Ken Brelsford
Outsourcing database development and mapping services is one of the largest costs in the GIS implementation process. It will require a significant investment in time and resources to build the GIS database. This task will be successful if a solid implementation plan is established and followed. The purpose of the plan is to make sure that the organization and contractor have the same understanding of the products to be delivered, when they will be delivered and how to make changes when necessary.
So you want to build a GIS database. Based on the training class you just took this should be an easy task. Just open ArcMap and start compiling water lines or parcels or taxing districts. But why are you converting the data? Where does it come from? How much confidence do you have in the source material? How much will it cost? How long will it take? Over the years I have seen a number of organizations start implementing GIS or automated mapping systems with the motto: JUST DO IT. While this works for NIKE it won’t work for your GIS implementation. Each of these questions needs to be answered before undertaking a data conversion project.
To answer these questions it is necessary to prepare an implementation plan that will address items related to software functionality, hardware and network configurations, staff and training, budgets, schedules and database requirements. This last item will be the foundation that will make your data conversion project a success. In the database requirements section of the implementation plan you will:
Once you have a plan defining your GIS you are ready to begin. Implementing a GIS requires investment in three major areas.
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Software |
75% of the excitement will be in selecting and learning the software |
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Database |
65% of the cost will be in data conversion |
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People |
60% of the effort will be in managing organization change and staff development |
Our focus will be on getting the most value from the data conversion budget.
There are three major categories of data conversion.
The most common type of conversion involves converting existing hard copy maps and records to digital format. This process may involve scanning, vector compilation and attribute data entry depending on the data requirements of the organization.
Originally most data conversion projects involved converting paper map sets to digital format. Today many organizations have some form of digital mapping. This data may be in a number of formats from simple CAD drawings to GIS formats that are no longer supported. Many of these systems were developed as automated mapping only projects. The data is in a graphics only format with some layer structure and symbol or color assignment. Often there is no map projection or coordinate system. The primary goal in this type of data conversion or migration project is to build a spatial and non-spatial database that links graphics to attributes in a real world coordinate system.
With the increased availability of GPS, more organizations are using field data collection methods to build portions of the GIS database. This method is very efficient if the organization does not have good maps and records of facilities. It is also a good tool for field validation of conversion of existing source documents.
Ongoing map maintenance is often overlooked during the planning of a data conversion project. The day the first delivery of the new digital data is made it is necessary to have a method for making updates. Because the existing system will be maintained during the conversion it may be necessary to have the data conversion vendor make updates to areas completed until final delivery is made. At this point, your organization will take over maintenance. Another alternative is to outsource ongoing map maintenance and map plotting.
The process to contract for data conversion services will follow a series of steps. The first step is to clearly define the objective. The conversion objective should be stated in a clear statement that anyone can understand. This will aid in understanding. It is critical that the potential conversion vendors understand what you want to do. The second step is to describe what is necessary to accomplish the objective. This will include identifying work flow, source documents, staff resources, etc. Based on this information you can make a better decision about whether to outsource the data conversion or do it in-house. The final step is to develop a budget for the project and get funding approval. While the Implementation Plan included budgets for the whole GIS implementation this specific project will be a subset of the total. The budget can be developed by contacting conversion vendors and other organizations that have done similar projects to get and idea of the cost to do the work. Another reason for estimating the cost to do the project is to have a benchmark for validating proposals.
Once you have the project defined it is time to actually select a data conversion company to do the work. There are a number of methods for selecting a contractor. These include:
The traditional method for acquiring products and services is by issuing a bid. But bidding rarely produces the best result. Because the bidding process is focused on lowest cost it is difficult if not impossible to evaluate technical approach, ability and experience. The other major draw back is the need to prepare detailed specifications and scope of work as part of the bid. Often the low bid will result because the contractor did not understand the scope of work.
Using a benchmark to select a conversion vendor is not practical because of the cost to actually convert a “pilot” area. It is too expensive for both to contractor and the organization.
This option is the obvious favorite of the data conversion company selected. While it is not often possible to acquire conversion services with this method there are number of advantages. The most obvious is that you can avoid the time and expense of the other selection methods. A sole source is usually based on an existing working relationship. The key advantage is the contractor already has an understanding of your needs and can be part of the process to develop the scope of work and specifications for this project. One of the key success factors is the ability of you and contractor to develop close teamwork. This relationship already exists and will reduce the time for the startup of the project.
A Request for Qualifications (RFQ) has traditionally been a first step in the Request for Proposal (RFP) process. The RFQ is used to create a list of firms that will be asked to respond to the RFP. More government agencies are beginning to use the RFQ as the primary method for selecting professional services. The Brooks Act, passed in 1988, is being used as the legal tool to justify the RFQ method. In Texas it is required to use the RFQ for all professional services including mapping.
One of the major advantages of the RFQ is the ability to avoid much of the time and expense of the RFP selection process. Once a qualified contractor is selected it is possible to include the company in the process of defining the best conversion method and specifications. All of the cost implications of the different approaches can be evaluated and the best balance of time, cost and product can be selected.
Another advantage is the ability to create a team between your organization and the contractor during the process of defining the work plan.
The RFQ process includes:
The list of companies can be developed from professional organizations like GITA and from business partner listings like you will find on the Esri web site. One of the best sources for qualified firms is from other organizations that have recently completed or are doing data conversion.
The Qualifications statement should include information about the company, history and financial statements, experience, listing current and recent clients with contact information, staff resources, key management and technical staff, and a description of the company’s data conversion approach. This should include the types of software used and the experience level with each. Relate this to the staff resumes to make sure the company actually has qualified staff in the software.
Selecting a qualified contractor will be based on an evaluation of the capabilities of each firm. A numeric value should be assigned for each evaluation criteria. The numeric coding will allow you to objectively identify the top rated firm. Included in the evaluation should be a criteria that allows each evaluator to rank an intangible value. This should not be a large percentage of the total points available but should be a differentiator between companies that are close in the ranking.
Once a firm is selected it is time to put together the detailed work plan and conversion specifications. While you will have an idea what this should be from previous planning, it will be possible to finalize the details taking advantage of the selected firm’s capabilities. During this phase of the process you will work with the selected firm to review the database design, define the conversion specifications, set schedules and establish a budget acceptable to both parties.
The budget is the one weak point in the process. It might not be possible to reach an agreement on the cost to do the work. If you can’t change any of the other components (schedule or deliverable) it will be necessary to go to the next qualified firm. If you have done your evaluation well this should not happen. One of the criteria is to evaluate current and existing work. From this you should be know what the general cost the firm charges for this type of work. If it is beyond your budget, the firm does not become your finalist. Another item you need to check for during reference call is the need for change orders. Find out why change orders were needed. If it was because the client made changes that required extra work from the data conversion company, how did the company handle it. If the data conversion company requested change orders because they couldn’t complete the work in the time or budget agreed to this should be a caution flag if you go forward with this firm.
The process of working together to define the work plan and specifications will improve the quality of the project. There will be fewer changes, schedules will not need to be adjusted because one side or the other did not fully understand what was involved in using source documents or quality assurance and quality control (QA/QC) procedures find problems.
The most traditional method for acquiring mapping services is to issue a Request for Proposal. One of the main advantages of this method is the general acceptance by purchasing departments. An RFP allows you to evaluate a firm’s qualifications, approach and price before making a selection. Under most RFP rules, price can be assigned a value that does not outweigh the experience and approach of the contractor. This helps to assure that you are not forced into lowest bid.
One of the disadvantages is the need to develop a detailed scope of work and conversion specification. To make the evaluation process valid it is important to make sure the responding firms understand the scope of work. This will require you to prepare the scope and specifications to a level of detail that the contractor can understand what is necessary to the work, develop a plan for doing the work and price it. This will take a considerable effort on the part of each contractor and your staff. The time to prepare the RFP, respond to the RFP and to review and select a finalist will average about three months. If the project is large or complex it may take longer to prepare the specifications.
One of the disadvantages of this method is not having the conversion contractor’s expertise available to help put the scope of work and specifications together. One of the reasons the conversion is being out-sourced is the lack of experience or time within the organization. This often requires hiring a consultant to assist with this phase of the contracting process. A consultant may already be under contract from the implementation planning phase and can assist with this task.
It might also be a good idea to have the consultant help with the evaluation and selection process. A consultant will often have a structured evaluation process that can be used to rank the submitted proposals
The typical RFP process tends to put you and the potential contractors in an adversarial relationship. Because the budget is a major constraint on any project, the contractors are trying to figure it out so they can structure the conversion approach to meet the budget. The process of providing information is usually very formal and structured so it is fair to all potential contractors. This makes it very difficult to find out what you really want and more important the condition and content of the current source materials. Because of this, there is usually a significant effort after a contractor is selected to negotiate the contract.
Make the discovery process as open as possible. Usually there is one contact person for an RFP to assure that everyone knows what information has been provided to the contractors. During the pre-Proposal phase, always have someone available. If the primary contact is out for any reason, even a day long meeting, have a second person that can respond to information requests. This can be handled by using communication forms that document all questions and responses. Make your experts available to the contractors to answer questions and review responses so the best information can be provided. This will help the contractors prepare a proposal that will meet your needs.
Because most organizations use this method for acquiring mapping conversion services more detail about what needs to be included in a Request for Proposal is provided. An RFP should contain the following sections:
It is important to provide a clear statement of the project’s objective at the beginning of the RFP. Read this carefully before sending out the RFP. If someone read your objective would they know what you want. Include any expectations you have about what the project will accomplish, identify the key participants and the general size of the project. It also a good idea to state the time frame of the project. This will give the contractors a solid understanding of what you want and will provide the foundation for responding.
Provide the details related to proposal submission. Include milestone dates, due date, conditions for submission, format and number of copies, and contact person and rules for contact.
This section will include the standard terms and conditions of our organization plus any special items related to the data conversion project. The major item to think through is payment for work completed. Payment should be made on incremental deliveries with a percentage retainage of each delivery. Select a logical unit for work deliveries. These should be small enough to allow you time to QC the delivery and accept within 30 days of delivery. Most contractor will want payment within 30 days of invoicing.
What do you want the contractor to do? This is the section that defines in detail what the contractor will and will not do. It is also where you state what you will and won’t do. This needs to be clear so the contractor can include all of the tasks in the proposal and price.
Do not define HOW to do the work. Contractor’s have spent a lot of time and gained extensive experience converting data to digital format. Each contractor has developed tools and procedures to capture and translate data into a spatial database. The goal is to define the end product so the contractor will understand the how to apply the these tools and procedures.
Things to include in the scope of work include:
The technical specifications define the spatial and non-spatial data content and structure. There are three components of the specifications.
The specifications need to be defined in detail. Items to include in the specification include:
It is important to include the proposal evaluation criteria in the RFP. This is another indicator of what you considered important and will guide the contractor in preparing the proposal. There are a number of potential criteria for evaluation but the three main items are:
These can be subdivided into smaller units depending on the detail you need to create a valid comparison between firms. The following is an example set of evaluation criteria used for a recent project.
While cost is not the primary criteria for selecting a data conversion contractor it is a limiting factor. Cost needs to be divided into a set of categories. The first category will cover the production phase of the project and define the increment that will be used to generate and invoice. Depending on the type of project this can be by either a map sheet or spatial area or work activity/task. Other categories should include the pilot phase, project setup and project management.
Project management is critical to the success of your project. The contractor needs to clearly state the communication procedures necessary for timely information sharing. You may require specific reporting tools and schedules. Carefully consider if the contractor understands your requirements and specifically ask references about how the contractor managed the project and communicated with client personnel.
There are three reasons projects fail and poor communications is the primary cause. Without good communications the second reason projects fail, scope creep, will slowly impact schedules, budgets and products. The final reason projects fail, lack of clear specifications, has already been addressed.
There are a number of issues that make a project a success or failure. When you are going through the selection process for hiring a data conversion contractor remember:
The best method for contractor selection is the Request for Qualifications. This method allows you the evaluate the qualifications of all potential contractors, select the best and work together to put together the work plan and specifications. The goal is to create a team between you and the contractor.
Once you start the project keep everyone focused on the specifications and have a plan for managing change.