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How the US Federal Government is Using XML

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  • 1. How the US Federal Government is Using XML: An Overview of Selected US Federal Agency Efforts XML 2003 , Philadelphia, PA December 11, 2003 Ken Sall , KSall@ SiloSmashers.com
  • 2. Agenda
    • Introduction
    • Legislative Motivators for XML
    • Federal Enterprise Architecture and OMB 300
    • Working Groups and Federal XML Guidance
    • E-Government Initiatives
    • Registry, Repositories and Web Services
    • Selected Specialized Applications
  • 3. Introduction.1
    • SGML efforts circa 1988-89 (DoD, IRS, US Patent and Trade Office)
    • General Accounting Office (GAO) reports, April and August, 2002:
      • Identify, integrate, and process information that is widely dispersed among systems and agencies
      • Conduct transactions based on exchanging and processing such information
      • Encourage agencies to indicate how XML will become part of their enterprise architecture
      • Build registries and repositories to promote interoperability
    • FEA, OMB, legislative motivators
  • 4. Introduction.2 – Sample Agencies
    • DOC (Department of Commerce)
    • DoD (Department of Defense)
    • DOI (Department of the Interior)
    • DOJ (Department of Justice)
    • DON (Department of Navy)
    • EPA (Environmental Protection Agency)
    • GSA (General Services Administration)
    • IRS (Internal Revenue Service)
    • NARA (National Archives and Records Administration)
    • NIST (National Institute of Standards and Technology)
    • SBA (Small Business Administration)
    NOTE: This list is not meant to include all US agencies with mature XML efforts. It is merely a representative subset of the author's selection.
  • 5. Legislative Motivators
    • Clinger-Cohen Act
    • Government Paperwork Elimination Act
    • Section 508 of the Rehabilitation Act
    • H.R. 2458, The E-Government Act of 2002
  • 6. Legislative Motivators.1
    • Clinger-Cohen Act (1996)
      • Streamline IT acquisitions and emphasize life cycle
      • Encourages business process reengineering and COTS
  • 7. Legislative Motivators.2
    • Government Paperwork Elimination Act (GPEA, 10/1998  10/2003)
      • Grants full validity to electronic forms
      • Encourages electronic signature alternatives, including digital signatures
      • Speed transmission of data and reduce transaction costs
  • 8. Legislative Motivators.3
    • Section 508 of the Rehabilitation Act (1998)
      • Accessibility; requires agencies to make IT accessible to people with disabilities
      • XForms, SVG, XHTML, Web Accessibility Initiative (WAI)
  • 9. Legislative Motivators.4
    • H.R. 2458, The E-Government Act of 2002
      • Established Office of Electronic Government to direct E-Gov Initiatives
      • Promotes innovative uses of IT, particularly initiatives involving multi-agency collaboration
      • Established Chief Information Officers Council (CIOC) to develop recommendations and best practices
      • Explicitly mentions “Extensible Markup Language”
  • 10. Federal Enterprise Architecture and the OMB 300
    • FEA Reference Models
    • OMB 300 as XML Schema
    • InfoPath Implementation of an OMB 300 E-Form
  • 11. Where’s the XML?.1
    • June 2000: Mark Forman
      • Became first head of federal IT, essentially the CIO for entire US Federal Government
      • Led effort to define and implement the Presidential E-Government Initiatives
      • 2002: XML enables us to collect data once and use it many times; allows us to do electronic transactions as opposed to filling out paper forms
  • 12. Where’s the XML?.2
    • October 2003: Dept. of Energy CIO Karen Evans
      • Replaced Forman as OMB's Associate Director for IT and E-Government
      • Taxonomy for government; same language to describe the same concepts
      • Develop standards for XML data definitions so information can be shared and accessed easily regardless of its origins
  • 13. Federal Enterprise Architecture Reference Models.1
    • FEA is Business-Driven
      • Encourages collaboration and resource sharing across agencies
      • Identify opportunities to leverage technology and alleviate redundancy
      • IT investments must be aligned against each Reference Model
  • 14. Federal Enterprise Architecture Reference Models.2
    • FEA Reference Models ( www.FEAPMO.gov )
      • PRM: Performance Reference Model
      • BRM: Business Reference Model
      • SRM: Service Component Reference Model
      • DRM: Data and Information Reference Model
      • TRM: Technical Reference Model
  • 15. InfoPath Implementation of OMB 300 E-Form.1
    • Office of Mgmnt and Budget Exhibit 300
      • Establishes policy for planning, budgeting, acquisition and management of Federal capital assets
      • Detailed instructions on budget justification and reporting requirements for major IT investments
      • Microsoft and other companies have been working with OMB to develop an XML Schema to be used in fiscal year 2005 budget submissions
  • 16. InfoPath Implementation of OMB 300 E-Form.2
    • InfoPath 2003
      • Hybrid tool that combines word processor editing with data-capture capabilities of forms
      • Uses a custom-defined XML Schema (OMB300v2.92.xsd, in this case) to constrain and guide editing the form
      • Consumes and produces XML Schemas and XSLT stylesheets, and is integrated with XML Web services standards such as SOAP
      • Data can be submitted in XML format via SOAP or by means of the more conventional HTTP POST method
  • 17. InfoPath: OMB 300 E-Form.3 Copyright © 2003 Microsoft Corporation
  • 18. Working Groups and Federal XML Guidance
    • XML Working Group
    • Web Services Working Group
    • E-Forms for E-Gov Pilot
    • Department of Navy XML Work Group
    • Environmental Protection Agency XML Design Rules
  • 19. Working Groups.1
    • XML Working Group (Sept. 2000)
      • XML Developer's Guide (April 2002)
      • Recommended XML Namespace for Government Organizations (Mar/Aug 2003)
      • Numerous technical presentations from
        • Software vendors
        • Hardware vendors
        • Standards groups
      • Listserv
      • Monthly meetings in Washington, DC
      • Community of Practice
    Owen Ambur and Lee Ellis, co-chairs (formerly Marion Royal)
  • 20. Working Groups.2
    • Web Services Working Group (Dec. 2002)
      • Support the Emerging Technology Subcommittee of the CIO Council's Architecture and Infrastructure Committee
      • Produce incubator pilot projects in support of E-Gov Initiatives that use XML Web Services to demonstrate increased accessibility and interoperability
      • Listserv and monthly meetings in DC
      • “ Government Semantic XML Web Services Community of Practice” (Oct. 2003)
      • Also www.ComponentTechnology.org
    Brand Niemann, Chair
  • 21. E-Forms for E-Gov Pilot.1
    • OMB Requested Cross-Agency E-Forms
      • Over 120 business cases for FY2003 called for E-Forms; 170 for FY2004
      • SBA report: 10% decrease would yield $32 billion in savings (citizens and businesses)
  • 22. E-Forms for E-Gov Pilot.2
    • E-Forms Pilot
      • Brand Neimann selected Rick Rogers, CEO of Fenestra (March to July 2003)
      • 10 subteams to explore various facets of E-Forms: Accessibility, Business Case, Client Specifications, Fixed Content and Behavior, Form Selection, Presentation, Records-Keeping, Schema, Security, and Services
      • Selected 5 prominent forms for XSD
      • Drafted security guidelines
      • Report on www.Fenestra.com/eforms
  • 23. Federal XML Guidance.1
    • Topics usually covered
      • Selecting XML Standards for Project Use
      • Importance of International Standards
      • Creating ISO 11179 Names
      • Creating XML Element Names from Business Terms
      • Case Conventions
      • Usage of Acronyms and Abbreviations
      • Adding Comments and Metadata
      • When to Use XML Schema vs. DTDs [cont…]
  • 24. Federal XML Guidance.2
    • Topics usually covered [continued]
      • Schema Development Methodology
      • When to Use Attributes vs. Elements
      • Global vs. Local Elements and Attributes
      • Enumeration of Data Values (Code Lists)
      • Constraining Data Values
      • XML Namespaces
      • Web Services Best Practices
      • XSLT Best Practices
      • Unresolved Issues
  • 25. Federal XML Guidance.3
    • Department of Navy XML Work Group
      • “Exploit XML as an enabling technology to achieve interoperability in support of maritime information superiority”
      • DON encourages adherence to international standards such as ISO 11179, UBL, and ebXML
      • DON XML Developer's Guide has very detailed DTD and XML Schema guidance
      • Schema Development Checklist
      • V1.1: May 2002 and V2.0: Dec. 2003?? [TBD]
  • 26. Federal XML Guidance.4
    • EPA XML Design Rules (Oct. 2003)
      • XML Design Rules and Conventions for the Environmental Exchange Network
      • Partially like a tutorial
      • Detailed Pros and Cons
      • Rules and Guidelines
      • Justifications
  • 27. E-Government Initiatives
    • Integrated Acquisition Environment: GSA
    • E-Travel: GSA
    • Business Gateway: SBA
    • E-Records Management: NARA
    • Recreation One-Stop: DOI
  • 28. E-Government Initiatives.1
    • Presidential Management Agenda
      • October 2001: President's Management Council approves 24 Presidential Priority E-Government initiatives
      • February 2002: President Bush outlined an E-Government strategy to make it easier for citizens and businesses to interact with the government, eliminate redundant systems, save taxpayer dollars, and streamline citizen-to-government communications
  • 29. E-Government Initiatives.2
    • Four Portfolios + One Cross-cutting
      • Government to Citizen (G2C) - on-line access to information and services
      • Government to Business (G2B) - access to information and enable digital communication using the language of e-business (XML).
      • Government to Government (G2G) - enable federal, state and local governments to more easily work together
      • Internal Efficiency and Effectiveness (IEE) - modernize internal processes to reduce costs for federal government agency administration.
      • E-Authentication - reduce number of credentials
  • 30. E-Government Initiatives.3
    • Integrated Acquisition Environment (IAE)
      • $250B on acquisition of goods and services
      • Common acquisition functions, such as maintenance of information about suppliers (e.g., capabilities, past performance histories) will be managed as a shared service
  • 31. E-Government Initiatives.4
    • Integrated Acquisition Environment (IAE)
      • Standard eTransactions vocabulary to facilitate exchange of data between and within agencies
      • Over 254,000 registered suppliers
      • 20+ Shared Systems, different Data Dictionaries, different agencies. Example systems:
          • Federal Business Opportunities (FedBizOpps)
          • Past Performance Information Retrieval System
          • Federal Procurement Data System - NG
          • Central Contractor Registration
          • Business Partners Network
  • 32. E-Government Initiatives.5
    • IAE Standard eTransactions Development
      • FEA DRM: data modeling using UML, ISO/IEC 11179 data element naming, UBL, and UN/CEFACT Core Component principals
      • XML Schema development to define the precise structure of Information Exchange payloads
      • Data normalization results in Business Information Entities (BIEs), data elements with a business context
  • 33. E-Government Initiatives.6
    • IAE Standard eTransactions Development
      • Collection of related pieces of business information are Aggregate Business Information Entity (ABIE)
      • ABIE becomes a complex type (e.g., ContactInformationDetails ) in XSD
      • Modular transactional and validation XML Schema will result from combining the ABIEs into Information Exchanges
      • Back office systems can map using XSLT stylesheets
  • 34. Registry, Repositories and Web Services
    • GSA-NIST Proof-of-Concept XML Registry/Repository
    • GSA Consolidated Component Repository
    • EPA's Environmental Data Registry
    • DoD XML Registry
    • DISA Registry Initiative
    • Web Services and Registries Pilot
  • 35. Registry, Repositories.1
    • GSA Consolidated Component Repository
      • Government-wide Registry and Repository
      • Will evolve into collaborative environment for creation and sharing of reusable FEA components
      • E-Government Initiatives, data models, XML artifacts (e.g., XML Schema and XSLT stylesheets), COTS configuration files, executables, source code, scripts, and supporting documentation
      • Awarded Oct. 2003 to SAIC, CollabNet and Sun
  • 36. Registry, Repositories.2
    • DoD XML and Metadata Registries
      • Part of Common Operating Environment
      • Run by DISA (Defense Information Systems Agency)
      • Guidance in generation and use of XML among DoD Community of Interest (COI)
      • Authoritative source for registered XML data and metadata components
      • Information Resource: XML element, attribute, simple type, complex type, DTD, XSD, XSLT stylesheet, etc.
  • 37. Registry, Repositories.3
  • 38. Registry, Repositories.4
    • DoD XML and Metadata Registries
      • Register for automatic email notification when resource is updated or removed
      • Namespace represents a collection of data constructs that share a common context within a Community of Interest (COI)
      • Registering Information Resources requires a submission package (ZIP file) containing documents, elements, schema, etc. to be registered
  • 39. Selected Specialized Applications
    • IRS Publications, Instructions, and Guidance
    • House of Representatives XML and Legislative Documents
    • Justice XML Data Dictionary and Registry
    • Generalized Instrument Design System (GIDS): Census Bureau
    • EPA Emergency Response VoiceXML Application for DHS
    • Semantic Web
  • 40. Specialized Applications.1
    • Justice XML Data Dictionary (JXDD)
      • Office of Justice Programs (OJP) and Global Justice Information Network Advisory Committee (Global)
      • Standards based (XSD, RDF, ISO 11179, UN / CEFACT ebXML Core Components Technical Spec, etc)
      • 16,000 data elements from 35 different Justice and Public Safety sources
      • By removing redundancies, the set was reduced to 2,000 unique data elements
      • 300 core data object types (reusable components) defined
  • 41. Specialized Applications.2
      • Person can be described in terms of physical characteristics, biometric data, or sociocultural descriptors.
      • When a person is considered in the context of another object, such as a vehicle, a variety of relationships can be expressed.
    • Justice XML Registry/Repository (JXRR)
      • Data Dictionary, various XML artifacts (e.g., XML Schemas, DTDs, XML Instance Documents, stylesheets), metadata, related business processes, and other supporting components.
  • 42. Ken Sall Consulting 301-725-2859 www.KenSall.com eee One World… One Web… Many Solutions.

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