be released to
users. Two broad categories of activity must be in place at this time:
• user support and service
• system maintenance (database, hardware, software)
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While we are describing the activities here, it should be noted that most of what is recommended
in this final guideline should have been defined during the detailed database design step. So, if
you are reading these documents for the first time and have yet to begin an in-depth system
planning activity, you should add everything that follows to the Database Planning and Design
and Pilot Study/Benchmark steps.
One final comment - usually substantial time passes between the initiation of the needs
assessment and the time a GIS is ready to use. A lot will change during this time period. The GIS
design activity is in itself a change agent - users will understand more about a GIS and its
associated technology after the needs assessment is concluded and will consequently expect
more. The applications originally identified, plus all subsequent derived information, will
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change; the available GIS hardware and software will change; and the underlying computer
technology will change. So basically, while you the GIS designer is trying to come to a set of
definitive decisions to implement the GIS, everything is constantly changing. The best you will
be able to do is to monitor all areas of possible change, at best a difficult task, and to decide on
the GIS with the knowledge that the maintenance phase will have to accommodate substantial
change. Any and all procedures we have discussed as "maintenance" in these guidelines will
need to be put in place immediately after the corresponding document is created or decision is
made.
2. USER SUPPORT AND SERVICE
User support falls into the following categories:
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• basic orientation in GIS is preparation for the needs assessment

• continued briefings during the planning, design, and implementation phases
• user training courses as needed in computing, general purpose software, databases, GIS,
and spatial analysis
• user involvement and evaluation during pilot study and benchmark tests
• user training in specific application use
• technical support service while GIS is in use
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• user feedback procedure to identify system enhancements - GIS functions/applications

and database
• data error/problem reporting and resolution procedures
• user feedback on data accuracy and system performance
• user involvement in decisions on all system upgrades - data, software, and hardware
It is difficult to identify which of the above is most important. This will vary by situation and
over time. However, the first main point in user dissatisfaction comes with the time period
between the needs assessment, where expectations are raised, and the first operational use of the
system. This user dissatisfaction can be such that there is a temptation to develop quick-and-easy
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applications for early use, to take short-cuts in database development, or to extend a pilot study
into actual use. Such a situation cannot always be avoided, however any premature use of this
type will likely lead to more user dissatisfaction in the long term.
GIS System and Database Maintenance
Three driving components of maintenance and change are: system enhancements, database
expansion, and routine system maintenance (updates). Figure 1 indicates the type of change that
may occur in each component and identifies the benefits and costs associated with the on-going
GIS maintenance activity. As users can be negatively affected by changes, major enhancements
or expansions need to be subjected to user review, even if the change is only internal to the GIS
and on the surface would not affect users.
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3. DATA MAINTENANCE PROCEDURES

Managing Existing Data
Backup / Restore
A reliable backup system is necessary for any database. Should anything happen to your
hardware (i.e. the file server disk drive crashes), you will be able to restore your backup data to
another machine and be operational again in minutes without losing the database. Determine a
schedule for regular backups of the system. This can be done daily, weekly, or monthly
depending on the size of the database and amount of changes being made to it. If your staff only
makes edits once a week, a weekly backup should be enough. However, if changes are constantly
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being made, a daily backup is important. If you have a large dataset that would be time
consuming to backup every day, consider backing up only part of the database daily and then do
a full backup once per week.
Granting Access to Data
Often times GIS applications call for users to display and/or analyze the data only, without
editing it. By granting read only access to the data to these types of users, you eliminate any
chances for data to be deleted or otherwise altered. If you have other users who edit data, such as
supervisors or trained technicians, grant them read and write permissions to the data. Data access
can usually be handled by the GIS application, by the database software, and/or by network (if
you are running one) software security operations.
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Another important function in data maintenance to consider is transaction maintenance. This

type of application registers items in the database such as when a record was updated, by whom,
and from what source the changes came from. A history log is kept on each record and old
records being updated can be sent to an archive file. This step may seem unnecessary in the
beginning, but as the database enlarges an application such as this will be of great value. If there
are problems or questions with data, you will know exactly who to turn to to question its
accuracy and quality.
Records Management and Retention
Four important questions should be looked at with regards to management and retention: what to
keep, how long to keep it, how to keep it, and how often to keep it. The New York State
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Archives is currently developing additional guidelines to regulate and define records

management and retention policies for GIS in local government. Until these guidelines are
completed, please see "Laws and Regulations Relating to Local Government Records,"
Technical Information Series #39 for more assistance. A record in a GIS is difficult to define. It
can include: data in the database, maps, aerial photographs, data dictionaries, and metadata. To
help determine how long to keep your data, obtain a retention schedule from the State Archives.
These are used for hardcopy data retention but can be modified and used for your purposes.
Electronic media is generally used for data storage. Again, the State Archives is developing
regulations on this, so it would be best to contact them for guidance.
Reviewing Current Data For Potential Errors and Changes
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Develop a system for QC of the data. Most likely the dataset will be too large to be able to check
everything. Determine what will be checked and what degree of accuracy you require. Several
things you should look for are described below.
Incompleteness
Begin by checking to make sure all the layers of data that should be in the database are there.
Also, make sure no layers are repeated. Define a process for checking some of the individual
features of each layer. Determine if there is any missing data and make sure data is not repeated
in more than one layer.
Errors
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There are two types of errors you should be concerned with: positional and attribute. Positional
errors are defined as absolute or relative. "Relative accuracy is a measure of the maximum
deviation between the interval between two objects on a map and the corresponding interval
between the actual objects in the field. For example, a measurement on a map from a water valve
to the street centerline must be within a certain relative accuracy requirement to be accepted.
Relative accuracy does not relate to a reference grid and the correct geographic position of the
object is not relevant. Absolute accuracy is a measure of the maximum deviation between the
location where a feature is shown on the map and its true location on the surface of the earth
(Montgomery and Schuch, 132-133)." Attribute errors are problems with the feature itself, not
where it is located.
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Topological Errors
Many GIS software packages are equipped to find topological errors in your dataset. Use
available tools, or develop your own, to detect the following types of errors: closure (unclosed
polygons), connectivity (unconnected arcs that should be connected), and coincident features.
Coincident features (shared arcs) are difficult to locate; they may appear to have one arc between
two features, but it turns out to be two arcs, one on top of the other. This should be corrected
because it can result in sliver polygons (small gaps between two polygons).
Detecting Change and Identifying Sources for Updates
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As a local government several internal sources for data updates would include: building permits
issued, real estate transactions, subdivisions proposed and/or approved by the town council, and
zoning changes. This is all important information you might want to include in your GIS.
External sources of data updates might include: aerial photo surveys, subdivision contractor
drawings, the Department of Transportation, the U.S. Postal Service, the Office of Real Property
Services, and state and federal agencies (i.e. environmental groups, soil surveys, and the Coast
Guard).
Collection of New Information
Once you have determined that there are new pieces of information you want to capture in your
GIS, you must decide how you will collect it. Data conversion can be expensive; however, you
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know what the accuracy and quality of the data will be and you will get the information when
you want it. Many of the sources listed in the above section will have digital data they would be
willing to sell. Consider signing a contract to receive any updates they make. A third option for
data collection is finding a way to work it into the staff's daily routine. This makes data
collection take longer, but it does not disrupt workflow and it costs less. Determine what field
crew or staff would be able to capture the data without it being a burden on their job and decide
which people know the most about the data you are attempting to capture.
Applying the Edits and Tracking Changes
Editing the database can become a tedious task. However, it is important to the data integrity that
the edits are done accurately and consistently. All changes should be tracked in a way, as
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described above, that will allow you to determine when the records were updated, by whom, and
what level of confidence the data was rated. When necessary, a history log can be displayed for
each record and all changes to the data will be noted. Archiving data is a good way to keep out-
of-date information from cluttering the system, while allowing easy recall should there be
something wrong with the updates or new data.
Verifying the Corrections
Develop a QC process or use the procedure you've already implemented to check the corrections
made. You will not want to verify every change made, but you could select a random number of
records and confirm that corrections were made correctly.
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Updating the Master Database

Once edits are made and you've verified that they were updated correctly in the database the
master database can be updated. If edits are being made on a daily basis, the master database
may be updated on a daily basis as well, but be sure not to skip the correction verifying step.
Distributing the Updates to Users
This will depend on the technology being used. Some users will have access to a modem and can
dial-up and download any edits you make. Other users will have to receive the data on a tape or
disk. Determine a schedule and plan for distributing edits to your users that best suits your
organization.
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Montgomery, Glenn E. and Harold C. Schuch, GIS Data Conversion Handbook, GIS World, Inc.
and UGC Consulting, Fort Collins, 1993.
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GIS Development GIS Development Guides

Geographic Information System Development

Acquisition of GIS Hardware & Software

• Does all of this have to be done?

• Staff not fully understanding the technology prior to extensive training

The adoption of computer technology by an organization either GIS or other applications,

• Ensure level of technology is appropriate for intended uses

• How will sharing be arranged? . . purchase? . . license? . . other agreement?

Expected Benefits From The GIS

• Application development for database and users (a GIS software analyst)

7. TASKS FOR GIS DEVELOPMENT AND USE

GIS Application Development

• Descriptions of applications that are understandable to the user

3. Burrough, P.A., Principles of Geographical Information Systems for Land Resources

• Cartography and Geographic Information Systems - Contact: American Cartographic

155 E. Boardwalk Drive

Automated Mapping/Facility Management International (AM/FM International)

Washington, D.C. 20002

Scope Of Database Construction

GIS Hardware And Software Used in Digital Data Conversion

Approximate Cost of Services

Outsourcing Data Conversion and Licensing Data

• Problem resolution procedures

consisting of a manageable number of maps of a certain geographic region, which is pre-

Problem Resolution Procedures

As stated earlier, it is important to follow consistent pre-established procedures in the actual

• data updating and maintenance

Document Flow Control

7. EXTERNAL DIGITAL DATA

cartographic feature and attribute characteristics should be utilized in a quality assurance

graphic representations, and adherence to common graphic standards. Placement and

• Prepare an implementation plan

2. CONDUCTING A NEEDS ASSESSMENT

• Map analysis; and

• To use as a base for building a larger, multi-function at some later date.

Tax parcels Land use maps

Infrastructure data Planimetrics

B. The Master Data List

• Application identification information

Master Data List

Entity Attributes Spatial Object

Street_segment name, address_range

of previous January 1st)

Street_intersection length, width,

Water_main type, size, material,

type, installation_date Node

Hydrant type, installation_date,pressure, Node

Soil soil_code, area

wetland_code, area Polygon

Floodplain flood_code, area Polygon

Census_tract tract#, population

Zoning zoning_code, area

• Prepare documentation (forms) for each application, etc.

9. PREPARING THE NEEDS ASSESSMENT REPORT

2 Customer Phone Inquiry Query & 100/day

4 Fire Redistricting Map Map Analysis 1/year

6 Patrol Dispatch Map Query & 133/day

13 Comparable Value Map Query & No estimate

15 Water and Sewer Line Query & 30/month

21 Easement Map Query & 520/year

23 Floodplain Map Query & 50/day

25 Mosquito Control Area Query & 50/year

32 Traffic Volume Map Query & 24/year