State of
Target Data/Information Architecture
Information Technology (IT) Technical Document
“A Strategic Outcome for e-Government Solutions”

Revision 1.0
Prepared by
Government
Information Technology Agency
|
Revision |
Effective
Date |
Summary of Changes |
|
NC |
|
Initial
release |
|
1.0 |
|
The Enterprise
Architecture Technology Trends section has been removed and consolidated into a new EA Technology Trends document. A
hyperlink to http://azgita.gov/enterprise_architecture/
was added in place of the description of the economic, governmental, and
technical trends that impact and influence EA. |
|
The Glossary
of Terms section has been removed and consolidated into the GITA Policies, Standards, and Procedures
(PSP) and |
||
|
|
TABLE OF CONTENTS
2. Data/Information
Architecture Vision
3. Data/Information
Architecture Definition
4. target data/information
architecture
5. Recommended
Data/Information Architecture Standards
6. Data/Information
Architecture Purpose
7. Data/Information
Architecture Principles
8. Data/Information
Architecture recommended Best Practices
9. Data/Information
Technology and governmental Trends
The State of
EA includes important business, governance, and technical components. The technical components, collectively referred to as Enterprise Wide Technical Architecture (EWTA), provide technical guidance to State agencies. That guidance is supported by principles correlated to agency business functions, recommended standards, and applicable recommended best practices.
EA applies to all agencies. The agency director, working in conjunction with the agency CIO, is responsible for ensuring the implementation of EA within the agency’s “sphere of influence,” as designated by statute or rule. The EA Target Domain Architecture documents define an overall strategy and technical framework; however, by design, the individual roles and responsibilities, funding sources, and timeframes for the implementation of the target architectures are the responsibility of the agency.
|
Arizona’s EWTA Domains |
|
|
Infrastructure |
Application |
|
Platform |
Data/Information |
|
Network |
Software |
|
Security |
|
Data/Information Architecture was
the fifth major EWTA domain developed by GITA and its architectural task teams.
The EWTA was developed in phases and is updated periodically. The domain
architectures are driven by the business and program priorities of
The State of
Data/Information Architecture focuses on the process of modeling the
information that is needed to support the business processes and functions of
agencies, and more strategically, of communities of interest. Where applicable,
it spans traditional agency organizational boundaries to address
interoperability, integration, consolidation, and sharing of resources by
correlating agency business processes to common government services through the
identification and definition of data/information relationships and
dependencies.
Data/Information Architecture outcomes are expressed in the form of data
models, information flows, and analysis of inputs/outputs and decision-making
criteria for the activities of State government. Analyzing these outcomes
within the desired context of collectively improving the efficiency and
effectiveness of State government provides a common framework to potentially
converge certain individual agency business processes into
community-of-interest-based, realistic, attainable e-government solutions and
strategic business initiatives that
eliminate unnecessary redundant and overlapping individual agency activities.
While certain unique agency data and processes may be required and necessary,
they should not deter or impede the State’s strategic efforts to maximize
opportunities to share information and integrate resources among
agencies within communities of interest as well as to improve interoperability
with other governmental entities and the private business sector.

Ø Internet-based technology to improve government services, reduce operational costs, enhance citizen participation, and rethink government processes; and
Ø Digital technologies to transform government operations in order to improve effectiveness, efficiency, and service delivery.
Technology, incorporated into business and aligned with EA,
has the potential to transform government by improving service delivery,
reducing costs, simplifying and streamlining requirements and services, and
increasing efficiency and effectiveness. AZ State Government, other state
governments, the federal government, the private sector, and citizens currently
embrace e-government as an essential strategy to achieve market-based, citizen-
and result-oriented government services. e-Government and strategic business initiatives and programs should be designed
to:
Ø Make it easy for citizens and businesses to
obtain service and interact with government;
Ø
Improve
government efficiency and effectiveness; and
Ø
Improve government’s responsiveness to citizens,
businesses, political sub-divisions, and the federal government.
Utilizing these themes to align e-government and strategic
business initiatives with their primary
beneficiaries allows service programs to be classified into four major
strategic portfolios:
Ø
Government-to-Citizen
initiatives to fulfill a vision of one-stop online access to government
services.
Ø
Government-to-Business
initiatives to reduce government burden on businesses, reduce redundant data
collection and reporting, and enable digital communication with businesses.
Ø
Government-to-Government
initiatives to enable sharing and integration of information with all levels of
government, and integrate key government operations such as disaster response.
Ø
Internal
Efficiency and Effectiveness initiatives that use technology to reduce costs
and improve internal operations by adopting commercial best practices.
Numerous communities of interest exist within state government that affords opportunities to develop realistic and attainable e-government solutions that support strategic initiatives and align with Statewide Policy P100, Information Technology. Many communities of interest such as Health, Human/Social Services, Criminal Justice, Education, Environmental Quality, Transportation, and others extend beyond State government. Recognizing this reality, Data/Information Architecture continues the ongoing strategic theme of Arizona’s EWTA to emphasize and focus on technologies that are aligned with open, pervasive industry-wide standards, interoperability, portability, and adaptability to foster a common, compatible environment conducive to extending the State’s communities of interest to all levels of government and the private business sector.

Arizona’s EWTA provides the
strategic technical guidance and definitions to create a comprehensive,
interoperable, adaptive IT framework that facilitates and supports the
economical and efficient development and implementation of e-government and
strategic business solutions that improve government services, eliminate
redundancies, and reduce costs. The Network and Platform domains of
The purpose of data modeling is to develop an accurate model, or graphical representation, of the agency's information needs and business processes. The data model acts as a framework for business re-engineering and the development of new or enhanced applications to fulfill business requirements and processes. Data modeling aids in describing the types of interactions and information exchanges that occur within and between agencies and their various customers, constituencies, and business partners. The functional perspective of Target Data/Information Architecture data modeling facilitates identification of common business processes, information requirements, and opportunities for business process improvements not only with agencies, but as well across agencies boundaries within communities of interest. Data modeling is a tool that provides a detailed data/information process map to help agencies identify functional processes and programs that can be more effective and efficient through community of interest collaboration and partnerships.
Recognizing the benefits of direct involvement and widespread collaboration, GITA and the CIO Council propose to establish a Technology Government Working Group (TGOV.) TGOV will support the Governor’s strategic plan for e-government and the implementation of strategic business initiatives by assisting agencies to achieve success in areas of EA implementation, technology selection, and the adoption of recommended standards and best practices that can be leveraged on a statewide scale. TGOV leverages the knowledge and expertise of existing IT personnel to provide agencies with architectural guidance, technology recommendations and approaches that support the adoption and implementation of Arizona’s EA. Agencies having representation on the CIO Council are encouraged to participate and provide appropriate technical staff representation in the working group. See Appendix A. Technology Government Working Group (TGOV) for further information.
Using a structured, well-defined, architectural-process-based approach to implement strategic business initiatives and e-government solutions dramatically improves the potential for success. Enterprise Architecture helps to avoid problem areas such as duplicate efforts, failure to consider infrastructure and security requirements, and implementing proprietary technologies that are not interoperable, flexible, and scalable. A process-based approach increases the possibility for collaborative efforts by clearly identifying opportunities where community of interest partnerships can take place.
AZ Architectural Process-Based Approach

The recommended implementation approach for the Target Data/Information Architecture is as follows:
1. The EWTA Principles, Recommended Standards, and Best Practices, are being developed by GITA and its architectural task teams in conjunction with the CIO Council and ITAC, and with agency technical staff input and review. The EA domains provide the technical framework for the application of information technology and subsequent change in an orderly, efficient manner by describing a direction for current and future community of interest and agency business activities that is supported by underlying principles, standards, and best practices.
The development and implementation of EWTA is an ongoing process that encourages the continual refinement of the architecture to ensure sustained alignment with evolving business strategies, communities of interest, and requirements of the State as well as changing technology.
2. GITA is undertaking the Initial Agency Conceptual Data Modeling component to define the individual agency and statewide “As-Is” business and application processes and their respective data/information flows. These high-level conceptual models are contained in Appendix B. Statewide Context Diagram and Appendix C. Agency Conceptual Model.
Conceptual data modeling is a high-level graphical representation of the data needed to operate an organization or a business activity that is unbiased toward any single application and independent of its access and physical storage. It describes the information used by an organization in a business manner, not governed, by implementation-level issues and details.
Specific agency data models are confidential and are only available with consent and approval of the agency per A.R.S. § 41-3504(A (9)) “maintain all otherwise confidential information received from a budget unit pursuant to this section as confidential.”
3. The second, more detailed modeling component, Agency Logical Data Modeling, is a participative effort with GITA and State agencies by what will become known as “architectural task teams.”
Logical data modeling describes the business data requirements in a format where business users can understand them. The logical data modeling process discovers, analyzes, defines, standardizes, and normalizes the relationships between business and application processes, the flow of information, and the related data elements required by the agency as established by the conceptual data model. Processes, data flows and their data elements are the logical facts an agency must maintain to conduct business. Logical data modeling interprets business information requirements, forming data elements, which will satisfy those information requirements, but also forming data elements, which are sharable across organizational/process boundaries, and eliminating overlaps and conflicts in those data elements.
4. Target Tactical Planning is based upon strategic e-government and business initiatives as identified in the Governor’s strategic plan. Target Tactical Planning sets the desired “to be” business and technology as a result of “as-is” modeling efforts. Using the conceptual and logical data models, targeted agencies, and communities of interest will align the Governor’s e-government and strategic business initiatives goals and objectives with their Agency IT Plan. GITA will incorporate the strategic e-government business goals and objectives of the Governor’s strategic plan, and proposed Agency IT Plans into the State IT Plan.
5. Targeted State agencies involved in a specific e-government or business initiative will perform a Gap Analysis relative to their “as-is” technologies in the planning stage of the project, to establish a benchmark for agency operations and the development of a Project and Investment Justification (PIJ).
6. Agencies are responsible for the execution of any gap analysis/implementation plan as well as for submitting a standard PIJ for project approval and implementation based on Statewide Policy P340, Project, and Investment Justification (PIJ). The specific business functions and processes, along with the proposed technological solutions, aligned with Arizona’s EWTA, and supported by a positive Business Case are detailed in the PIJ as specified in Statewide Standard P340-S340, Project and Investment Justification (PIJ).
7. Business Process Improvements, as identified in the Governor’s Strategic Plan, the State IT Plan, and individual Agency IT Plans are enacted within a community of interest or individual agency. These represent the executable strategies for restructuring and reshaping business processes into successful, attainable, and measurable solutions.
Organizing the above architectural-process-based approach for
implementing strategic business initiatives and e-government solutions
within the context of a desired, common target environment for the State
aligned with, and supported by the principles, standards, and best practices of
The
proposed Technical Reference Model depicted below provides a common depiction
of the desired, common target environment and is intended to support the
State’s business functions. It captures the fundamental components of the
network, security, platform, software, and data/information domains and
presents the aggregate relative to an e-government framework. The intent is to
present a consistent, industry-aligned framework with the ability to
accommodate a variety of viable e-government and other strategic business
solutions that is flexible and capable of adapting to new and improved
technologies as they become available.
This Model provides the
foundation for agencies to analyze and identify interoperability and
integration opportunities. This interoperable, scalable target environment
fully embraces open- and de-facto-industry standards and best practices. The
practical application of this target environment should minimize point or
proprietary approaches and maximize the interoperability of future e-government
and other strategic business solutions.
The architectural-process-based approach
described above and the following integrated domain
table, consolidated from the individual EWTA domains, provides the technical
target architectural components to coordinate and deploy strategic e-government
initiatives and business solutions within the context of the Technical
Reference Model (above). The domain table describes the technical components of
AZ EWTA relative to the Open Systems
Interconnection (OSI) Reference Model to furnish a common ground for analysis,
discussion, and standards development.
Target Technology Table |
||
|
Obsolete, Transitional |
Target (Strategic) |
Emerging |
|
OSI
Layer 1 – Physical |
||
|
Network |
||
|
Coaxial cabling, Category 3 unshielded twisted pair
(UTP), shielded twisted pair (STP), and 62.5/125-micron multimode fiber. Bus topology |
Category 5e UTP (supersedes
Category 5 UTP), 50/125-micron multimode fiber, 8/125-micron single mode
fiber. Logical star topology |
Category 6 UTP, wireless. Logical meshed star
topology |
|
Security |
||
|
Open-door physical access |
Keys, locks, badges,
cameras, access logs, controlled access systems |
IP-based access control
systems, biometrics |
|
Platform |
||
|
Platforms that employ proprietary
protocols, gateways, as opposed to open-standard interfaces |
SCSI, iSCSI Single application smart
cards |
Trusted Platform Multi-function smart cards |
|
OSI
Layer 2 – Data Link |
||
|
Network |
||
|
Single-segment LANs, separate
networks for different services (e.g., voice and data), separate dedicated
networks for various user groups, proprietary protocols (e.g., SNA, Token
Ring, Appletalk-addressing), FDDI, X.25, time-domain protocols (e.g., SDLC,
HDLC) |
Open-standards-based,
multi-service networks; 100/1000 Ethernet; 802.11 LAN, 802.16 MAN Wireless
Ethernet; Frame Relay; ATM |
Packet- and cell-based
wireless and satellite protocols, dynamic data-link level switching, and
prioritization, 10G/40G Ethernet |
|
Hub technology |
Switched technology |
|
|
Security |
||
|
No Media Access Control Access Control Lists |
Media Access Control Access
Control Lists |
|
|
OSI
Layer 3 - Network |
||
|
Network |
||
|
Proprietary protocols
(e.g., IPX, AppleTalk-routing, DECnet) Separate networks for
different services (e.g. voice and data), flat designs with unmanaged
bridges, hubs, Fixed IP addressing |
IP; RIP; BGP; OSPF; IP
switching; and DHCP. Converged networks with
prioritization for all services; switched, multi-segment design |
IPv6 Dynamic, network-level
switching and prioritization |
|
Security |
||
|
Open, non-firewalled access Critical or Confidential
data transmitted in clear formats |
Integrated firewalls - Packet
filtering, ICMP, Boundary Routers, static NAT, IPSec |
|
|
OSI
Layer 4 - Transport |
||
|
Network |
||
|
Proprietary protocols
(e.g., SPX, AppleTalk-Transport) |
TCP, and UDP Converged networks with
prioritization for all services |
Dynamic transport-level
switching and prioritization |
|
Security |
||
|
Open, non-firewalled access |
Integrated firewalls -
Stateful Inspection, dynamic NAT |
|
|
OSI Layer 5 – Session |
||
|
Network |
||
|
AppleTalk-session and
DEC-dns |
DNS |
Dynamic, session-level
switching and prioritization |
|
OSI
Layers 6 – Presentation. 7 – Application |
||
|
Network |
||
|
AppleTalk-filing, and
DEC-lat |
SNMP; RMON; SMTP |
Dynamic, content-level
switching and prioritization |
|
Security |
||
|
Open, non-firewalled Web, FTP, and Mail Servers Proprietary security products User selected passwords that do not conform to
restrictive standards. Signs-on’s that only work with a single platform
or application User-based privileges |
Integrated firewalls - Application-proxy gateway,
Proxy Servers, Dedicated Proxy Servers. FTP, S/MIME for mail servers, OpenPGP, Role-based
administration, permissions, and rights. Smart cards, Kerberos Firewalled DNS, with services placed on DMZ, SSL Standards-based platform sign-on with role-based
administration Industry standard and vendor neutral APIs for
identification Strong password policy Token-based identification Public Key Certificates |
Multi-function smart cards Single sign-on across platforms, domains Human Authentication API Public Key Infrastructure Mobile agents |
|
Platform |
||
|
|
Platforms having open industry-standard
operating systems, with imbedded security, and open-standard interfaces and
drivers |
Platforms having open
industry-standard operating systems, with imbedded security, multifactor
authentication, and open-standard interfaces and drivers |
|
Platforms having
proprietary operating systems without open-standard interfaces and drivers.
For example: o Mainframes without TCP/IP o Digital or analog PBXs /Key
Systems requiring a separate network infrastructure o Voice mail systems without
open APIs o Storage Area Networking
with single-use, proprietary, fiber channel o Pagers, used concurrently
with PDAs, radios, cell phones o Analog telephony devices |
Platforms having industry
de facto standard operating systems, with imbedded security, and
open-standard interfaces and drivers. For example: o
Mainframes with TCP/IP, SIP, Open APIs o
Servers with TCP/IP, SIP, Open APIs o
IP telephony with TCP/IP, SIP, Open APIs o
Hybrid IP telephony (TDM/IP) systems with TCP/IP, SIP, Open APIs o
Network Attached Storage o
Direct Attached Storage o
Storage Area Networking with multi-use access channels o
Client devices (PCs, Network Computers, PDAs, etc.) with
wired/wireless connectivity, TCP/IP and multi-function applications |
|
|
Platform and Network Operating
Systems that are unable to utilize a converged network infrastructure to
access business applications |
Platforms having niche
proprietary operating systems, with imbedded security, and open-standard
interfaces and drivers (requires exceptional business requirements) |
|
|
|
SNMP management of
platforms Platforms deployed on
target networks, with class of service (CoS) and quality of service (QoS) |
|
|
Software |
||
|
Traditional, monolithic State software applications
deployed on proprietary server and client platforms (e.g., mainframe
deployment requiring transitional version of OS with terminal access or
terminal emulation access only, etc.) |
n-tier distributed software applications
emphasizing client (State employee, community of interest, public customer)
productivity and performance enhancements and enablers (decision-making at
the appropriate level) through self-service, self-administration, etc.,
utilizing browser-based client access deployed on Target Platform
Architecture server, storage, and client devices (P100-S102) Traditional, monolithic State software
applications with web-enabled, browser-based, client access. |
Open, industry standard Web services, .NET, WSDL,
XML, UDDI initiatives Software applications hosted via ASPs |
|
Client/server software applications deployed with
“fat” client requirements |
Three-tier distributed software applications with
access to n-tier architecture services |
|
|
Business programming languages such as COBOL used
in legacy software applications Manufacturer-specific programming languages Platform-specific programming languages such as
assembler, etc |
C++, Java™, Visual Basic®, etc. |
|
|
Proprietary gateways, interfaces DCE H.320, H.323 Vendor/database-specific middleware with
proprietary extensions |
Java™ and servlet software, COM™, DCOM™ CORBA, ORB (P100-S102), ISO/IEC 11179 SIP, SDP, SAP, RTSP Open API (P100-S102) Middleware: TPM, RPC, RMI, JMS, MOM HTML, XHTML, XML (P100-S102) |
Object-oriented software IIOP J2EE™ EJB™ server-side deployment,
COM+ EbXML secure exchange of information, UML™, SAML, XSL, CSS3, XSLT, DSML, SOAP, TLS |
|
3270 terminal access to software Unmanaged software applications |
GUI presentation layer access to software as a
precursor to browser-based access Browser-based access to software Software applications that are manageable with
SNMP-based management tools (P100-S101, P100-S102) LDAP directory services (P800-S820, P100-S102) Software application security (P800-S800 series) |
Portal-based universal browser access to all
services Enterprise LDAP directory services |
|
Flat file systems, ISAM, VSAM Vendor-specific SQL extensions Vendor-specific database middleware with
proprietary extensions Proprietary email systems, non-MIME-compliant
email, proprietary, closed email directory services Proprietary, closed productivity software |
RDBMS Open database connectivity: SQL, ODBC, OLE DB, NDMP,
NFS, CIFS, JDBC (P100-S102) Database middleware that uses open database
connectivity Email services: SMTP, S/MIME, IMAP4, POP3 Productivity software with open APIs |
OODBMS, ORDBMS Productivity software conforming to IETF standards
such as iCalendar, CAP, IPP, etc. |
The terms “Obsolete, Transitional, Target (Strategic), and Emerging” as
defined herein provide guidance regarding the status of specific architecture
technologies.
Ø Obsolete. Arizona’s EA strongly promotes that agencies employ a different
technology. Agencies must not plan new deployments of this technology
and should develop a plan to replace this technology. This technology is
typically outdated, no longer widely supported, and has been superseded by a
newer, better technology.
Ø Transitional. Arizona’s EA promotes other standard
technologies. Agencies may presently be using this technology as a transitional
strategy in movement to a target/strategic technology. This technology
may be waning in use or no longer supported.
Ø Target (Strategic). Arizona’s EA promotes use of this technology
by agencies. New deployments of this technology are recommended.
Ø
Emerging.
Arizona’s EA promotes only
evaluative deployments of this technology. This technology may be in
development or may require further evaluation.
Data/Information Architecture Standards are established to provide direction and guidance for community of interest and individual agency implementation of interoperable, collaborative e-government solutions and services that are flexible and adaptable to changing technology, business, and information requirements and that utilize common, proven, and pervasive, open, software products and services.
Data/Information Architecture
Standards will be identified and developed at the conclusion of data modeling
efforts.
The purpose of Data/Information Architecture is to
create an environment in which the State’s current and future e-government
business can be transacted: one that facilitates interoperability, sharing of
information and resources, and that is highly flexible and adaptable to
changing technology, business, and information requirements. Data/Information
Architecture must align with and facilitate the strategic goals of the State
and agency IT plans. Data/Information Architecture must support
the economical and efficient development of e-government solutions that make
State information, programs, and services more accessible to the people of
The key goals of the State
IT Plan that impact requirements for Data/Information Architecture are:
A. Increase the use of e-government
solutions.
Rationale:
Ø
Data/Information Architecture correlates disparate agency business
functions, modeling the desired outcomes into potential e-government solutions facilitating common, open, citizen access
interfaces and improving access to State resources and information, which
results in consistent delivery of services to external business partners and
the public through the Internet.
Ø
Data/Information Architecture facilitates the acquisition, development,
implementation, and support of e-government business solutions through common,
proven, industry-wide technologies that focus on interoperability, sharing of
information, scalability, portability, and Internet technologies.
B. Effectively share common IT resources to
enable State agencies to better serve the people of
Rationale:
Ø
Data/Information Architecture provides communities of interest and
individual agencies with guidance for designing and implementing e-government
solutions and services that support the sharing and exchange of information
with other governmental entities and the private sector, while economically and
effectively supporting agency operations.
Ø
Data/Information Architecture provides data modeling outcomes that allow
communities of interest and individual agencies to design and implement
interoperable e-government solutions and services that expand business
continuity and integration opportunities with other agencies.
C. Improve access to broadband
infrastructure statewide.
Rationale:
Ø Data/Information Architecture
supports an Internet/Intranet e-government environment that, in conjunction
with broadband availability and access, allows for enhanced citizen and State
employee access to e-government solutions, services, and information,
regardless of location.
D. Improve the quality, efficiency, and
usefulness of cross-agency applications integration and data sharing.
Rationale:
Ø Data/Information Architecture
facilitates a community of interest approach to e-government solutions, which support
interoperability and the sharing of information across the State enterprise to
support relevant cross-agency e-government solutions.
Ø Data/Information Architecture promotes consistent, common, proven technologies for implementing community of interest and individual agency e-government solutions to allow agencies to improve interoperability and integration, and consequently, opportunities for sharing data.
E. Improve the capability of IT functions
in order to deliver quality products and services.
Rationale:
Ø
An understanding of
current business processes and their environment in conjunction with the
principles, recommended standards, and best practices of Data/Information Architecture allows community of interest and individual
agency e-government solutions to be implemented in a manner that facilitates
the development and delivery of interoperable, integrated solutions to provide
a faster response to changing business needs. It also allows decision-making to
progress more rapidly and advances an environment that enhances citizen access
to information and services.
Data/Information principles are intended to support the design and implementation of e-government solutions and services, and to facilitate increased sharing of information among agencies and communities of interest.
Principle 1
e-Government
initiatives require a flexible, comprehensive
Rationale:
Ø
Ø
o Maximize and leverage IT investments and avoid unnecessary duplication of infrastructure and major components.
o Link business processes through shared, secure systems.
o Leverage disparate business processes, services, and activities within a community of interest.
Ø A comprehensive EWTA allows for a broad, robust range of e-government solutions that will capable of incorporating new technologies as they are developed.
Ø
Principle 2
Value
and protect the State’s data and information as critical assets of the
enterprise.
Rationale:
Ø The successful delivery of government services depends on information and conclusions derived from accurate, timely, secure data.
Ø
e-Government business
applications, processes, and transactions will continue to increase across the
State.
Ø
The State and its agencies must be able to
conduct business processes that provide access to information and resources
electronically, while maintaining confidentiality and integrity.
Ø
e-Government solutions
must be implemented in adherence with all security, confidentiality, and
privacy policies, as well as applicable statutes, to enhance
public trust, exert the proper stewardship over public information, and help
ensure the integrity of the information.
Ø
e-Government solutions
must be implemented with adherence to applicable Statewide Security
Standards and Target Security Architecture.
Principle 3
Share,
and provide secure access to data and information.
Rationale:
Ø The value of data and information is proportional to its availability. Data and information that is inaccessible or hard to interpret and use diminishes its value and hinders the effectiveness and efficiency of service delivery.
Ø Data and information that is securely shared reduces redundancy and enhances and accelerates decision-making.
Ø The secure sharing of data and information facilitates community of interest solutions and reduces cost and complexity of e-government and other business solutions.
Ø The secure sharing of data and information, particularly with respect to e-government solutions has the potential to minimize the direct data collection burden and promote the principle of “enter once, use often.”
Ø Effective data and information access is critical for e-government solutions, which will contain unprecedented levels of direct access by both internal and external users.
Ø e-Government solutions should encourage and provide for a diversity of secure public and private access, including multiple access points and accessibility to individuals with sensory disabilities.
Principle 4
Statewide
interoperability standards facilitate and support community of interest
e-government initiatives and other business solutions.
Rationale:
Ø Interoperability is essential for securely sharing data, information, and other resources in the successful implementation of effective and efficient community of interest e-government initiatives and other business solutions.
Ø Agencies, citizens, businesses, political subdivisions, and the federal government are all potential stakeholders interacting with community of interest e-government initiatives and other business solutions.
Ø Pervasive, open industry interoperability standards remove traditional interoperability issues of underlying proprietary software and platforms dependencies.
Ø The State should adopt and use voluntary open- or de-facto industry standards, as delineated in Target Software Architecture.
Ø The State should align its standards with Federal interoperability standards as they are developed.
Principle 5
e-Government solutions maximizing Target Architectures will achieve optimal
efficiency and effectiveness for the delivery of services.
Rationale:
Ø Software automates the implementation and delivery of e-government solutions.
Ø Platform Architecture provides the end-user, citizen interface to agency and State information and resources. It enables the rapid, effective execution and processing of State and agency business-specific software applications, database and productivity software. Platform Architecture works in conjunction with Network and Security Architecture to extend resources and information capabilities and access, regardless of the location of the citizen or end user.
Ø Software requires universal, secure access to integrated network infrastructure services necessary for communication, collaboration, and delivery of agency services. Target Network and Security Architecture define industry-wide, open-standards-based, scalable, flexible, and adaptive secure networks to facilitate the delivery of software.
Ø Networks enable access to a wide spectrum of information and resources, regardless of the method of delivery or the location of the citizen or end user.
Best Practices are approaches that have consistently been demonstrated by diverse organizations to achieve a similar high-level result, which, in the case of architecture, means demonstrating the principles. Recommended Best Practices assist agency staff in the planning, design, implementation and expansion, administration, maintenance, and support of Data/Information Architecture.
Recommended Best Practice 1
Establish
the Technology Government Working Group (TGOV) comprised of agency technology
experts to recommend technologies, process improvements, and the adoption of
recommended standards and best practices.
Rationale:
Ø There is a definite need and business case
for the standardization of technologies, requirements, and methodologies used
to design, build, and implement solutions to accomplish the Governor’s
e-government initiatives and programs.
Ø Information Technology Authorization
Committee (ITAC) and Arizona’s CIO Council have reviewed and approved a
technical Enterprise Architecture (EA) that defines a set of standards and best
practices to utilize to achieve the Governor’s strategic plans for e-government
initiates and subsequent business solutions.
Ø To assist with the coordination and adoption
of EA, a multi-disciplinary technical working group is necessary and
beneficial.
Ø TGOV is designed to:
o
Provide
technology and process expertise to assist in defining e-government blueprints
aligned with EA domains (Network, Security, Platform, Software, and
Data/Information) to support e-government implementations.
o
Utilize
relationships and lines of communication between relevant statewide entities
(i.e., ITAC, CIO Council, GITA, ADOA/ISD/ITSD, ADOA/SPO, and affected agencies)
to ensure that standards, best practices and lessons learned in the
implementation of the e-government solutions are leveraged Statewide.
o
Recommend
the deployment of e-government technologies, aligned with EA, that are proven,
stable, interoperable, portable, secure, and scalable.
o
Recommend
strategies for transition from legacy and “agency-driven” solutions to
e-government technologies.
o
Identify
and make recommendations to quickly capitalize on opportunities to leverage,
share, and reuse technologies to support common business requirements,
activities, and operations across State government.
Ø
Further information
is provided in Appendix A, Technology Government Working Group (TGOV).
Recommended Best Practice 2
Utilize
Communities of Interest to implement
e-government solutions and strategic business initiatives that cross over
traditional agency boundaries.
Rationale:
Ø
Data/Information Architecture proposes a desired
outcome within which communities of interest prudently transcend individual
agency operations to mutually address new and changing business opportunities
or legislation to more cost-effectively and efficiently deliver services, and
interact with other governmental entities as well as the private business
sector.
Ø
Communities
of Interest initiatives cross traditional organizational boundaries and require
the balancing of individual needs, priorities, and policies against the
collective vision and goals of the project.
Ø
Communities
of Interest initiatives require a certain level of consensus management.
Communities of Interest initiatives are based on cooperation, collaboration,
and mutual agreement of roles and responsibilities. A formal mechanism for
developing a shared vision, defining roles, responsibilities, common
objectives, and deliverables is required and must be arrived at through
consensus.
o
Formulation
of an agreed upon problem statement and a process improvement model approach
focuses the energies of community members on solutions to the problem. Process
improvement models may be “bottom up” and informal, “top down” and
prescriptive, or a blended combination depending on the project.
o
Facilitation
may be required to establish ground rules for operating as a community. When
the nature of a project is particularly sensitive to the parties involved,
active facilitation is an effective method to develop consensus and mutual
agreement.
Ø
The collaboration
process is the governance model for Communities of Interest. Critical mass
among the stakeholders must be achieved to initially proceed and maintained to
ensure collective representation and participation. Collaboration must be a
continuous process throughout the lifecycle of the project. All affected
stakeholders must be informed during collaboration.
Ø
Collaboration
is generally based on five major principles that provide a foundation for
effective collaboration among participating organizations.
o
Collaboration
must be organized and efficient for participants to work across jurisdictions
and accept tasks that may not have immediate relevancy for their organization.
o
Varying
levels of participation should be allowed to maximize project exposure to all
relevant parties. Participants must be free to chose and support initiatives.
o
Equal
consideration and participation, regardless of organizational affiliation, must
be afforded to all participants.
o
Varying
levels of technical maturity and understanding among the participants is to be
expected.
o
Organizational
independence and identity must be respected and maintained.
Ø
Participating
parties should be represented by their business or functional staff to provide
the business case, drive the focus and priority of solutions, and market the
project; by their technical staff to create deliverables and align the
technical solutions with EA; and by their management to provide leadership,
coordination and measurement metrics.
Ø
Communities
of Interest initiatives require an appreciation of the needs and requirements
of all participating organizations. Understanding the
priorities and challenges of the participating organizations will increase
trust and clarify misconceptions.
Recommended Best Practice 3
Implement
data and business modeling methodologies and tools that are Unified Modeling
Language (UML™) compliant.
Rationale:
Ø
Data and
business modeling can ensure that business functionality is complete and
correct, end-user needs are met, and program design supports requirements for
scalability, robustness, security, extensibility, and other characteristics, before implementation in programming
code renders changes difficult and expensive to make.
Ø
UML™ is the
industry-standard language for specifying, visualizing, constructing, and
documenting the artifacts of software systems. It simplifies the complex
process of software design, making a "blueprint" for construction. UML™ standardizes the description
of software designs, particularly object-oriented designs.
Ø
UML™
is supported by a broad base of industry-leading companies. UML™
merges the notations used by the three most popular analysis and design
methodologies, Booch, OOSE (use-cases), and OMT, to produce a single, universal
modeling language that can be used with any method.
Ø
UML™
is a rigorous modeling language that standardizes the description of software
designs, particularly object-oriented designs. It provides nine different
diagram types with which to model systems, specifically:
o
Use Case
diagrams for modeling business processes.
o
Sequence
diagrams for modeling time dependencies and events.
o
Collaboration
diagrams for modeling interactions within a system.
o
State
diagrams for modeling the behavior of system objects.
o
Activity
diagrams for modeling the behavior of Use Case, objects, and operations.
o
Class
diagrams for modeling the static structure of classes.
o
Object
diagrams for modeling the static structure of objects.
o
Component
diagrams for modeling components.
o
Deployment
diagrams for modeling productive deployment of a system.
Ø
UML™
is methodology-independent.
Regardless of the modeling methodology used to perform analysis and design, UML™
can be used to express the results. XML Metadata Interchange (XMI) allows
translation of a UML™ model from one tool into a repository, or into
another tool for refinement or the next step in the development process.
Ø
Agencies
should also consider using methodologies and tools that are IDEF0 IEEE 1320.1
(functional modeling) and if relational database technology is utilized, IDEF1X
IEEE 1320.2 (conceptual modeling) compliant.
Recommended
Best Practice 4
Establish consistent data
classifications within an agency and associated communities of interest.
Rationale:
Ø
Standards
provide methods of uniformly supporting multiple security levels for the
classification of data. Lack of standards prevents data from being classified
according to its degree of sensitivity in a universally understandable way.
This may cause data to lose its security classification as soon as it traverses
any physical or logical boundary such as an organization, computer,
application, or network. The receiving entity then lacks the knowledge and
ability to enforce restrictions on the proliferation of data, opening a threat
to organizational security and personal privacy.
Ø
Proposed, but not developed, Statewide Standard P800-S840, Data Classification, should identify
consistent methods of supporting
multiple security levels for the classification of data.
Ø
Data contained in e-government solutions must be controlled relative to all applicable
security, confidentiality, and privacy policies, as well as applicable
statutes, to enhance public trust, exert the proper
stewardship over public information, and help ensure the integrity of the
information.
Ø
e-Government solutions
must be implemented with adherence to applicable Statewide Security
Standards and Target Security Architecture.
Ø e-Government solutions need to identify
privacy-sensitive data elements prior to development and deployment to prevent
the misuse of data, ensure confidentiality, and preserve its integrity
according to all applicable statutes, mandates, and regulations.
Ø The purpose of a data
classification methodology is to selectively protect data and information
placed in an agency's custody.
Ø At a minimum, establish baseline statewide
standard definitions for data classification types in accordance with confidentiality,
privacy policies, and applicable statutes, as well as federal mandates and
regulations.
Recommended
Best Practice 5
Encourage e-government solutions to classify data elements into
metadata registries according to the ISO/IEC 11179 standard to facilitate
interoperability and the sharing of information.
Rationale:
Ø
e-Government
solutions usually involve the automation of certain government forms. Target
Software Architecture addresses the structure of software applications that
include web-enabled forms and documents. The content (semantics) of a form or
document include the type of information, the meaning of terms and phrases,
information needed to perform lookup and validation of users responses, and the
meaning of data provided by respondents.
Ø
Standardized
classification of the content to
describe data facilitates ease in understanding, sharing, transferring,
designing, processing, analyzing, disseminating, and archiving that data.
Ø
Metadata
is loosely defined as data about data. ISO/IEC 11179 was designed to guide the
process of recording metadata.
The L8 – Metadata Committee of
the Committee for Information Technology Standards (NCITS), developed a
framework for describing data elements, called "Specification and
standardization of data elements" - ISO/IEC 11179. ISO/IEC 11179 was
developed in six parts that describe various aspects of providing metadata for
data elements.
Ø
ISO/IEC PDTR 20943 - Procedures for Achieving
Metadata Registry Content Consistency: Data Elements - This draft report will provide procedures for
ensuring that people using a metadata registry as specified in ISO/IEC 11179
will register data element metadata in the same way.
Ø
ISO/IEC WD 18022 - IT-Enablement of Data
Domains - This draft
standard will provide procedures for the developers of international standards
specifying code sets to ensure that the codes sets can be described in ISO/IEC
11179 metadata registries.
Recommended Best Practice 6
Leverage
data warehouse technology to facilitate and accelerate the sharing of existing data
and information.
Rationale:
Ø Data warehouses provide an approach for
transforming data into useful and reliable information to support the business
decision-making process and to achieve greater business intelligence.
Ø
Data
warehouses allow data to be replicated and combined from existing databases
without changing the originating software application or developing new
software applications.
Ø
Data
warehouses and their associated end-user query and reporting tools can reduce
the burden on IT staff to generate reports and data queries.
Ø
Decision-making
is accelerated and improved with secure access to timely, easily accessible,
accurate, and reliable information.
Ø
Data
warehouse solutions should be compliant with open metadata interchange
specifications such as the Object Management Group’s OMG Common Warehouse
Metamodel (CWM™), Meta-Object Facility (MOF™), XML Metadata
Interchange Format (XMI), the Meta Data Coalition Metadata Interchange
Specification (MDIS), etc. Metadata is used for building, managing, and using a
data warehouse.
Ø
Data
warehouses must be implemented in adherence with all applicable statewide
security standards, confidentiality, privacy policies, and applicable statutes
to ensure data integrity, public trust, and proper stewardship over public
information.
Ø
Utilizing
data warehouses with secure access simplifies security requirements by
consolidating and reducing the number of individual software applications
requiring security access.
Ø
Users
are able to access data and information without having to know where it resides
or how it is stored.
Ø
Repositories
and information models can be incrementally used to build future
enterprise-wide federated metadata.
Recommended
Best Practice 7
Establish a federated metadata
repository across communities of interest, and ideally, the State.
Rationale:
Ø
Data and
information used by a community of interest must be commonly understood and
consistently defined and referenced by all stakeholders.
Ø
A
federated metadata repository provides a centralized location where agencies
can store and maintain metadata. The repository also serves as an
administration tool and helps promote data reusability, reliability, and
sharing.
Ø
Federated
metadata facilitates the sharing and exchange of data and information through
the development and use of consistent data definitions.
Ø
Federated
metadata can be implemented even if data is physically located in disparate
databases. Logically, if the data is modeled the same in each physical
location, the integration of software applications is simplified.
Ø
The
agreement and adoption of exchange standards for federated metadata simplifies
software application integration and interoperability. The federated metadata
repository should be compliant with open metadata interchange specifications
such as the Object Management Group’s (OMG) Common Warehouse Metamodel (CWM™), Meta-Object
Facility (MOF™), XML Metadata Interchange Format (XMI), the Meta
Data Coalition Metadata Interchange Specification (MDIS), etc.
Ø
Federated
metadata should be defined collaboratively by all stakeholder business users
throughout a community of interest. Authoritative business sources, responsible
for the accuracy of the stored data, should be identified, documented, and
maintained in the repository.
Ø
Quality
control techniques should be applied to the contents of the repository to
ensure the quality of the data.
Recommended Best Practice 8
Access to
State and agency information databases must be secure and accomplished through
business rules embedded in software application systems.
Rationale:
Ø
Proposed, but not developed, Statewide Standard P800-S835, Database, should identify security
methods for database access supporting agency applications.
Ø
Relational, object-relational, and
object-oriented database technology is adaptive, providing for efficiency of
design and use, flexibility, interoperability, and compatibility.
Ø
Data should be input and accessed through
software applications and business rules that own the data, to protect data
from unauthorized or accidental access and to ensure security, data integrity,
and accurate interpretation of the data. Free-form data entry and direct
database access should be restricted.
Ø
Data access routines should be written utilizing
database software or database middleware as independent of the platform and
underlying data structure as practically possible.
Ø Utilizing ANSI-standard SQL for relational database software access allows choice in database software and accessibility. Proprietary, vendor-specific extensions, while possibly providing some ease of use or performance benefits, may limit flexibility and adaptability.
Ø Database access logic should be separated from the application logic of a software application. This type of design makes databases easy to relocate, restructure, or to re-platform the back end services with minimal disruption to the software applications that use the databases.
Ø Depending upon any given software application, data may be stored and accessed in numerous databases in multiple locations. Data access should be implemented with usability, accessibility, cost, performance, adaptability, and security in mind. Security should be implemented in adherence with AZ Target Security Architecture.
Ø Data should be validated at every practical level to ensure that only valid data is processed and transported across the network.
Ø e-Government transactions require end-to-end integration with suppliers and partners, which necessitates that participants have to expose some of the data in their ERP systems. This presents a major challenge, since data can be defined and processed in very different ways. Middleware, which combines brokering, transaction process management, messaging, adapters, and some development tools, is key to this objective.
Ø
Middleware solutions should be consistent with
baseline Target Security Architecture. Agencies that require higher levels of
security based on mandates that are more stringent should select middleware
solutions that adhere to documented, agreed upon extensions of the baseline
Target Security Architecture rather than relying upon the security functions
defined by any individual middleware product.
Ø
Middleware products should utilize
identification, authorization, and access controls already provided by Network,
Security, and Platform Architectures. Reusing common security and access
control mechanisms avoids potential inconsistencies and redundancies and
ensures interoperability and compatibility with Network and Platform operating
systems.
Ø
Compatible middleware ensures interoperability
in heterogeneous, distributed software applications. Organizing software
applications around compatible middleware that can be integrated and shared
simplifies application management and reduces the cost and complexity of
implementing changes in infrastructure services.
Ø Middleware components and objects should use a consistent, agreed-upon naming convention and schema to facilitate use, increase productivity, and interoperability.
Recommended Best Practice 9
Adopt the Government
Information Locator Service (GILS) standards for describing and indexing the
State’s information resources.
Rationale:
Ø
The
Ø
Content
standards and search and retrieval protocols for US GILS are governed by the Application Profile for GILS, version 2.
The GILS profile establishes a set of attributes for describing and indexing
information in a standard way.
Ø
The
GILS profile incorporates portions of the ANSI/NISO Z39.50 Search and Retrieval
Protocol (also called ISO 23950). Z39.50 is an open communications protocol for
searching and retrieving electronic information over a network. Its use enables
uniform access to a large number of diverse information sources over the
Internet.
Ø
Several
states and foreign countries have adopted the GILS standard, making it the
foundation of a Global Information Locator Service.
Recommended Best Practice 10
Implement
applicable records management regulations, policies, procedures, and standards
for both electronic and manual records management systems.
Rationale:
Ø
Recordkeeping
is a basic function of government. Records are comprised of data and
information. Government must maintain, protect, and preserve the data and
information entrusted to it, including providing access to the data and information
while ensuring confidentiality where required.
Ø
A.R.S. § 41-1350.D … records"
means all books, papers, maps, photographs or other documentary materials,
regardless of physical form, or characteristics, including prints or copies of
such items produced or reproduced on film or electronic media pursuant to §
41-1348, made or received by any governmental agency in pursuance of law or in
connection with the transaction of public business and preserved or appropriate
for preservation by the agency or its legitimate successor as evidence of the
organization, functions, policies, decisions, procedures, operations or other
activities of the government, or because of the informational and historical
value of the data contained therein.
Ø
A.R.S. § 41-1346.D ..."records
management" means the creation and implementation of systematic controls
for records and information activities from the point where they are created or
received through final disposition or archival retention, including distribution,
use, storage, retrieval, protection and preservation.
Ø
A.R.S. §
41-1346 requires all agencies to “Make and maintain records containing adequate
and proper documentation of the organization of the organization, functions,
policies, decisions, procedures, and essential transactions of the agency to
furnish information to protect the rights of the state and of persons directly
affected by the agency’s activities.”
Ø
Established
by statute, A.R.S. § 41-1345, The Records Management Division (RMD) of the Arizona State Library, Archives and Public
Records (SLAPR) administers the management of public records throughout
state and local government in Arizona.
Ø
SLAPR
has established the
Ø
Agency electronic and manual records management
systems should conform with, and adhere to:
o
Regulations,
policies, procedures, guidelines, and standards published by SLAPR that establish
acceptable practice for the management of public records for government
agencies.
o
Arizona Electronic Recordkeeping Systems
(ERS) Guidelines, based on
the National Electronic Commerce Coordinating Committee’s (NECCC) Electronic Records Management Guidelines for
State Governments, describes specifications for recordkeeping functionality
that should be incorporated into any electronic recordkeeping system to ensure
the records are accepted as evidence, well managed, and preserved, and that
benefits are appropriate to the costs.
o
Applicable
AZ Security Architecture Statewide Standards, as required.
Trends, economic, governmental, and technical, that impact and influence EA are available at http://azgita.gov/enterprise_architecture/.
BACKGROUND
There is a definite need and business case for the standardization of
technologies, requirements, and methodologies used to design, build, and
implement solutions to accomplish the Governor’s e-government initiatives and
programs. Without standardization and the recommendation of consistent
standards-driven technologies, agencies risk deploying solutions that:
Ø
utilize
proprietary technologies,
Ø
are not
aligned with Enterprise Architecture (EA) strategies, and
Ø
are
isolated from other initiatives and cross-agency business functions.
To mitigate these risks, the Information Technology Authorization Committee
(ITAC) and
To assist with the coordination and adoption of EA, a
multi-disciplinary technical working group is necessary and beneficial.
INTRODUCTION
Under the direction of the Government Information Technology Agency
(GITA) and the CIO Council, TGOV has been established to support the Governor’s
strategic plan for e-government and to assist agencies to achieve success in
areas of Enterprise Architecture implementation, technology selection, and the
adoption of recommended standards and best practices that can be leveraged on a
statewide scale. TGOV is supported by the State CIO, agency CIO’s and IT
architecture personnel statewide.
TGOV leverages the knowledge and expertise of existing agency IT
personnel to provide agencies with architectural guidance, technology
recommendations and approaches that support the adoption and implementation of
Arizona’s EA. Agencies, with representation on the CIO Council, are encouraged
to participate and provide applicable technical staff representation.
Specifically, the TGOV:
Ø
Provides
technology and process expertise to assist in defining e-government blueprints
aligned with EA domains (Network, Security, Platform, Software, and
Data/Information) to support the e-government implementations.
Ø
Utilizes
relationships and lines of communication between relevant statewide entities
(i.e., ITAC, CIO Council, GITA, ADOA/ISD/ITSD, ADOA/SPO, and affected agencies)
to ensure that standards, best practices and lessons learned in the
implementation of e-government solutions are leveraged Statewide.
Ø
Recommends
and assists with the deployment of e-government technologies, aligned with EA,
that are proven, stable, interoperable, portable, secure, and scalable.
Ø
Recommends
strategies for transition from legacy and “agency-driven” solutions to
e-government technologies.
Ø
Identifies
and makes recommendations to capitalize quickly on opportunities to leverage,
share, and reuse technologies to support common business requirements,
activities, and operations across State government.
KEY OBJECTIVES
The TGOV has defined several key objectives to assist state agencies in
leveraging the skills and capabilities of the working group. They are:
1.
Governor’s
e-government Initiatives. Analyze
and review the Governor’s e-government initiatives to develop implementation
strategies and goals for direction, expectations, and impact on
2.
Architecture
Assessments. Provide
recommendations on existing agency architecture and technology plans and implementations
to plan for target EA solutions and strategies focused on interoperability,
extensibility, and security.
3.
Communication
and Outreach: Prepare
reports, review findings, technical direction, and proposed recommendations
with ITAC, GITA, CIO Council, and other statewide entities as necessary.
Appendix B. Statewide Context Diagram

appendix c. statewide conceptual model



glossary of terms
Terminology used
throughout this document is defined in the GITA
Policies, Standards, and Procedures (PSP) and