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Geographic Information Systems Clearinghouse

New Models of Collaboration:
GIS Coordination in New York State

Ophelia Eglene
Sharon S. Dawes

Center for Technology in Government
October 1998


Introduction

Geographic Information Systems (GIS) are powerful tools to understand and solve problems associated with place and geography. GIS spatial analysis and display capacities allow a holistically organized view of a community and its citizens because they provide the ability to overlay and analyze interrelationships among disparate kinds data. GIS is used by local, state, and federal governments, as well as businesses, in a wide range of domains including economic development, environmental management, education, health, public safety, human services, infrastructure management, planning, zoning, real property records management, elections and redistricting, and disaster preparedness and response.

The features and analytical capabilities of GIS technologies continue to improve, while their costs have steadily declined. The most expensive part of a GIS program, however, is the creation of spatial data. Experts estimate that as much as 80% of the cost of any application is attributable to the expenses associated with acquiring and geo-coding information. Unfortunately, the most valuable and beneficial data sets (i.e., those created at the highest spatial resolutions) are the most costly to create and maintain. Therefore, only a relatively small number of government agencies make significant spatial data development investments. Agencies with smaller budgets, especially in local government, are generally the least able to undertake significant investment although they are in great need of spatial data for many service areas.

Since the information needs of different GIS applications overlap and data created by one organization can often be used by others, data sharing can help reduce costs for GIS application development and yield considerable benefits and efficiencies. Partnerships are needed to share in the creation and coordinated use of GIS data sets between governments and private entities at all levels. To achieve this purpose, the State of New York has implemented a NYS GIS Coordination Program, an innovative model for data sharing and partnerships.

I. Underlying Strategic Vision

The founders and advocates of the NYS GIS Coordination Program envisioned a future where existing spatial data sets would be cataloged and described in a comprehensive and standard way; where potential users could easily contact and negotiate with data custodians to re-use their data; where costly but highly beneficial projects to develop new spatial data resources would be undertaken by groups of organizations working together to create a shared asset; where GIS practitioners could readily share their problems, questions, and experiences with one another; and where GIS analyses of many kinds would contribute to improved environmental management, health care, social policy, education, land use planning, and commerce. In the early 1990s, however, New York State lagged behind most other states in term of GIS coordination. Nearly every other state already had a mechanism to support GIS coordination. In 1994, only four states were without a formal or ad-hoc coordinating body. Despite the lack of central coordination, New York State benefited from many geographic data resources, deep pockets of GIS expertise, and a number of localized coordination efforts. The value of these resources needed to be substantially leveraged by a policy-driven coordination effort at the State level. The central issue facing NY was how to organize and sustain a collaborative effort across all levels of government and with the private sector that would take advantage of the analytical power of GIS to improve government services, drive down costs, and stimulate economic development.

II. Program Description

The GIS Coordination Program in New York emerged in 1996 from the convergence of several parallel efforts that had been developing for several years. Historically, New York State had an active community of GIS practitioners and a vast array of geographic data resources, but no formal mechanism to support GIS coordination. There were significant barriers to GIS data sharing in NYS which were identified in a 1995 study by the Center for Technology in Government (CTG):

To demonstrate some possibilities for addressing these problems, the CTG Project, in cooperation with many state and local agencies, produced an Internet-based prototype spatial data clearinghouse that contained a metadata repository and search capability. The same year, the State Archives and Records Administration (SARA) entered into a contract with the National Center for Geographic Information and Analysis at the State University of New York at Buffalo and the Erie County Water Authority to assist in improving records management practices for GIS in local government. This project developed procedures and guidelines to assist local governments in planning their GIS activities.

In a parallel development, the State Legislature, persuaded by a series of studies and recommendations dating back to the 1980s, enacted Chapter 564 of the Laws of 1994 establishing a temporary state GIS coordinating council. This temporary council was charged with reporting to the Governor and the Legislature recommendations for improved coordination of GIS in New York State. The Council, comprising 57 members named by 28 separate appointing authorities, was chaired by the NYS Division of the Budget. It began its deliberations in the fall of 1995 and, drawing upon both the CTG and SARA projects in addition to the expertise of its members, made its recommendations in March 1996. The Council’s highest priority recommendations included these: create a permanent GIS coordinating body with specific goals, duties and structure; establish a clearinghouse for spatial information; enact license agreement authority for local and state government; amend the Freedom of Information Law (FOIL) to authorize local and State agencies to set fees for commercial use of GIS data and to use those fees to defray GIS costs and expand public access to GIS information; limit liability for spatial data providers.

Another concurrent development was the creation of the Governor’s Task Force on Information Resource Management, New York’s first central information technology agency, launched in January 1996 and charged with a policy-making and coordination role for all information resources in State government. The Task Force was subsequently created in law as the NYS Office for Technology (OFT). The Task Force requested that a Statewide GIS Coordination Plan be produced based on the conclusions of the Temporary Council Report. A Special Purpose Subcommittee on GIS, chaired by the Office of Real Property Services (ORPS), led the establishment of a statewide integrated GIS initiative. To ensure that the plan represented the interests of all major GIS stakeholders, an advisory group was created comprising federal, state and local organizations as well as the private and academic sectors. The Subcommittee delivered the Statewide GIS Coordination Plan in May 1996. It recommended that a GIS Coordinating Body be created as a standing subcommittee of the Task Force to set policy on GIS data sharing in NYS and that a spatial metadata and informational clearinghouse be established at the State Library, based on the prototype developed by CTG.

III. Changes introduced in the service system

The first statewide policy on GIS was issued in September 1996. Technology Policy 96-18 established a framework for the development of a statewide GIS Program and created a broadly representative GIS Coordinating Body drawn from state and local government and the private sector. Working Groups and Advisory Committees were initiated to focus sustained attention on such issues as data sharing, education, communication, and private sector concerns. The Coordinating Body sponsored several initiatives designed to put the policy into action.

IV. Collaborators and their roles

While any individual or organization can become involved in the larger GIS Coordination Program working groups and make use of the public resources available from the Clearinghouse, certain privileges are extended to signed members of the GIS Data Sharing Cooperative.

Government and nonprofit organizations (such as universities) may become members of the Data Sharing Cooperative. Members of the Cooperative are required to list the data sets they own on the Clearinghouse inventory, and create metadata for these data sets and put it in the metadata repository of the Clearinghouse for members to search and view. They are also expected to contribute to the maintenance of the Cooperative’s data sets by returning corrections and enhancements to the Primary Custodians, whenever they use data provided by another member.

Commercial businesses interested in GIS comprise a wide array of organizations offering GIS-related services including consulting, database development, training, and application development; organizations offering GIS products for sale such as software, hardware and data; and direct or indirect end-user organizations such as engineering and construction firms. These organizations may not formally join the cooperative, but they are likely to benefit from it in several ways. The Clearinghouse and Cooperative organize and describe GIS data sets for the benefit of all potential users. They also foster promotion, communication, and enforcement of standards related to the development and use of GIS software and data as well as improvement of communications and coordination regarding GIS activities in the State. Having so many different interests in the coordination of GIS activity in NYS, the private sector is represented in a specialized private sector advisory group and private companies are involved in the finance, data sharing, and legal work groups.

Three kinds of leadership are at work in the GIS Coordination program: state level leadership of the entire enterprise and its philosophy of data sharing and cooperation; agency level leadership in the active adoption of the cooperative and its goals; and leadership of individual experts who were chosen to sit on the Coordinating Body and chair the Working Groups and Advisory Committees.

State-level leadership, provided by the Project Director at the NYS Office for Technology (OFT), gives guidance and direction to all government agencies involved in GIS activities. OFT is organizationally located in the Office of the Governor and was established to coordinate NYS information policies and resources. OFT successfully provided the state-level leadership necessary to implement the GIS Data Sharing Cooperative by designating a leader who acted as a steadfast champion for the cause of cooperation. By pursuing a strategy of incremental gains, practical goals with challenging deadlines, and wide consultation within the GIS community, a great deal has been accomplished in a short time. It is important to understand, as well, that OFT is a new agency linked to the Governor. As such, it has no "history" to overcome, and state agencies, local governments, and private businesses alike perceive the GIS initiative to have the commitment of the State’s top elected leader.

A second source of leadership was necessary to convince agencies to become active in the coordination effort and to join the formal data sharing cooperative. This leadership came from several state agencies who are the acknowledged leaders in the use of GIS: the Departments of Transportation and Environmental Conservation (DOT and DEC), and the Office of Real Property Services (ORPS). Many other state agencies waited to see how these GIS leaders demonstrate commitment before they would join. DOT, in particular, was a critical player as it had a historical policy and practice of selling its GIS data, even to other government agencies. New leadership within DOT became committed to the cooperative program and put its key data sets on the Clearinghouse for the free use of all Cooperative members. DOT also led the effort to create and advocate for the Data Sharing Agreements. ORPS engaged with DOT in a successful experiment in making data from both agencies available over the Internet. DEC, an early advocate of data sharing, is among the first agencies to develop complete metadata for its data holdings and to encourage their use. While many other agencies advocated for cooperation, and actively contributed to the effort, these three agencies provided essential leadership and credibility for the project.

Finally, individual leadership was required at all levels represented in the Cooperative. In order to address concerns of all parties having an interest in the GIS data sharing effort, the Coordinating Body appointed three advisory groups representing local government, state government, and the private sector. In addition, seven working groups were created to reflect upon, make recommendations, and develop sharable resources in the following areas: the clearinghouse, communications, data coordination, education, finance, legal issues, and standards. Each sector and level of government is represented in these groups. In order to provide strong leadership, the GIS Coordinating Body appointed recognized and respected experts as leaders of the advisory and working groups.

V. Problems encountered and solutions tried during development

VI. Results to date

The NYS GIS Data Coordination Program is clearly a success, although some of its goals have yet to be fully achieved and challenges still lie ahead. Its focus, philosophy, and practical results reflect widespread participation by local governments, state agencies, and the private sector. More than one hundred individuals have volunteered their time, effort, and knowledge to this initiative. The Data Sharing Cooperative currently comprises more than 100 members and has a membership goal of 125 by 1999. New York State’s program in GIS Data Sharing has been widely recognized as successful and innovative. The New York State GIS Clearinghouse has been selected by the Urban and Regional Information Systems Association (URISA) to receive the 1998 Exemplary Systems in Government Award in the National Spatial Data Infrastructure-Data Partnerships Category. (The predecessor prototype clearinghouse was honored for excellence in intergovernmental applications in 1996 by the National Association of State Information Resource Executives.) The Federal Geographic Data Committee (FGDC), the US national GIS coordination program, has formally recognized the NYS Coordinating Body and the Statewide GIS Program as a partner in the effort to create a national spatial data infrastructure.

The Program received a grant from FGDC to assist in the development of metadata for the Clearinghouse. It includes funds for training and technical assistance for state and local government staff on the creation of metadata. Finally, a member of the NYS GIS Coordinating Body, from DOT, has recently been elected to the National States Geographic Information Council (NSGIC) Board of Directors. It is the first time the State of New York will have a voice at the Council.

VII. Costs

The costs of the GIS Cooperative Program are minimal in terms of dollars and dedicated human resources. The equivalent of two full time employees are devoted to the Clearinghouse. In addition, the Project Director at OFT dedicates 50% of his time, supported by 50% of an additional staff member. There is also the equivalent of about six full time employees spread across the organizations participating in the Coordinating Body, Advisory Committees, and Work Groups. In addition, individual participants contribute bursts of effort at various times as issues they are concerned with come to the forefront. For example, people involved in the legal group gave many days of service in the development of the FOIL proposal, and members of the data coordination work group have invested extraordinary effort in the development of the Data Sharing Cooperative.

The technology costs are also minor. In order to establish the GIS Clearinghouse, a server and software already owned by the Library were reused. Disk space was borrowed or bought and some low-cost web tools were purchased.

VIII. Benefits

The GIS Data Sharing Coordination Program was designed to overcome barriers to GIS information sharing and provide a wide array of benefits to participants, as follows:

IX. Remaining Questions

The problems described in Section V above continue to need attention and the strategies currently employed seem well suited to their eventual solution. Time will tell how effectively they work. There are, however, two important questions, one long-standing and one recently emerged, that need to be tackled in the coming months and years.

References

Temporary Geographic Information Systems Council. 1996. "Geographic Information Systems: Key to Competitiveness." Submitted to Governor George E.Pataki and the New York State Legislature. March.

Special Purpose Subcommittee on Geographic Information Systems, NYS Office of Real Property Services. 1996. "Statewide GIS Coordination Plan." Prepared for the Governor’s Task Force on Information Resource Management. May.

Center for Technology in Government. 1995. "Sharing the Costs, Sharing the Benefits: The NYS GIS Cooperative Project." December. On line at http://www.ctg.albany.edu/resources /rptwplst.html#GIS

Interview with Bruce Oswald. Project Director of the NYS GIS Coordination Program. July 6, 1998.

Interview with Sharon Oskam. New York State Library. July 6, 1998.

Johnson, William. 1997. "The NYS GIS Data Sharing Cooperative: An Innovative New Model for Data Sharing and Partnerships." October.

Governor’s Task Force on Information Resource Management. 1996. Technology Policy 96-18. "Statewide Geographic Information Systems." September. On line at http://www.oft.state.ny.us/policy/tp_9618.htm

Governor’s Task Force on Information Resource Management. 1996. Technology Policy 97-6. "GIS Data Sharing". July. On line at http://www.oft.state.ny.us/policy/tp_976.htm

Prototype: NYS Spatial Data Clearinghouse. On line at http://www.ctg.albany.edu/gisny.html

NYS GIS Clearinghouse. On line at http://gis.ny.gov

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