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A Service Oriented Approach to e-Government Architecture

Abstract

This paper deals with the approach taken to using Service Oriented Architectures (SOA) and XML representations of data as the basis for service delivery and modernization of e-government in Ireland

Keywords


Table of Contents

1. Introduction
2. Only the Data Endures
3. Minimize Technology Lock-in
3.1. Separate Public and Private Concerns
3.2. Equality of Access
3.3. Privacy and Data Protection
3.4. Incremental Automation
3.5. Recognizing Departmental Boundaries
3.6. Policy Creation and Delivery Monitoring
3.7. Flexible Reusable Services
4. Where is it happening and how does it work?
Bibliography
Biography

1. Introduction

Expectations of public institutions are rising. The arrival of the internet has led citizens to expect faster, better and more responsive access to government services. Simultaneously there is increasing pressure to provide more open and transparent policy implementation, including detailed performance monitoring and benchmarking. Finally, as the world gets more complex and unpredictable, public institutions need to respond quickly and flexibly to unforeseeable events. All these demands come at a time when public expenditure is more scrutinized than ever before.

These pressures have driven public institutions to seek technology solutions to many of these problems, and the move towards e-government is well underway. With the enthusiastic participation of IT vendors and systems integrators many individual e-government initiatives have been spectacularly successful. But there have been many failures even more spectacular.

It has been argued that one of the causes of failure in e-government initiatives is a result of the conflict between purchasers and private sector vendors and service providers. While a public institution shares many concerns with a private sector buyer they have other completely different priorities, needs and duties including;

  • Longer time horizons - planning in decades rather than quarters.

  • Equality of access - the need to reach all citizens.

  • Respecting boundaries- between departments and public and private sectors.

  • Serving the public interest - including data protection and privacy issues.

E-government can deliver massive benefits. Implemented correctly it can enable cooperation between independent agencies and transform the way that citizens access and interact with government. In some cases it has the potential to redefine the social contract between citizens and state. Poorly implemented, the best result that one can hope for is a waste of public resources -- with a considerable risk of irrevocable harm to citizens and state though loss of privacy, transparency, access, flexibility and national competitiveness.

E-government projects have many stakeholders, and may involve multiple independent agencies with different systems, skills and requirements. While these projects can present major social, political and technical challenges, it is the communication between agencies and systems that delivers the true benefits of e-government. It is therefore imperative that public institutions take the widest possible view of the many ways e-government can and should be implemented before committing to specific architectures, technologies or vendors.

This paper discusses some of the principles that were considered in the development of Irelands e-government architecture, identifies specific causes of failure which should be avoided and proposes that a Service Oriented Architecture provides an optimum approach to the delivery of government services.

2. Only the Data Endures

E-government initiatives typically span multiple agencies, and at minimum are likely to involve several systems. No large distributed organisation can "join up" its IT without an integration strategy and an integration infrastructure. This infrastructure needs to be planned as carefully as any other infrastructural investment -- think of roads and public utilities. It should be clearly thought out and should have a projected lifespan at least several decades long.

This represents a problem with IT where the life cycles of specific technologies are measured in years, not decades. Individual computers are obsolete in about 3 years. Back-end applications like databases have a lifespan of about 2-5 years before needing costly complex upgrades. Programming languages and system architectures (dumb terminal, client/server, web browser) last about 10 years. Irrespective of lifespan, there is certain to be a broad variety of systems, languages and applications across agencies at any given point in time.

This makes it impossible for any long-term integration infrastructure to be based on a specific application, language or system architecture.

The only way to build an integration infrastructure to last is to base it on the one thing least likely to change - the data structures. No matter what happens to technology, people will be born. They will get birth certificates and passports and drivers licenses. They will work and pay taxes and receive healthcare. They may get married and have children. They will build houses and companies. They will, eventually, die. E-government is about making it easier to create, update and secure that information so that public institutions can more effectively deliver the services that the citizens need throughout their lives.

The implication is clear. E-government Infrastructure should be based on the data that it needs to store and process. Applications and specific technology implementations should be considered expendable, and should in no way determine the integration infrastructure. The goal must be to ensure that when they are inevitably replaced with something faster, simpler or more powerful, the replacement causes minimal disruption to the network of systems that comprise e-government.

Once rarely has choice in the way data is stored within individual applications but it is relatively immaterial to the overall e-government framework. The key is to ensure that the data can flow between systems and agencies in a format that can be easily understood by all.

Luckily there is widespread global consensus on the best way to exchange information XML - XML is the clear winner because unlike other formats, humans can read it, all computer systems can be modified to understand it and it can contain not only raw data, but information about what the data means through embedded data-description tags.

The challenge with XML is that different computer systems can use different tags to describe the same data. While there are many separate efforts at industry, national and international levels, it is apparent that consensus will not happen in the near future. However it is certain that translating the tags as a message passes from one system to another is a trivial task compared to translating the internal data formats used by different systems.

Using XML representations of the data as the basis for e-government communications is therefore becoming a standard approach. We would go further and suggest that XML representations of processes, services and documents become the cornerstone of e-government integration strategy because it is

  • Open: it is not owned by any organization

  • Transparent: it can be read by any computer or person

  • Responsive: new tags can be added as necessary to describe new types of data

XML is therefore the ideal way to model not only the data, but also the communication between the multitude of systems and agencies that participate in e-government.

3. Minimize Technology Lock-in

The recommendation to use XML comes with a large caveat one needs to make sure that XML is being used in an open manner. There are a range of powerful technology interests that use XML and other standards but do so in a way that perpetuates lock-in.

We also need to recognize that it is impossible for purchasers to eliminate lock-in. Elimination Strategies gaining momentum include using open source, specifying industry standards compliance as a requirement, but as we all know standards compliance can be as efficient method of generating lock in as any other. Note how many technology vendors advocating XML and web services as a panacea for systems integration problems are simply placing their existing proprietary API functions in a new and glossy XML format. This does nothing to reduce vendor lock-in because external processes are still closely tied to the internal application logic through a slightly different channel. Even if Open Source software is used, integration costs remain high because of API-driven complexity.

The most effective way to minimize this form of lock-in is to keep different systems loosely coupled. Instead of using many low-level types of interaction with each system (i.e. the vendor's APIs) one should develop a limited number of more powerful high-level ways that systems can interact with each other and with an e-government backbone.

The strategy is to carefully define high-level interactions as XML representations of real documents through the systems and agencies. Modeling the integration strategy on real data and processes is orders of magnitude easier that modeling it on specific APIs, and breaks the direct dependence on fragile volatile technology.

This creates a clear level of abstraction between e-government a permanently open, transparent and responsive set of processes - and the often closed and proprietary technologies that necessarily support it.

By making XML representations of the e-government business processes the core of the integration infrastructure, public sector buyers achieve a powerful new tool when procuring new systems - they can mandate compliance with existing processes as part of the functional specification.

3.1. Separate Public and Private Concerns

One key difference between e-government initiatives and private sector projects is the separation of concerns on the project.

A private-sector project is intended to create a competitive advantage for its owner by offering a unique and compelling value to the user of the system. This often leads to architectures that are tightly coupled and require centralized control of the entire system from the user experience to the back-end technology. In the commercial world, this is perfectly acceptable because there will usually be multiple competing providers and the market is free to decide which of the offerings provides the best value.

With e-government projects, the key concern is to deliver universal access to government processes and services to the widest range of potential end users. In the medium term it can be difficult to predict how, when and where those services will be used.

The most sensible approach therefore is not to seek end-to-end control of the entire system, but to separate the front-end from the back-end. Public agencies can develop back-end services and a core of necessary front-end interfaces, while allowing others to develop novel and value added services for citizens or indeed government itself.

A good example is US personal income tax returns, which can be difficult for even highly numerate people to calculate. Rather than attempting to create a standard spreadsheet or even an application to assist the preparation of filing, the IRS simply published the acceptable data format for tax returns. This spurred the creation of an entire market which now supports many providers of software packages and online services at a variety of prices from free to several hundred dollars.

No matter how much time and effort the IRS put into software development, it could not have matched the variety of novel filing modes offered, at no public cost, by the market.

3.2. Equality of Access

In the private sector, much lip service is paid to the need to support multiple languages and interfaces accessible to people with disabilities, but commercial pressures limit the extent to which this actually happens. Public institutions quite rightly take their responsibilities in these areas much more seriously.

The fact of the matter is that no single front-end is capable of simultaneously serving both top-of-the-line graphical user interfaces and all the various disabilities that users may have. Therefore a clean separation of front-ends from back-ends is required to allow multiple specialized front-ends to all feed through to a single e-government process.

3.3.  Privacy and Data Protection

Public institutions have a paramount responsibility to protect the confidentiality of the personal information entrusted to it by citizens. Citizens are rightly concerned that increasingly automated flows of information across government agencies and to the private sector creates the potential for misuse and harm. It is vital to establish and publish the principles and rules that will govern the use of private data across e-government, and Europe leads the world in data protection legislation.

Ensuring compliance with data protection laws and principles represents an extremely tough technical challenge. Intervening in XML dataflows is easily done and can remove explicitly private information as it flows beyond the boundaries of its home agency can remove many systematic breaches of privacy and data protection statute, but the propriety of many data exchanges will depend on whether the subject of the data has consented to that specific exchange.

There is no simple and obvious balance between valid privacy concerns and the astronomical complexity of creating a technology-based enforcement of all relevant Data Protection legislation and principles.

One route is to ensure that all agencies and third parties contractually agree, under threat of appropriately severe penalty to use information only in a manner consistent with current data protection laws and principles.

Fortunately e-government initiatives based on message-based XML workflows can readily log the Who What and When of workflow events across multiple agencies to provide a permanent audit trail, and the flow of information between agencies can be spot-checked for compliance. Suspected breaches of data protection can therefore be identified and investigated and appropriate action taken.

3.4.  Incremental Automation

Public institutions have lifespans much longer than commercial enterprises, and their existing processes and procedures have evolved over much longer periods. Processes are likely to be more complex and are certain to be subject to more constraints than those in commercial enterprises.

When commercial enterprises engage in large technology infrastructure projects they often spend considerably more time and money than originally planned. It can be difficult to cancel out-of-control projects because none of the benefits are realized until every link in the chain is automated.

When public institutions attempt the same all-or-nothing approach to automating complex processes, the results can be truly catastrophic - billions of euros spent on projects that are ultimately cancelled with no productive results.

For a public institution, it makes sense to consider an incremental approach to e-government which phases automation over a period of time. One can identify the processes with the highest ROI or public utility and automate them first.

For example, in Ireland birth records are created by the Government Records Office, but are used by many different agencies including health, taxation and education. Implementing an XML based publish and subscribe service enabled automatic notification of births to all interested government agencies and delivered an immediate and significant public saving by eliminating manual processing and human error. The exchange of other life-event notifications (for example deaths and marriages) can happen later as required, using much of the same design pattern. For many public sector business processes partial and incremental automation is the most appropriate route.

Unfortunately partial automation cannot be considered if the framework for integration is all-or-nothing real-time communication between a chain of tightly-coupled systems.

Messaging is the he only approach to partial automation of processes and services. When System A wants to communicate with System B it sends a message over a reliable messaging network and forgets about the request until it receives a reply. System B receives the message, services the request, and replies when it has the time to do so.

The beauty of this approach is that no system expects a reply within milliseconds (which can never be guaranteed over a large distributed networks anyway). It therefore does not know or care whether the request is being processed by another computer or a human being. One element of the process could easily be a public servant using a cheap and ultimately disposable browser interface to respond to the requests that then re-enter automated workflow.

Considering e-government services as long-lived message-based conversations works because it is closely aligned to the way people and processes work in the real world. It allows quick automation when possible and useful, while leaving other manual processes intact until there is a case to automate them.

In cases workflows where all processes are automated, the overall system has the appearance to a user of being completely real-time. It may be a few milliseconds slower than a tightly coupled API-based integration but for almost e-government applications it is simpler, cheaper, more flexible and fast enough.

3.5.  Recognizing Departmental Boundaries

There are many possible services in the public sector that are not possible today because of inter-organizational boundaries. For example a work permit application typically requires processes in foreign affairs, law enforcement, taxation and employment. A key benefit of e-government is the presentation of complex inter-agency processes to user as a single integrated service.

The primary barriers to enabling cross-agency processes and services are not technical - they are legal, political and procedural. Government agencies each have unique, long-standing and cherished heritages with clearly defined physical, organizational and cultural boundaries.

Attempts to mandate a uniform technology strategy or instantaneous implementation from above will swiftly encounter resistance at departmental, regional and local levels. The notion of a single centralized e-government hub with everyone using identical XML data formats is extraordinarily difficult to achieve in reality.

Thankfully one does need to break down these long-established organisational structures in order to deliver e-government initiatives. The most effective approach is the one used for centuries by autonomous groups who have needed to work together for a common purpose -- a federated structure. It is perfectly reasonable for different departments or regions to control their own technology environments and data structures while supporting shared processes and services across a wider government network.

This can be accomplished by having multiple rings of data and process flow, linked by bridges that automatically convert XML data into the expected format as the messages flow between networks.

This approach enables the rapid creation of government-wide processes and services without the need for every affected agency to rip and replace perfectly good systems. It also reduces the requirement for every single person in every agency to understand the bigger picture in order to deliver new services. As requirements for processes and services at a supra-national level emerge, it is clear that only a federated information infrastructure can deliver.

3.6. Policy Creation and Delivery Monitoring

A critical function of e-government is the support it can offer to policy creation and delivery monitoring and improvement. Basing the architecture on the flow of service requests between agencies makes it possible to create holistic views of how collections of services, agencies and functions are working together.

Because these documents represent time-stamped checkpoints on real tax returns, passport applications and medical procedures, they contain invaluable information on service delivery. The way the documents pass through (or wait for) specific services and processes can provide an immediate and highly visual tool to identify service delivery bottlenecks, which can never be predicted in advance.

The dataflows themselves should become the most effective real-time diagnostic tools to incrementally improve overall delivery at all levels of government. At the most senior policy levels, they can provide timely and relevant information for policymakers seeking ways to improve services and cut costs, and provide the best way for states to benchmark performance and delivery against each other.

3.7. Flexible Reusable Services

Within privacy and data protection constraints e-government services should be offered widely and in a manner that makes them reusable by other agencies and third parties. Natural disasters, diseases like Foot and Mouth and major one-off events all require the rapid creation and mobilization of cross-functional teams that may exist for short periods of time. A federated approach drawing on multiple reusable processes and services offers an invaluable mechanism for creating temporary agencies.

The architecture should also allow the sharing of common services like identity management without having to centralize entire departmental systems -- leaving ownership of the process or service where it belongs but removing duplication of effort across all agencies.

A wider point is that nobody knows what novel and useful services could in principle be developed under the umbrella of e-government -- indeed it would be foolish to attempt to design a structure that placed limits on what could be possible. The creators of the internet understood this intuitively, and called it the end-to-end principle of network design. They rejected building sophisticated rules into the network and instead focused on getting any packet of data from one node to another in a reasonably efficient manner.

The success of the internet is due in large part to an architecture that allows the development and offering of new services without the need to seek permission from a central authority. The network itself should be relatively simple, and existing services on the network should have the potential to be combined in many ways to deliver new and useful services. Those who wish to see e-government fulfill its fullest transformational and integrative potential can draw much from the history and development of the internet.

4. Where is it happening and how does it work?

So far we have identified the drivers of e-government initiatives and examined some of the technical, institutional and social barriers to successful implementation. Flexible and reusable e-government services based on an open data standards and non-proprietary technologies are emerging. In Ireland we are currently in the implementation phase of the Public Services Broker (PSB).

The PSB is an SOA. It will provide a common access point for e-Government services, common interface standards, procedures and supporting services, together with the necessary infrastructure to make access to e-Government services as straightforward and secure as possible. In addition to supporting customer interaction, the PSB will also provide the standard mechanism for supporting government inter-agency collaboration.

The PSB will allow individual users to submit service requests on their own behalf, and provide mechanisms and procedures to allow businesses or individual customers to authorise agents and intermediaries to submit service requests on their behalf. This will enable the PSB to provide support for call centre and walk-in centre access channels, and allow business related transactions to be conducted by authorised persons.

  • A human facing piece which, technically speaking is a portal made up of web based information (HTML, PDF etc.) and interactive forms.

  • An integration piece that, technically speaking is an EAI integration framework based around XML, messaging and web services.

  • A service fulfilment piece, where PSB Enabled Web Services will receive and acknowledge the receipt of PSB Service Request Messages and subsequently process them in the agency systems

The role of the PSB in customer interactions is to provide the customer-facing component of electronic services and to ensure that agencies receive service request messages reliably and securely in an electronically processible form i.e. (XML). Thus, the PSB provides two out of the three pieces of a PSB Online Service:

The human facing piece is delivered through the corresponding PSB Common Services, and results in the building of a PSB Service Request Message(s) that is/are passed to the PSB Integration Framework

The integration piece will securely and reliably deliver the PSB Service Request Messages(s) to the PSB/Agency Boundary where agencies expose the fulfilment processing as a PSB Enabled Web Service through providing a mechanism to receipt the message and pass it (automatically or manually) to fulfilment systems

Agencies provide the service fulfilment piece for existing services.

The role of the PSB in agency-to-agency interactions is to ensure that agencies can send/receive information and information requests to each other securely and reliably in an electronically processible form i.e. XML

click image for full size view

In this model, as shown in Illustration 1, the human facing part of the PSB is essentially an agency that integrates with other agencies for the purposes of customer service delivery (in that it is a source of PSB Service Request Messages). The human facing part of the PSB is, in technology terms, the most volatile piece of the PSB. In order to future proof the PSB, any technology dependencies between the human facing component and the integration component have been minimised in the PSB conceptual architecture.

We believe this to be a unique proposition for the integration of G2G functions as well as the delivery of G2C and G2B services. Fundamentally it supports the principles of minimal technology lock in, separate public and private concerns, equality of access, incremental automation and federated ownership across agency and departmental boundaries as well as providing

Bibliography

Biography

Sean McGrath is CTO of Propylon. He is an internationally acknowledged authority on XML and related standards. He served as an invited expert to the W3C's Expert Group that defined XML in 1998. More recently he has been instrumental in advising the REACH agency acting on behalf of the Irish government define and implement its interoperability and service delivery architectures, using Service Oriented Architectures and XML.

Conor O'Reilly is Director of Integration Competence Centre at Propylon. He is an expert on XML and related standards. More recently he has been engaged by the Irish government to prove and implement define and implement its interoperability and service delivery architectures, using Service Oriented Architectures and XML.