Maximizing Benefits from Municipal GIS Operations The GIS Management Institute® and the GIS Capability Maturity Model

Maximizing Benefits from Municipal GIS Operations
The GIS Management Institute®
and the GIS Capability Maturity Model
South Ural State University
Chelyabinsk, Russia
20-21 January 2014
Greg Babinski, MA, GISP
URISA Past-President
URISA GMI Committee Chair
COGO Secretary
Finance & Marketing Manager
King County GIS Center
Seattle, WA USA

Greeting from the Urban and Regional
Information Systems Association (URISA)
URISA Board of Directors Officers
President: Allen Ibaugh AICP, GISP -
Data Transfer Solutions
President-Elect: Carl Anderson, GISP
- Spatial Focus
Immediate Past President: Al Butler,
GISP - City of Ocoee, FL
Treasurer - Doug Adams, GISP -
Baltimore County, MD
Secretary - Danielle Ayan, GISP -
Georgia Tech Research Institute
URISA Board Directors at Large
Jochen Albrecht - Hunter College,
Department of Geography, New York,
NY
Tripp Corbin, GISP - eGIS Associates,
Inc., GA
Amy Esnard, GISP - Hood River, OR
Ashley Hitt, GISP - Connected Nation,
Louisville, KY
Claudia Paskauskas, GISP -
Altamonte Springs, FL
Cindy Post, University of Alberta,
Edmonton, AB
Teresa Townsend, AICP, - Planning
Communities LLC., NC
Non-Voting Board
Member/Chapter Advisory Board
Chair:
Cy Smith, GISP, State of Oregon
Executive Director:
Wendy Nelson

Greeting from the
Seattle, Washington USA

King County,
Washington State
USA
q Microsoft
q Gates Foundation
q Boeing
q Paccar
q Nordstrom's
q Amazon
q Starbucks
q Port of Seattle
q Weyerhaeuser
q Univ. of Washington
q Google
q Skype
Population (1,931,000 (14th most populous US county)
Area: 2130 square miles (sea level to 8,000’)
39 incorporated cities
Viable agricultural and private forestry areas
Remote wilderness & watershed lands

The last 50 years have seen a Geospatial Revolution
 Developed upon a foundation of geographic theory
 Enabled by the development of modern computers and
information technology
 Built upon digital data with location attributes
 Aided by allied geospatial technology
 Turned into a viable business support tool by geospatial
software
 Supported by an emerging geospatial profession

The current state of the Geospatial Revolution
 How does geospatial technology aid municipal
administration?
 What benefits does GIS provide to municipal
jurisdictions and to the citizens that they serve?

The next 50 years of the Geospatial Revolution
 Geospatial technology will aid municipal administration
in new and unanticipated ways.
 GIS will continue to provide financial benefits to
municipal jurisdictions and to the citizens they serve.
 How can we measure the effectiveness of enterprise GIS
operations?
 What can we as geospatial professionals do to improve
the future benefits to society from geospatial technology
and municipal GIS operations?

Agenda:
1. Innovative uses of geospatial technology for municipal
administration: GIS Effectiveness
2. Understanding the financial benefits of GIS for
municipal jurisdictions: Return on Investment (ROI)
3. Measuring the effective of enterprise GIS operations:
The URISA GIS Capability Maturity Model (GISCMM)
4. Improving future benefits from geospatial technology:
The GIS Management Institute

1. Innovative uses of geospatial technology for
municipal administration: GIS Effectiveness
Foundations of GIS
 Geographic theory:
Cartographic theory
Locational analysis
Urban focus
 Modern computers and information technology
Faster and cheaper
Networked computing
Database management systems
The Internet
Nanotechnology

Foundations of GIS
 Modern computers and information technology
Faster and cheaper

Foundations of GIS
 Digital data with location attributes
80% to 90% of all municipal data has locational identity
Conversion of national census data to digital format
Digital ortho-photography
Satellite imagery and sensed data

Foundations of GIS
 Aided by allied geospatial technology:
Computerized land survey systems
Geospatial positioning satellite (GPS) system
Terrestrial spatial data collection systems
Location aware devices

Foundations of GIS
 Turned into a viable business support tool by geospatial
software

Foundations of GIS
 The origins of the Urban and Regional Information
Systems Association
 The origins of geospatial software for municipal
administration: Esri (Environmental Systems Research
Institute)

Foundations of GIS
 The origins of the Urban and Regional Information
Systems Association
Dr. Edgar M. Horwood
Professor of Civil Engineering and Urban Planning
University of Washington School of Engineering
URISA Founder
Professor Horwood’s simple but disruptive
question to the U.S. Census Bureau in 1962:
“Can you let me have the 1960 census data for
the U.S. on digital tape?’

Edgar Horwood and the birth of URISA:
 Working with University of Washington Geography
Department – established a short course on data mapping
presented in 1962 and 1963
 1963 to 1966 Urban Planning Information Systems and
Programs Conferences for short course alumni
 1963 Conference considered first URISA Annual Conference
 In 1966 the Urban and Regional Information Systems
Association (URISA) was formally established with Dr.
Horwood as first President.

URISA and the development of geospatial
technology:
 URISA short course 1963 graduate Howard Fischer
assumed the challenge to develop an improved card mapping
system
 Fischer developed SYMAP for automated chloropleth and
contour mapping
 In 1965 Fischer established the Harvard Computer Graphics
Laboratory where he released computer mapping source code
 Jack Dangermond developed ArcInfo from the Harvard R&D
program, leading to the development of Esri

Foundations of GIS
 The origins of geospatial software for municipal
administration: Esri (Environmental Systems Research
Institute)
 Jack Dangermond was an early member of URISA
 In 1969 Dangermond was awarded a Master of Arts
Degree in Landscape Architecture from Harvard
University
 Dangermond conducted research into the geographic
aspects of municipal administration

Foundations of GIS
 At Harvard, Dangermond identified 32 geographic
functions of municipal operations
1. Acquire and dispose of property
2. Process and issue permits
3. Perform inspections
4. Issue work orders
5. Issue licenses
6. Conduct street naming
7. Manage mailing lists
8. Review and approve site plans
9. Review and approve subdivisions
10. Perform street addressing
11. Perform event recording
12. Dispatch vehicles
13. Perform vehicle routing
14. Conduct traffic analysis
15. Allocate human resources
16. Site facilities
17. Conduct area districting
18. Manage and survey facilities
19. Manage inventories
20. Manage resources
21. Administer zoning bylaws
22. Prepare official and secondary plans
23. Conduct engineering design
24. Conduct drafting
25. Maintain topographic data base
26. Manage drawings
27. Disseminate public information
28. Conduct development tracking
29. Respond to public enquiries
30. Conduct title searches
31. Bill and collect taxes and fees
32. Manage data bases and systems

Foundations of GIS
 Dangermond identified 32 geographic functions of
municipal operations
 Obtained access to geospatial software code while
working at Harvard’s Laboratory for Computer Graphics
and Spatial Analysis
 Founded Esri and developed ArcInfo GIS software to aid
each of the 32 geographic-based municipal functions

Jack Dangermond develops ArcGIS and Esri

Foundations of GIS
 Esri ArcGIS software supports geographic functions of
municipal operations
 Esri now has at least 30% share of the global GIS
software market.

Foundations of GIS
 Supported by an emerging geospatial profession
 A recent Esri publication identified ‘20 Essential Skills for
GIS’

1. Create Reference
Maps:
 Layers
 Symbols
 Labels
 Layouts
Example shows King County
and City of Seattle Sewer
outfall locations

2. Create Well Designed Map
Layouts:
 Map Container
 Map content
 Marginalia
Example shows King County
GIS standard map template

3. Project Multiple
Data Sources
Correctly:
 Shape
 Area
 Direction
 Distance
Example shows variations
in jurisdiction area
calculations based on
projection chosen.

4. Prepare Data
for GIS
Example shows
hand held field data
collection device.

5. Manage
Attribute
Tables:
 Qualitative
Attributes
 Quantitative
Attributes
Example shows
consolidated King
County primary and
secondary schools
database

6. Join Data
to Maps:
 Transit routes
 Real time bus
arrival
Example shows
real-time King
County Metro bus
routing and
arrival data

7. Create
Thematic
Maps:
Example shows
King County
‘Equity and
Social Justice’
Motor Vehicle
Accident Rate
by Health
Planning Area

8. Create
Categorical
Maps:
Example shows
King County
Noxious weeds
locations

9. Import
GPS Data
to Maps:
Example shows
King County
GIS Center staff
member
collecting
recreational
trail data

10. Create
Address
Maps:
Examples show:
 Library Patrons
(based on patron
data)
 Transit Car Park
Lot Users (based
on vehicle
registration data)

11. Edit
Boundaries:
Example shows
King County Land
Acquisition
planning map

12. Join Boundaries:
Example shows
watershed stream
catchment boundary
consolidation for
environmental policy
analysis

13. Join Aerial
Photography:
Example shows King
County Urban forestry
planning map with
aerial imagery overlay

14. Digitize Paper
Maps:
Examples show maps
digitized in 2013 to
plan new tunnel under
the city of Seattle

15. Query
Attributes:
Example shows a
multi-jurisdictional
municipal GIS
application for
commercial and
industrial property
sale and lease

16. Query Locations:
Example shows a traffic and
road closure application
within flood-prone areas of
King County

17. Create Reports:
Example shows King County’s internal
Real Estate Portfolio System reporting
capability (Note absence of map view)

18. Create
Buffers:
 Identify Features
 Create Mailing
Lists
 This capability
from the King
County GIS public
web site

19. Publish Maps:
Example shows bus route maps published from
GIS data

20. Create
Geodatabases:
Example shows
geodatabase
developed and
maintained for a
suburban
jurisdiction by the
King County GIS
Center

21. Port Maps to Multiple Platforms:
Develop GIS applications for mobile devices first!

22. Create 3D
Images or
Video:
Example from
King County GIS
Center
Watershed
pollution
remediation
planning
program.
http://www.youtube.com/watch?v=TeVsZ0nda68#t=11

Summary Comments:
 For 50 years geospatial technology has steadily advanced in
capability
 Geospatial technology is cheaper to acquire and easier to
use than ever
 New applications for GIS are developed and proven
continuously
 Once the domain of GIS professionals, increasingly
geospatial technology is being used by the common man.

Questions and Discussion?

For all of its benefits, geospatial technology is expensive to
develop, implement, operate and maintain.
Society allocates finite financial resources for municipal
administration.
How does GIS justify a share of those financial resources?

King County
GIS
Organizational
Structure,
supports 35
county
departments
and offices,
plus outside
customers

King County
GIS Center has
28
professional
staff and a
budget of over
$5 million per
year.

 Originated with 1992 PlanGraphics study and Strategic Plan
 1992 Benefit Cost Analysis
 PlanGraphics identified 126 business applications and a $22
million capital cost estimate
 1992-1994 King County – Seattle Metro merger
 1993 joint King County – Metro GIS scoping plan – reduced
$6.8 million scope approved by King County Council
 1993-1997 GIS capital project executed
 1997 KCGIS O&M begins
 2002 KCGIS Consolidation implemented
King County GIS - Development History:

1992 Return on
Investment
study predicted
recovery of
development
and operations
costs in 7 year
After 10 years,
a 1.00:1.49
return on
investment for
a total net
return of $11
million

 Originated with 1992 PlanGraphics study
 1992 Benefit Cost Analysis
 PlanGraphics identified 126 business applications
and a $22 million capital cost estimate
 1992-1994 King County – Seattle Metro merger
 1993 joint King County – Metro GIS scoping plan
– reduced $6.8 million scope approved by King
County Council
 1993-1997 GIS capital project executed
 1997 KCGIS O&M begins
 2002 KCGIS Consolidation implemented

2010 King County GIS State of Development:
 500+/- desktop GIS users
 100,000 annual internal web based GIS user sessions
 2.2 million annual external web based GIS user sessions
 50 GIS professionals
 GIS use expanded from 12 to 35 county departments and offices
 But where are we really on the optimal development of GIS in
King County?
 What was (is) our ROI?

GIS ROI Documentation Studies?
 Why are they not required?
 Why are they not performed?

GIS ROI Documentation Studies?
Baltimore County, MD
168% return on investment reported by GIS
and IT staff

Why GIS ROI Documentation Studies?
State of Oregon

Why GIS ROI Documentation Studies?
State of Oregon
Return on
investment deemed
not credible because
developed by a GIS
consulting company.

GIS ROI Documentation Study Breakthrough
New Zealand: ACIL Tasman Consulting Economists

GIS ROI Documentation Study: New Zealand
2008: $1.164 billion (0.65% of gross domestic product) added to
the economy.

King County GIS GIS ROI Study Project
 Could we determine the historical ROI from a local
government agency?
 Conceived during 2009 URISA Annual Conference
in Anaheim
 Approach finalized during 2009 ULA in Seattle
 State of Oregon & King County joint funding
 KCGIS 2010 Priority Initiative
 Managed by KCGIS Center

KCGIS GIS ROI Study
Consultant Team from UW Evans School of Public Affairs, Benefit-Cost
Analysis Center:
 Prof. Richard W. Zerbe
 Danielle Fumia & Travis Reynolds
 Pradeep Singh & Tyler Scott

KCGIS GIS ROI Study
Consultant Team
from University
of Washington
Evans School of
Public Affairs:
 Benefit-Cost
Analysis Center

KCGIS GIS ROI Study
Scope of Work:
 Literature Review
 Qualitative Interviews (n = 30)
 Quantitative Survey (n = 200)
 Final ROI Report
 Revised Interview/Survey Instruments for future
studies

KCGIS GIS ROI
Study Results
From 1991-2011
KCGIS costs:
 $11 million for
development
 $44 million for
central GIS costs
 $86 million for
agency GIS costs
 $73 million for end-
user GIS costs

Zerbe Methodology:
 ‘With versus without” research design.
 What would have happened if KCGIS applications had not been implemented
and how is King County better off having them?
 Literature review and qualitative interviews will identify key benefits
associated with GIS applications (e.g., increased productivity).
 Questionnaire will allow assessment of the extent to which these benefits
have been realized across different groups of users of GIS applications, as
opposed to what these users would have done in the absence of GIS
applications.
 By comparing the “with and without” scenarios, we can assess and monetize
the added value of the GIS applications to compare to the costs of
implementation, maintenance, and/or additional training.
KCGIS GIS ROI Study

With or without survey methodology:
 How has GIS altered agency output levels?
 Benefits associated with FTE reductions to produce the same (pre-GIS) level of
output
 Benefits associated with enhanced production with the same FTE levels
 Three stage analysis:
 Interview agency heads and key employees to assess the types of applications
and business uses. Interviews were used to build an employee survey.
 Employees and managers across King County responded to the survey to record
their pre and current (or with vs. without) GIS productivity by output types.
 Interview and survey results were compiled by output type, agency, and
productivity levels. Results were then monetized.
 Monetized benefits compared to detailed GIS capital O&M, and
end-user costs
KCGIS GIS ROI Study: Methodology

 30 Detailed
Interviews
Completed
 175 Survey
Responses
(some partial
responses)
KCGIS GIS ROI Study: Methodology

PERTINENT SURVEY QUESTIONS
Please estimate the number of each output you currently produce (in 2010), being clear
about the time frame (per day, per year, etc.). Also state the total number of outputs
from your agency (if known), and the number of employees and full-time employees
(FTEs) currently working on producing this output.
If you answered that you did not produce a given output in the previous section, you may
skip the personal production questions.
 How many units of this output do you personally produce? Choose # of units:
 How many units of this output do you personally produce Per Unit of Time:
 What percent of your time do you spend producing each output now? (%)
 What percent of your time do you spend producing each output now: Per Unit of
Time:
 Number of Employees in your workgroup (including you) currently producing this
output:
 Total FTEs in your workgroup (including you) currently producing this output:

PERTINENT SURVEY QUESTIONS
Again, the outputs commonly produced by your agency are listed below in the first column. If you
were not present when the output was produced without GIS, please answer No to the first
question but provide your best estimate for the remaining questions.
For each output, please indicate how having GIS has impacted labor productivity for you
personally and for your agency overall.
 Did you personally produce this output without GIS?
 How many units of this output did you personally produce prior to GIS? Choose # of units:
 How many units of this output did you personally produce Per Unit of Time prior to GIS:?What
percent of your time did you spend producing each output prior to GIS?
 What percent of your time did you spend producing each output Prior to GIS: Per Unit of
Time:
 Number of Employees in your workgroup (including you) producing this output prior to GIS?
 Total FTEs in your workgroup (including you) producing this output prior to GIS?

KCGIS GIS ROI Study Results

“The most conservative estimate presented finds
that the use of GIS has produced approximately
$775 million in net benefits over the eighteen year
period from 1992 to 2010….
Thus a reasonable estimate of total gains is
between $180 million and $87 million in 2010.”

Theoretical basis for cost and benefit calculations

Questions & Answers:
 At what stage is KCGIS in the total potential business use of GIS?
 Are the KCGIS results ‘good’?
 How do we know?
 Do we need similar studies of other large counties?
 Proposed single ‘latitudinal’ study of 15-20 mid-sized cities in
Washington, Oregon & British Columbia
 Are government agency officials not now compelled to pursue
full GIS development?
KCGIS GIS ROI Study

Acknowledgements for King County GIS ROI Study:
 State of Oregon GIS and Cy Smith, Oregon GIO
 KCGIS Technical Committee
 Richard O. Zerbe & UW GIS ROI Study Team
 KCGIS Center Interview team:
 George Horning, Manager
 Greg Stought, Enterprise Services Manager
 Dennis Higgins, GISP, Client Services Manager
 Debbie Bull, GIS DBA
 Greg Babinski, GISP, Finance & Marketing Manager
Questions, Comments & Discussion
Learn More:
• ArcNews: Summer 2012: http://www.esri.com/news/arcnews/summer12articles/king-
county-documents-roi-of-gis.html
• Access full report on King County web site: www.kingcounty.gov/gis

 King County, WA – GIS ROI Study
http://www.kingcounty.gov/operations/GIS/News.aspx
 Spatial Information in the New Zealand Economy
http://www.geospatial.govt.nz/productivityreport
 Review of the Value of Spatial Information in Australia
 The Value of Spatial Information for Tasmania
http://www.aciltasman.com.au
 The Value of Danish Address Data
http://www.adresseinfo.dk/Portals/2/Benefit/Value_Assessmen
t_Danish_Address_Data_UK_2010-07-07b.pdf
 Iowa Geospatial Infrastructure
http://www.iowagic.org/igi/documents
 Geographic Information & Technology Association (GITA). 2007.
Building a Business Case for Geospatial Technology: A
Practitioner’s Guide to Financial and Strategic Analysis.
Other GIS ROI literature:

Day 2 topics:
 What is a capability maturity model?
 Origins of the GIS Capability Maturity Model
 URISA Steps in and Babinski’s Theory of GIS Management
 The URISA Geospatial Management Competency Model
 Development of the revised, peer-reviewed URISA GIS Capability
Maturity Model
 The URISA GIS Capability Maturity Model – Step by Step
 The pivotal role of the GIS CMM in the GIS Management Institute®
 The role of the GIS Management Institute® in enhancing
sustainable Enterprise GIS
 The role of the GIS Management Institute® in developing
professional GIS managers
 The GIS Management Institute® - next steps

What is a Capability Maturity Model?
 A tool to assess an organization’s ability to accomplish a
defined task or set of tasks
 Originated with the Software Engineering Institute
 Objective evaluation of software contractors
 SEI published Managing the Software Process 1989
 SEI CMM is process focused
 Other applications of the capability maturity model concept:
 System engineering
 Project management
 Risk management
 Information technology service providers

Why is thinking about capability &
process maturity important?

The Capability Maturity Model Institute
The Carnegie Mellon
Software Engineering
Institute (SEI) is a federally
funded research and
development center
headquartered on the
campus of Carnegie Mellon
University in Pittsburgh,
Pennsylvania, United
States. SEI also has offices
in Arlington, Virginia, and
Frankfurt, Germany. The
SEI operates with major
funding from the U.S.
Department of Defense. The
SEI also works closely with
industry and academia
through research
collaborations.

Origins of the GIS Capability Maturity Model
What causes variation in enterprise GIS Operations?
 Each agency is unique
 City, county, or agency business focus often varies
 Population
 Nature and level of economic development
 Level of development resources provided?
 Variations in our ability to use GIS resources?
 Forgetting where we are in the development cycle?
 But GIS operations with similar resources get different results!
Why?

When is our GIS Development done?
There are many ways we might answer:
 With an external focus?
 Best practices
 Benchmarking
 With a theoretical focus?
 Ideal design
 Academic state of the art
 With a capability focus?
 With a maturity level focus?

2009 Academic Exercise:
 Maturity for the proposed model indicates progression of an
organization towards GIS capability that maximizes:
 Potential for the use of state of the art GIS technology
 Commonly recognized quality data
 Organizational best practices appropriate for municipal business use
 The Municipal GIS Capability Maturity Model assumes two broad
areas of GIS operational development:
 Enabling capability
 Execution ability

Enabling Capability Components:
What we buy or acquire for our
GIS operation…

Execution Ability Components:
How we utilize what we have
acquired for our GIS

Very Simple
Questionnaire
Note enabling
capability rating
scale based on
NSGIC GMA

Very Simple
Questionnaire
Note execution ability rating
scale based on SEI CMM

2009 State of Washington Survey Results Presented at URISA Annual Conference:

URISA Steps In and Adopts the GIS
Capability Maturity Model

URISA Steps In
2010 ArcNews Article in URISA GIS Management Column
Babinski’s Theory of GIS Management: As GIS Operational Maturity Improves, ROI Increases

URISA Steps In
 2010: David DiBiase Proposes that URISA develop the
Geospatial Management Competency Model (Tier 9 of the
USDOLETA Geospatial Technology Competency Model)
 2011: DiBiase, Babinski & Kennelly form URISA GMCM
Committee
 2011: Babinski convenes GIS Managers Task Force at
Washington GIS Conference to:
 Create GMCM ‘Strawman’ Draft
 Review and revise the GIS Capability Maturity Model
 2011: At GIS-Pro in Indianapolis, GMCM Committee revises
Strawman Draft and by early 2012 Publishes GMCM for
peer-review.

URISA Develops the Geospatial Management
Competency Model for the U.S. Department
of Labor
Final Peer-Reviewed URISA GMCM:
 Published in June 2012
 Adopted by USDOLETA August 2012
 18 Competency Clusters
 74 individual competencies

The ‘Ah-ha!’ moment (Part 1):
GIS operational process maturity (aka the GIS
Capability Maturity Model)
and…
GIS management capability (aka the Geospatial
Management Competency Model)
Can both best be defined against…
A body of geospatial management best practices and
standards, or the GIS Management Body of Knowledge

The ‘Ah-ha!’ moment (Part 2):
No one has ever defined
geospatial management best practices and standards

Developing the revised, peer-reviewed
URISA GIS Capability Maturity Model
2011 Washington State GIS
Managers Task Force

2012 – 2013 GMI Committee:
 Incorporated 2011 GIS Managers Task Force Recommendations
 Correlated 74 GMCM competencies
 Prompted for assessing ‘Characteristics’ via questions

2013 Peer-Review Cycle:
 6-weeks for public review via online questionnaire
 Adequate high-quality responses
 Responses consolidated by Hilary Perkins and Greg Babinski
 Greg Babinski drafted initial recommendations to address/resolve
comments
 Final 10-day GMI Committee review & comment cycle

Enabling Capability (EC) Component
EC1. Framework GIS Data
EC2. Framework GIS Data Maintenance
EC3. Business GIS Data
EC4. Business GIS Data Maintenance
EC5. GIS Data Coordination
EC6. Metadata
EC7. Spatial Data Warehouse
EC8. Architectural Design
EC9. Technical Infrastructure
EC10. Replacement Plan
EC11. GIS Software Maintenance
EC12. Data back-up and security
EC13. GIS Application Portfolio
EC14. GIS Application Portfolio Management
EC15. GIS Application Portfolio O&M
EC16. Professional GIS Management
EC17. Professional GIS Operations Staff
EC18. GIS Staff Training and Professional Development
EC19. GIS Governance Structure
EC20. GIS is Linked to Agency Strategic Goals
EC21. GIS Budget
EC22. GIS Funding
EC23. GIS Financial Plan
Execution Ability (EA) Component
EA1. New Client Services Evaluation and Development
EA2. User Support, Help Desk, and End-User Training
EA3. Service Delivery Tracking and Oversight
EA4. Service Quality Assurance
EA5. Application Development or Procurement
Methodology
EA6. Project Management Methodology
EA7. Quality Assurance and Quality Control
EA8. GIS System Management
EA9. Process Event Management
EA10. Contract and Supplier Management
EA11. Regional Collaboration
EA12. Staff Development
EA13. Operation Performance Management
EA14. Individual GIS Staff Performance Management
EA15. Client Satisfaction Monitoring and Assurance
EA16. Resource Allocation Management
EA17. GIS data sharing
EA18. GIS Software License Sharing
EA19. GIS data inter-operability
EA20. Legal and policy affairs management
EA21. Balancing minimal privacy with maximum data
usage
EA22. Service to the community and to the profession

 Final revised draft based on 10-day GMI Committee review &
comment cycle
 GMI Committee consensus approval of final September 2013 draft at
its 9/4/2013 meeting with recommendation that the URISA BOD
endorse/formally adopt the URISA GIS Capability Maturity Model.
 URISA Board action at its 9/15/2013 meeting:
 URISA GIS Capability Maturity Model Adopted

Enabling Capability Components
For each question in the ‘Enabling Capability’ section, read the brief description.
Check the implementation category
[ ] 1.00 Fully implemented
[ ] 0.80 In progress with full resources available to achieve the capability
[ ] 0.60 In progress but with only partial resources available to achieve the
capability
[ ] 0.40 Planned and with resources available to achieve the capability
[ ] 0.20 Planned but with no resources available to achieve the capability
[ ] 0.00 This desired, but is not planned
[ ] Not Applicable (This is a non-numeric response that requires an explanation
of why this component should not be considered in assessing the operation.)

Complete assessment for each data
layer:
a. Geodetic Control
b. Cadastral
c. Orthoimagery
d. Elevation
e. Hydrography
f. Administrative Units
g. Transportation
Does the agency have access to adequate framework GIS data
to meet its business needs? For the GISCMM, framework data
corresponds to jurisdiction-wide common base layers as defined
by the agency to meet its business needs.
For reference, refer to the NSDI framework data layers (see
http://www.fgdc.gov/framework/).
See also EC2, below)
Maintenance
layer:
a. Geodetic Control
b. Cadastral
c. Orthoimagery
d. Elevation
e. Hydrography
f. Administrative Units
g. Transportation
Are data stewards defined for each framework GIS data layer
and the data is maintained (kept up to date) to meet business
needs?
 Refer to EC6 for description of the ideal data environment.
 There could very likely be multiple stewards
 The Enterprise GIS responsibility is that there are no gaps in
coverage
 In performing the assessment, every framework component
should be covered

layer:
a. Example: situs address
b. Name:
c. Name:
d. Name:
e. Name:
Does the agency have access to adequate business data (non-
framework GIS data) to meet its business needs?
 Need for data based on agency business needs, therefore
this data will vary from agency to agency; specific business
data layers will not be comparable from agency to agency
 Agency completing the assessment should name at least 5
but no more than 10 business data types. These business
data layers should also be assessed under EC4, below.
Maintenance
layer:
a. Example: situs address
b. Name:
c. Name:
d. Name:
e. Name:
Does the agency have data stewards defined for each business
GIS data layer and is the data is maintained (kept up to date) to
meet business needs?
 Also refer to EC3 above for business
 Refer to EC7 below, for ideal data environment

EC5. GIS Data Coordination Is there an enterprise GIS data coordination function and/or
committee to rationalize framework and business GIS data
development, access, and maintenance?
 This could be a function of a GIO (chief geographic
information officer), a governance function, or an enterprise
GIS office function, depending on desired level of formality
or institutionalization.
EC6. Metadata Is metadata available and maintained for all framework and
business data layers?
 Is there a rationale for accepting any data without
metadata?

EC7. Spatial Data
Warehouse
Is an enterprise spatial data infrastructure in place that includes a centralized
production database environment available for GIS data stewards to compile
the official version of framework and business spatial data?
 Is a separate spatial data warehouse available for GIS users to access and
download the official published version of the data for GIS applications?
 Is there a consistent data structure and are there consistent practices for
effective data maintenance, posting and processing?
 Is the enterprise GIS the authoritative source of spatial data for the
organization?
EC8. Architectural
Design
Does an architectural design exist that defines the current state and planned
future development of the technical infrastructure? Does the architectural
design guide the investment in GIS technical infrastructure?
 Does the GIS Architectural design support the business architecture and all
business activities, per the Zachman Framework (or similar)?
 Does it align with agency IT standards and architecture?
 Does the agency analyze architectural gaps and drive IT standards and
architectural design criteria?
 Note that architectural design(8) and Technical infrastructure (9) are
interrelated

EC9. Technical Infrastructure Is there technical infrastructure in place to maintain and operate
the GIS and to meet the agency business needs?
 Meeting agency business needs should be defined against
agreed performance criteria. Technical infrastructure
includes hardware (servers, storage, desktops, input and
output peripherals), network components, operating
system, and GIS software.
 Note that architectural design(8) and Technical
infrastructure (9) are interrelated
EC10. Replacement Plan Is there a plan in place and implemented to replace technical
infrastructure components (hardware, network components,
current imagery, and other procured data) that have a defined
‘end of useful life?

EC11. GIS Software
Maintenance
Is GIS software available and adequate to meet agency business
needs and is it under maintenance to ensure long term support
and development?
 If open-source’ GIS software is used, is alternate support
and development capability available and are the real costs
of operation and maintenance accounted for?
EC12. Data back-up and
security
Is a computer back-up system in place to ensure the security of
GIS data and applications?
 Is the backup system is tested periodically by tests to
restore sample data?
 Is system security in place to control internal and external
access to GIS data and applications as appropriate?
 Is a GIS data archiving and preservation program in place?
EC13. GIS Application Portfolio If required to meet the needs of agency GIS users/clients, is a
portfolio of custom or off-the-shelf GIS or GIS enabled
applications available?

Management
Is the agency’s GIS application portfolio managed to a common
design and development framework?
O&M
Is the agency’s GIS application portfolio kept viable via ongoing
support and application maintenance?
EC16. Professional GIS
Management
Is the agency GIS managed by a qualified manager with
appropriate education, experience, and credentials?
EC17. Professional GIS
Operations Staff
Is the agency GIS operated and maintained by an adequate staff
with appropriate professional qualifications?
 For purposes of the GISCMM, adequate operational staffing
is defined as meeting the ‘roles’ defined by the Geospatial
Technology Competency Model – see:
http://www.careeronestop.org/CompetencyModel/pyramid.as
px?GEO=Y.
EC18. GIS Staff Training and
Professional Development
Do the agency GIS manager and other professional staff have
access to on-going training to maintain and develop their
technical and operational knowledge, skills, and abilities?

EC19. GIS Governance
Structure
Does the agency have a formal GIS governance structure that
links the GIS operation both to users and to key decision
makers?
 For some agencies (very small or with well-oiled enterprise
GIS) a formal committee structure may not be required. A
formal committee is a traditional practice, but in everyday
practice, many agencies proceed without such a formal
committee structure.
Does the agency’s governance address:
 Long-range planning
 Stakeholder satisfaction
 Ability for business stakeholders to leverage initiatives
EC20. GIS is Linked to Agency
Strategic Goals
Does the GIS as it exists have a defined responsibility and a
clearly defined role in supporting the strategic goals of the
agency?

EC21. GIS Budget Does the GIS operation develop a comprehensive budget that
includes (at a minimum) labor, hardware, software, data,
consulting, and training costs?
 This mean either a separate GIS budget or embedded
budget components that the GIS manager has input on and
can base planning and programs upon as the budget is
expended.
EC22. GIS Funding Does the GIS organization have adequate funding for (at a
minimum) labor, hardware, software, data, consulting, and
training costs?
EC23. GIS Financial Plan Does the GIS organization have a financial plan that includes a
funding model (where the money is coming from) and that also
projects future episodic costs for equipment, imagery, and other
data replacement?

Execution Ability Components
For each question in the ‘Execution Ability’ section, read the brief question and description.
Check the implementation category that best describes your agency’s current status. Feel
free to include any clarifying comments or questions.
[ ] Level Five: Optimized processes
[ ] Level Four: Managed and measured processes
[ ] Level Three: Defined processes
[ ] Level Two: Repeatable processes
[ ] Level One: Ad-hoc processes

EA1. New Client Services
Evaluation and Development
How does the GIS operation evaluate new agency business needs
for GIS services and develop plans to respond to new client
service requests?
 This component should include a timeline/turn-around
response focus.
 Are new services evaluated against the agency strategic
plan?
 Are new services evaluated against ROI criteria…does it
make financial sense?
 Level 5 – optimized process – requires looking at existing
services also and evaluating them to provide optimized
services.
EA2. User Support, Help Desk,
and End-User Training
How does the GIS operation support end users, including user
guides, help documentation, training, and ad-hoc help-desk
and/or on-site support?
 This component should include a timeline/turn-around
response focus
 This should include a ‘train-the-trainer program.

EA3. Service Delivery
Tracking and Oversight
How does the GIS unit monitor and evaluate client service
delivery?
EA4. Service Quality
Assurance
How does the GIS operation ensure the quality of services
provided to clients?
 This should also recognize the quality that can be provided
may be dependent upon the time available to meet the
client’s needs
EA5. Application
Development or Procurement
Methodology
How does the GIS operation develop custom GIS applications?
 Do GIS applications align with and support business needs?
 How does the GIS Operation preform requirements
development and development execution strategy, including
build vs. buy decision?
 How does the GIS Operation manage GIS application
development when in-house programming is not included
within the GIS operation?
 This should also recognize the quality that can be provided
may be dependent upon the time available to meet the
client’s needs

EA6. Project Management
Methodology
How does the GIS operation manage projects for which it is
responsible?
 Projects could be either executed in-house or by an outside
contractor.
EA7. Quality Assurance and
Quality Control
How does the GIS operation assure a reasonable and appropriate
level of quality for projects and for ongoing GIS system operation,
to meet defined business needs?
 System operations include database maintenance and spatial
data warehouse processes.
 Data is a key enterprise GIS component for effective QA/QC.
 Perhaps there are several processes against which this
maturity component should be applied.
EA8. GIS System
Management
How does the GIS operation manage the core GIS systems that it
is responsible for?
 GIS system management includes system administration,
database administration, network administration, system
security, data backup, security, and restore processes, etc.
 If these functions are managed within the GIS Operation,
there should be defined procedures/best practices. But if the
functions are provided outside the GIS operation, these
procedures and best practices should form the basis for well-
defined service level agreements.

EA9. Process Event
Management
How does the GIS operation manage GIS system process
events?
 Typical process events include planned hardware and
software upgrades, unplanned hardware failure and data
loss and restore events.
 This should include well defined change management best
practices, for both routine/batch processes, and for
significant system upgrades/modifications.
EA10. Contract and Supplier
Management
How does the GIS operation manage its purchasing and
contracting processes to ensure the best value for the supplies
and services that it acquires?
EA11. Regional Collaboration How does the GIS operation manage regional collaboration to
ensure that opportunities to share in the development and
operation of data, infrastructure, and applications are pursued,
and that the agency’s GIS is leveraged to benefit other potential
local partners?

EA12. Staff Development How does the GIS operation manage the process of hiring and
developing its staff to ensure that individual staff member skills
are developed appropriate to current and emerging technical
and business needs?
 How does the GIS operation ensure that its staff resources
meet its operational requirements for individual GIS
competencies, including back-up and succession planning?
 A best practice would include a well-defined and effective
performance management and appraisal system.
 A key objective would be minimizing risk to the
organization, while enhancing staff effectiveness and
productivity.
EA13. Operation Performance
Management
How does the GIS operation manage performance of its
operations as a whole?
 This is the single key indicator of organizational process
maturity and execution ability? Perhaps an organization’s
rating in this area would serve as a ceiling for its overall
rating.

EA14. Individual GIS Staff
Performance Management
How does the GIS operation manage individual employee staff
performance?
EA15. Client Satisfaction
Monitoring and Assurance
How does the GIS operation monitor, assess, and assure the
satisfaction of its clients?
 Ideally, clients should be surveyed to indicate their
satisfaction with individual projects and with the enterprise
GIS operation as a whole.
EA16.
Resource Allocation
Management
How does the GIS optimize use of its operational staff and of
other resources at its disposal, both to minimize costs and to
achieve maximum overall effectiveness for the enterprise?
 This should include a global correlation between an
organization’s resources and the services that it provides,
both internal and external.

EA17. GIS data sharing Is GIS data sharable and is it shared? How does the GIS
operation leverage shared and sharable GIS data to maintain
effectiveness and minimize cost and redundant functions?
EA18. GIS Software License
Sharing
Are GIS software licenses sharable and are they shared?
 How does the GIS operation leverage shared and sharable
GIS software to maintain effectiveness and minimize cost
and redundant services?
EA19. GIS data inter-
operability
Are agency framework and business geospatial data sources
capable of being integrated and accessed in a technically
appropriate and efficient manner?

EA20. Legal and policy affairs
management
Are the GIS organization’s activities conducted to comply with
appropriate legal and policy guidelines and requirements?
 Does the GIS organization promote appropriate changes to
the legal and policy framework to support effective
enterprise GIS operations?
EA21. Balancing minimal
privacy with maximum data
usage
Does the GIS operation adhere to open data sharing principles
to the maximum potential while minimizing administrative
hurdles and roadblocks?
 Does the GIS operation apply the maximum care to ensure
the security of the minimum domain of restricted
confidential data?
EA22. Service to the
community and to the
profession
Does the GIS operation support the GIS Certification Institute‘s
and the URISA GIS Code of Ethics ‘Contributions to the
Profession’ guidelines?
 Does the GIS operation support and encourage efforts by its
staff members for appropriate professional outreach,
educational, and community service activities related to
GIS?

URISA GIS Management Institute®
GMI Goal:
The GIS Management Institute® helps organizations identify and
implement enterprise GIS management practice improvements.
GIS managers, anywhere in the world, will increase return on
investment and maximize the effective use of GIS for their
enterprise business goals with GMI products and services.
URISA Received GIS Management Institute Charter from the U.S.
Patent and Trademark Office in 2013.

Business Need:
GIS professionals and practitioners invest considerable time and money for
their initial education and continual training, yet recognized professional
practice standards and guidelines are lacking in the GIS profession.
Public agencies and private entities have invested very large sums of
money to develop and operate their enterprise GIS and program specific
GIS operations, yet best-practices and investment validation for GIS
operations are both lacking.
Worldwide, most GIS managers, professionals, and practitioners continue
to deliver value to society through the work that they do.
But there remains a need for an environment where best practices and
professional standards can be developed, validated, and promoted to
maximize the value and effectiveness of GIS operations.
These are the needs that the GIS Management Institute® will meet.

GMI Core Products and Services:
The GIS Management Institute® already has two key products that are
central to its core strategy:
• The Geospatial Management Competency Model (GMCM) for mangers
• The GIS Capability Maturity Model. (GISCMM) for GIS organizations
The GIS Management Body of Knowledge (GMBOK) will be a third key
product of the GMI. The GMBOK is intended to be a GMI product that
generates substantial revenue.

The GISCMM and the GMBOK will also be used to develop an on-line
subscription based organizational assessment and accreditation service for
enterprise GIS operations anywhere in the world. This will be the primary
revenue generating GMI service.
Subscribers to the service will populate the GMI database with metrics on
their own GIS configuration, maturity assessment, and performance
metrics.
Their subscription will then provide them access to the GMI database to
analyze the effectiveness of individual GIS management best practices and
to compare their GIS operations against peer agencies worldwide.

The GISCMM, GMCM, and the GMBOK will also be used to develop a
revenue-generating, subscription-based GIS educational program
accreditation service.
The GMCM and the GMBOK will be used in cooperation with GISCI, to
develop a revenue generating GIS Management Certification Program.

GMI Core Strategy:
The GMI core strategy is to help those who deploy, operate, and manage GIS
organizations enhance their personal competency, and improve the
effectiveness and ROI from their investment in GIS.
The GMI will mobilize volunteer GIS professionals (to be called GMI
Associates) to create the GMBOK, comprised of individual GIS Best Practices.
The GMBOK will be developed by starting with frameworks that have already
been developed by URISA, such as the GMCM and the GISCMM.
Topics for individual GIS Management Best Practices will be developed from
the 23 capability and 22 maturity components of the GISCMM.
Each topic will include a narrative of the best practice, a policy template,
recommended metrics, a description of required professional competencies to
support the best practice, and recommended learning objectives to inform the
development of a curriculum to teach the best practice.

GIS Management
Institute®
Conceptual Diagram

GIS
Management
Institute®
Operational
Diagram

 Submit completed GISCMM self assessments to GMI
 Annual GMI Report on the state of Enterprise GIS
 New URISA GMI Service: Enterprise GIS Assessment/Accreditation:
 Online survey instrument
 Self assessment with validation mechanisms
 Compilation of bench marking metrics
 Evaluation against GISCMM
 Manager assessment against GMCM
 Feedback report with benchmark analysis and development
recommendations
 GMIcmm Maturity Level Accreditation

Enhancing sustainable Enterprise GIS

Enterprise GIS Capability Assessment Report Template

Enterprise GIS Maturity Assessment Report Template

Enhancing professionalism for GIS
managers
The competency of the GIS manager is one of the key
success factors for an effective enterprise GIS

Enhancing professionalism for GIS
managers
Assessing the competency of a GIS manager against the
Geospatial Management Competency Model

GISCMM Development Contributors:

Contributors:

The GIS Capability Maturity Model and
the GIS Management Institute®
Attendee Discussion and Feedback
Do you have any:
 Questions?
 Suggestions?
 Criticisms?
 Ideas for using the GISCMM of the GIS
Management Institute?
 Other comments?

Greg Babinski, MA, GISP
URISA Past-President
URISA GMI Committee Chair
COGO Secretary
W: www.urisa.org/main/gis-management-institute/
Finance & Marketing Manager
201 South Jackson Street
MS: KSC-IT-0706
Seattle, WA 98104 USA
P: 206-477-4402
F: 206-263-3145
E: greg.babinski@kingcounty.gov
T: @gbabinski
W: www.kingcounty.gov/gis

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