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Driving Value for Government
The Value of XML and SOA in Data Collection and Processing
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© 2007 IBM Corporation
Agenda
 Business Issues and IT Market Trends




Key Drivers for Improving Data Collection and Processing
Typical Solutions and Consequence
Rationale for XML
Service Oriented Architecture
 Data Collection and Processing with DB2 pureXML and Lotus Forms





Solution Overview
Complimentary Components
Architecture
Joint Benefits
Case Study of New York State Department of Taxation and Finance
 Related Product Material
 DB2 pureXML
 Tax Demonstration
2
© 2007 IBM Corporation
Agenda
 Business Issues and IT Market Trends




Key Drivers for Improving Data Collection and Processing
Typical Solutions and Consequence
Rationale for XML
Service Oriented Architecture
 Data Collection and Processing with DB2 pureXML and Lotus Forms





Solution Overview
Complimentary Components
Architecture
Joint Benefits
Case Study of New York State Department of Taxation and Finance
 Related Product Material
 DB2 pureXML
 Tax Demonstration
3
© 2007 IBM Corporation
Key Drivers for Improving Data Collection and Processing
Cleaner Data
Faster
Easy for
Respondents
4
Easy to
Manage
© 2007 IBM Corporation
Issues forcing change – What customers are saying
Growing pressures
Demanding
 Enabling innovation: gain business issues
business insight
 Regulation
Challenging financial
objectives
 Increase revenue
 Increasing business
flexibility
 Compliance
 Increase profitability
 Security
 Reduce costs
 Constituent expectations
 Accountability
 Speed of change
 Legal
 Manage total costs of
operation (TCO)
 Market place challenges
 Better customer service
with complete view on
customer
 Inter-agency collaboration
Higher development costs
 Applications numbering hundreds, thousands, even tens of thousands
 Some monolithic
 Some isolated
 Some designed and performing well in meeting current business
objectives, some not
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© 2007 IBM Corporation
Data Collection and Processing - Electronic Tax Filing
Issues forcing change
Better customer service with
more focus on constituents
needs
Need to develop on-line
mechanism to reduce
paperwork and improve
services levels
Need to reduce paper handling,
management and storage costs
$$
$$
Operational ineffectiveness
incurred by length of time to
complete submission process
Demand from constituents to
improve accessibility to services
Processing paper forms is
labor intensive, inefficient and
slow
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© 2007 IBM Corporation
Typical Solutions for Data Collection and Processing
Spreadsheets, Word Processing,
and Other Office Documents
PDF / Paper Documents
Relational
Database
Application
Infrastructure
Client / Server Applications
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HTML / Web Browser
© 2007 IBM Corporation
Traditional Forms and Relational Databases
Traditional applications
shred form data to predefined columns in
relational tables
Sometimes the application
generates XML but still
needs to shred to persist in
relational databases
Application
XML
XML or NonXML
Fixed
Mapping
Form Document
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Shre
d
custID
firstname
lastname
Phone
901
John
Doe
963 222 0000
902
Peter
Pan
542 212 0932
Relational
Database
© 2007 IBM Corporation
Disadvantages of Traditional Forms and Relational Databases
 Fragile to Develop and Maintain
 Changes in forms ripple through to the backend database
 Changes in the database ripple through to the forms
 One Size Generators makes customization difficult
 Data must be normalized to fit pre-defined models
 Mapping can get complicated
 Monolithic Data Validation locked in server side applications
 In the database with stored procedures
 In the middle tier with procedural code
 Difficult to provide access for end users
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© 2007 IBM Corporation
Agenda
 Business Issues and IT Market Trends




Key Drivers for Improving Data Collection and Processing
Typical Solutions and Consequence
Rationale for XML
Service Oriented Architecture
 Data Collection and Processing with DB2 pureXML and Lotus Forms





Solution Overview
Complimentary Components
Architecture
Joint Benefits
Case Study of New York State Department of Taxation and Finance
 Related Product Material
 DB2 pureXML
 Tax Demonstration
11
© 2007 IBM Corporation
What is XML?
 XML
 eXtensible Markup Language
 Self-describing data structures
 XML tags describe each element and
their attributes
 Benefits
 Flexible
 No fixed format or syntax
 Structures can be easily changed
 Platform Independent
 Not tied to any platform, operating
system, language or software vendor
 XML can be easily exchanged
 Fully Unicode compliant
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<? xml version=“1.0” ?>
<purchaseOrder id=“12345” >
<customer id=“A6789”>
<name>John Smith Co</name>
<address>
<street>1234 W. Main</street>
<city>Toledo</city>
<state>OH</state>
<zip>95141</zip>
</address>
</customer>
…
© 2007 IBM Corporation
Industry Trend and IT Challenge
 Electronic forms (E-forms) used throughout industry
and government to save paper and streamline
processes
e-tax filing, e-permits and license application, e-grant processing
 E-forms are becoming XML based
IBM Lotus Forms, XForms
 Trying to solve a major issue relative to forms
processing
 Multiple tax types – corporation, personal, withholding
 Forms change from year to year
 multiple schema changes
 multiple program changes
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© 2007 IBM Corporation
Benefits of XML for Tax Form Solution
 Lower Development Costs
 XML is self-describing and reduces complexity in
application layers and evaluation of tax rules for filings
 Improved developer productivity
 Quicken solution development and gain cost savings
 Greater Business Agility
 XML data model is flexible and extensible; easily
accommodates changes to data and schemas
 Update applications rapidly and reduce maintenance
costs
 Respond quickly to dynamic conditions and get faster time to value
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© 2007 IBM Corporation
XML is the language of business
Banking
IFX, OFX, SWIFT, SPARCS,
MISMO +++
Retail
Life Sciences
MIAME, MAGE,
LSID, HL7, DICOM,
CDIS, LAB, ADaM +++
Healthcare
HL7, DICOM, SNOMED,
LOINC, SCRIPT +++
IXRetail, UCCNET, EAN-UCC
ePC Network +++
Electronics
PIPs, RNIF, Business Directory,
Open Access Standards +++
Insurance
Telecommunications
ACORD
XML for P&C, Life +++
eTOM, NGOSS, etc.
Parlay Specification +++
Financial Markets
FIXML, MDDL,
RIXML, FpML +++
Cross Industry
PDES/STEPml
SMPI Standards
RFID, DOD XML+++
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Automotive
ebXML,
other B2B Stds.
Chemical & Petroleum
Chemical eStandards
CyberSecurity
PDX Standard+++
Energy & Utilities
IEC Working Group 14
Multiple Standards
CIM, Multispeak
© 2007 IBM Corporation
XML - the Fabric of Services Oriented Architectures
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© 2007 IBM Corporation
Service Oriented Architecture (SOA)
 Key concept of SOA is to use agreed interfaces between consumers and
service providers
 Consumers of a service do not need to know the implementations of the
service
 In typical and historical form solutions, custom programming on the server
side of SOA has been devoted to mapping between relational data formats
and XML formats
 The implications of having XML as both exchange and storage format include
the increased ability to create universal services (on the server side) leading
to:
 Simpler set-up and programming for both service consumer and the
service provider
 Reusable services mean fewer codes
 Increased automation
 Opens up systems to quick and straightforward support of forms, Web
2.0, Web Services etc
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© 2007 IBM Corporation
Agenda
 Business issues and IT market trends




Key drivers for improving data collection and processing
Typical solutions and consequence
Rationale for exchange and storing XML
Service Oriented Architecture
 Data Collection and Processing with DB2 pureXML and Lotus Forms





Solution Overview
Complimentary Components
Architecture
Joint Benefits
Case Study of New York State Department of Taxation and Finance
 Related Product Material
 DB2 pureXML
 Tax Demonstration
18
© 2007 IBM Corporation
XML Data Capture and Storage –
A New Generation Data Collection Solution
XForms
XQuery
User
<xml>
Interface
Services
Customers,
Employees,
Constituents,
Suppliers
<xml>
+
Business
Services
Processes
<xml>
</xml>
Easy for
Respondents
<xml>
Easy to
Manage
Services
=
Analysis,
Reports
Cleaner Data
Faster
DB2 9 and Lotus Forms combine open standards to
create a feature-rich, robust data collection architecture
for SOA applications
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© 2007 IBM Corporation
DB2 9 – A New Generation Hybrid Data Server
SQL Developer
XML Developer
“I see a sophisticated XML
repository that also
supports SQL."
Familiar
Programming Models
Mature
Services
"I see a sophisticated
RDBMS that also supports
XML."
Familiar
Tooling
Optimized
Performance &
Scale
Optimized
Storage Models
XML integrated at all levels
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© 2007 IBM Corporation
Lotus Forms – A New Generation XML EForm
Presentation Layer
 Pixel-perfect for duplicating paper forms
 Guided-interview, or wizard, driven
Business Logic
 Capture forms processes in the form
 Integrate business process workflows
Data Instances
 Embed multiple XML data instances
 Validate against external data sources and schemas
 W3C XForms Implementation
File Attachments
 Supplemental or associated eForms
 Other documents as part of a transaction
Digital Signatures
 Sign multiple, overlapping sections or complete form
 Use built-in signing, digital certificates or signing pads
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© 2007 IBM Corporation
XML related projects
 Tax Implementation Group for Electronic
Requirements Standardization (TIGERS)
 XML schema for transferring the data from software vendors
through IRS master e-file gateway to states client server
 Web services to communicate between vendors that submitted the
data and states that collected the data
 States responsible for client portion of the web services to
electronically collect corporate tax data and interface needed to
back end systems to process XML data
 FedState1120 Project – new architecture for data
collection to IRS
 Personal Income Tax
 Property Tax
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© 2007 IBM Corporation
Solution Architecture
WP Process Server
HTML Render
WS Portal Server
Web 2.0
Deployment
WS Application Server
LF Services Platform
Browser Only
XML Forms
Workflow Systems
XML Forms/
XML instance
LF Webform
Server
Translator
Corporate Web Server
Rich Client PC
DB2 pureXML
XML Forms/
XML instance
<xml>
WS Application Server
</xml>
Data Web Services
Browsers with
WF Viewer
Corporate Web Server
XForms/XFDL Render
Internet/Intranet
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Corporate
Firewall/Proxy
LF Designer
Return
Corporate LAN
© 2007 IBM Corporation
XML Data Capture and Storage Joint Benefits
Driver
Solution Benefits
Cleaner Data
Faster
 Business Agility though management of change
without significant investment and time
 Decreased Processing Time by eliminating manual
data entry and extraneous process steps
 Cost Reduction by ensuring the data is correct at the
start of a process and eliminating downstream error
handling
 Effective Business Insight through accurate analysis
across validated transaction sets
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© 2007 IBM Corporation
XML Data Capture and Storage Joint Benefits
Driver
Solution Benefits
Easy for
Respondents
 Extend Beyond the Enterprise by providing browser
only data capture using Web 2.0 technologies
 Reduced Training by simplifying and guiding users
through important decisions
 User Satisfaction through faster turn around time and
paperless transactions
 Consistent Multi-Channel Experience by allowing the
same form to be used both online and offline
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© 2007 IBM Corporation
XML Data Capture and Storage Joint Benefits
Driver
Solution Benefits
Easy to Manage
 Reduced Development and Maintenance Costs
by reducing dependencies on relational databases and
procedural programming
 Simplified Design by eliminating translation and
compilation layers in key parts of data collection
applications
 Fit with SOA Environments by facilitating data
collection and lookups within automated XML processes
 Common Scalable Infrastructure using a consistent
storage and services architecture for multiple XML formats
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© 2007 IBM Corporation
New York State Department of Taxation and Finance
Simplifying filing of more than 2 million returns already
Business challenge
With traditional paper-driven processes increasing costs and slowing
response times, the NY State Department of Taxation and Finance sought
to modernize its tax filing system through the use of e-forms. Because
there are thousands of different types of forms to process and many fields
are often left blank, the organization needed a consistent way to manage,
input and share data while accommodating form and regulation changes.
Industry: Government
“Through the use of XML data,
we have more flexibility in
defining new services and can
more easily keep up with
changing tax policies.”
Solution
The organization adopted XML as its standard data platform for e-forms.
To efficiently manage XML data, the agency uses IBM DB2 9 with
pureXML™ capabilities within a SOA. This innovative use of XML enables
staff to store forms as-is without having to perform complex data
transformations. This has helped greatly reduce the complexity of
database design and the time and labor needed to update tax policies and
forms. Agency employees can now more easily access federal tax records
and support online filing.
—Jim Lieb, Director of
Common Services, New
York State Department of
Taxation and Finance
Benefits
 Reduces time and labor needed to update tax policies and forms
with 2 million Web filings processed to date
 Projects 5 million more filings with addition of two more applications
 Decreases data management costs
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© 2007 IBM Corporation
Tax Forms
 Usually hundreds-thousands
of different tax forms
 Schema Diversity
 Typically not every field in a
form is used
 Sparse Data
 Many forms change every
year
 Schema Evolution
 A case for XML !
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© 2007 IBM Corporation
Current relational storage,
inefficient, anonymous
columns, requires complex
mappings in the application
How did XML solution address this?
col1
col2
col3
col4
col5
…
col1000
134
NULL
11/23/05
NULL
NULL
…
NULL
NULL
276
NULL
NULL
Yes
…
NULL
12
NULL
NULL
99.99
NULL
…
NULL
NULL
NULL
NULL
123.23
NULL
…
No
New XML format:
<form>
…
<wages>134</wages>
<date>11/23/05</date>
</form>
XML: Avoids sparsity. Proper data labeling. 2 columns, not
1000. Transformable. Extensible. Simplifies mapping.
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© 2007 IBM Corporation
XML Schema Flexibility/Evolution in DB2 9
Document validation for zero, one, or many schemas per XML column:
(a)
No Schema
(b)
One Schema
(c)
(d)
Schema V1
Documents
& Schema V2 w/ and w/o
schema
(e)
Any mix you want!
Most Databases only support (a) and (b). DB2 9 allows (a) through (e).
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© 2007 IBM Corporation
Benefits of managing XML data with DB2 pureXML for SOA
 Supports End-to-End XML for SOA environments
 XML is used for message exchange in Web Services and Web 2.0
environments
 XML can be persisted and queried easily and efficiently making
SOA environments much easier to implement
 Encourages the use of Pervasive XML tools and
software
 Open source software and vendor XML tools are widely available
and used
 XML tools and software can be used with persisted data reducing
the amount of custom code that needs to be developed.
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© 2007 IBM Corporation
XML Data Management Needs Relational Maturity
 XML Data Needs Protection


Backup and recovery features to ensure continuity
Data is protected using database security

 Simplified XML Data Access



Centrally store and access difficult to retrieve data
SQL or XQuery can be used to retrieve data
Join XML data with it’s related relational data
 Search Speed

Search documents quickly and efficiently using proven search
optimization engine of mature database
 Optimize Existing Investments

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Use existing technology infrastructure and skills to store and
manage both relational and XML
© 2007 IBM Corporation
Agenda
 Business Issues and IT Market Trends




Key Drivers for Improving Data collection and Processing
Typical Solutions and Consequence
Rationale for XML
Service Oriented Architecture
 Data Collection and Processing with DB2 pureXML and Lotus Forms





Solution Overview
Complimentary Components
Architecture
Joint Benefits
Case Study of New York State Department of Taxation and Finance
 Related Product Material
 DB2 pureXML
 Tax Demonstration
33
© 2007 IBM Corporation
Lotus Forms and DB2 : moving from relational (shredding) to pureXML
 Relational schema and tables as the choice for XML
Object
Oriented
XML
XML
Presentation
Shred to
Relational
Join
Relational
& Publish
SQL,
XSLT XML
Application
Server
Relational
Database
Server
 Native XML provides a simpler alternative
Object
Oriented
XML
XML
XML
Presentation
XQuery
Application
Server
34
XML
Database
Server
© 2007 IBM Corporation
Application example
 Purchase Order example
 Create orders
 Select products from a product catalog
 View existing orders
 Based on relational tables
 Uses Servlet to receive form data
35
© 2007 IBM Corporation
Architecture
DataHandler class and
DB2Connection class
interact with
DB2 Server to read and
write data to a DB2 database
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© 2007 IBM Corporation
Lotus Forms and relational database example
 Maps Order and Product data into
relational tables
 Workplace Form API generates
and consumes XML data to interact
with the Form
Which means constant shredding and
reconstruction of XML data, to and from
the backend database.
37
© 2007 IBM Corporation
Impact on application code: Relational vs. pureXML
Application
parses and
shreds XML to
fit relational
tables
Single Insert
statement in DB2 9.
Database
consumes XML
Code snippet from Lotus Forms example
38
© 2007 IBM Corporation
Impact on application code - contd
Application
constructs
XML
Database
does the
work
Code snippet from Lotus Forms example
39
© 2007 IBM Corporation
Agenda
 Business Issues and IT Market Trends




Key Drivers for Improving Data collection and Processing
Typical Solutions and Consequence
Rationale for XML
Service Oriented Architecture
 Data Collection and Processing with DB2 pureXML and Lotus Forms





Solution Overview
Complimentary Components
Architecture
Joint Benefits
Case Study of New York State Department of Taxation and Finance
 Related Product Material
 DB2 pureXML
 Tax Demonstration
40
© 2007 IBM Corporation