QGEA Foundation Principles - Queensland · Web viewThe QGEA foundation principles have been produced for the use of officers within the Queensland Government who are involved in governance

Queensland Government Enterprise Architecture Foundation Principles Version 1.0.0, SEPTEMBER 2009PUBLIC

Document detailsSecurity classification PUBLIC This document has been security classified using the Queensland

Government Information Security Classification Framework (QGISCF) as PUBLIC and will be managed according to the requirements of the QGISCF

Date of review of security classification

September 2011

Authority Queensland Government Chief Information Officer

Author Andy Gray, Jeff Tendero, Don Ashdown and Sam Higgins Queensland Government Chief Information Office (Enterprise Architecture and Strategy)

Documentation status Working draft Consultation release Final version

Contact for enquiries and proposed changesAll enquiries regarding this document should be directed in the first instance to:

Director, Enterprise Architecture and StrategyQueensland Government Chief Information [email protected]

AcknowledgementsThis version of the QGEA Foundation Principles was developed and updated by the Enterprise Architecture and Strategy Unit, Queensland Government Chief Information Office.

Feedback was also received from a number of staff from various agencies, which was greatly appreciated.

CopyrightQueensland Government Enterprise Architecture Foundation Principles

Copyright © The State of Queensland (Department of Public Works) 2008, 2009

Licence

The Queensland Government Enterprise Architecture Foundation Principles by QGCIO is licensed under a Creative Commons Attribution 2.5 Australia licence. To view a copy of this licence, visit

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Queensland Government Enterprise Architecture Foundation Principles

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Contents1 Introduction...................................................................................................1

1.1 Purpose......................................................................................................................... 11.2 Scope............................................................................................................................. 11.3 Audience........................................................................................................................ 11.4 Background.................................................................................................................... 11.5 Issue and review............................................................................................................1

2 QGEA foundation principles............................................................................22.1 Trustworthy: Information and information services are accurate, relevant, timely,

available and secure......................................................................................................22.2 Transparent: Information must be routinely and proactively disclosed...........................22.3 Leveraged: Share before Buy before Build....................................................................32.4 Effective: Investments must be fit for purpose and deliver value and benefit.................32.5 Aligned: Investments are aligned to priorities.................................................................32.6 Equitable: Information services are accessible on an equitable basis...........................42.7 Cohesive: The government is a single enterprise..........................................................42.8 Managed: Services and assets are proactively planned and managed.........................52.9 Compliant: Service and asset investments and assets comply with legislative and

policy requirements........................................................................................................5

3 Benefits of the QGEA foundation principles.....................................................6

4 Applying the QGEA foundation principles........................................................64.1 Adopting the foundation principles in decision making...................................................64.2 Adopting the foundation principles in policy formation and review.................................64.3 Precedence within the foundation principles..................................................................74.4 Overall hierarchy of QGEA principles.............................................................................7

Appendix A Structure of QGEA foundation principles...............................................................8

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1 Introduction1.1 Purpose

The Queensland Government Enterprise Architecture (QGEA) is based on principles that are intended to be enduring and that provide a foundation for the development and implementation of Queensland Government policies, information standards and positions.

These foundation principles represent a statement of the fundamental beliefs underpinning the QGEA, and the values or behaviours with which government agencies are expected to comply. The foundation principles provide high-level guidance for the management of information and for investment decision making for information and communications technology across government. They should not require frequent change or amendment.

1.2 ScopeDue to their underpinning nature, the QGEA foundation principles apply to all elements (layers, slices and domains) of the QGEA and to all Queensland Government agencies.

1.3 AudienceThe QGEA foundation principles have been produced for the use of officers within the Queensland Government who are involved in governance and delivery of information management (IM) and information and communications technology (ICT) enabled outcomes. This includes those performing business, IM and ICT planning or policy development and implementation, enterprise architecture, business service design, portfolio analysis and management and other related business service and planning functions.

1.4 BackgroundIn 1999, the Queensland Government launched the Government Information Architecture (GIA). The GIA was a principles-based architecture that contained a set of overarching principles as well as detailed domain principles relating to the management of information, applications and technology.

These principles were widely used by agencies and formed the basis for much of the Queensland Government’s ICT policy and decision making between 1999 and 2005, when the GIA was replaced by the Government Enterprise Architecture (GEA). While it was the intention of the Queensland Government Chief Information Office (QGCIO) to migrate the GIA principles into the GEA, this activity was never formally completed.

As part of the revision of the GEA and publication of the QGEA 2.0, the QGCIO has developed this revised set of foundation QGEA principles based on:

the government’s overall objectives and priorities with regard to service delivery, information management and ICT, including Towards Q2, The Right to Information and the Towards Q2 through ICT strategy

a comparative analysis of enterprise architecture principles used in a number of public sector jurisdictions within Australia and internationally

information drawn from Queensland Government agencies and the GIA.

1.5 Issue and reviewThese QGEA principles are published within the QGEA and are administered by the Queensland Government Chief Information Office (QGCIO). They were developed by the QGCIO and approved by the Queensland Government Chief Information Officer on 28 September 2009. These QGEA principles will be reviewed on a biennial basis. The next review date is September 2011.

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2 QGEA foundation principlesThe QGEA foundation principles are written as Value: Statement of principle. It is intended that these values and principles are used to influence decision making to guide the formulation of policy.

While articulated as independent principles, it should be recognised that there are synergies and potential overlaps between the principles. For example, achieving compliance necessarily implies some level of management is in place. This is to be expected. The set of principles as a whole work together to guide agency decision making and policy formation, and such overlaps do not detract from the use of the principles for these purposes.

2.1 Trustworthy: Information and information services are accurate, relevant, timely, available and secure

Rationale Effective and valued government services can only be provided if they remain trusted by their users. It is essential that information used for the delivery of services is managed in an ethical and accountable manner throughout its lifecycle to ensure it is accurate, relevant, timely, available and secure.

Key implications

Confidentiality, privacy, and security considerations must underlie all policy and investment decisions.

Reviews of agency information security environments must occur regularly. Auditing mechanisms and procedures are in place to ensure appropriate

confidentiality, privacy, security and access processes are maintained. Integrity of information is vital to ensure it remains relevant and fit-for purpose

(accurate). Information must be maintained in a timely manner. Information which is out of

date may be misleading and its ability to be trusted decreases the further out of date it becomes.

Maintaining high availability of information is critical to its ability to be used. Agencies should have appropriate business continuity plans in place to maintain the required availability of their information assets and relevant systems.

2.2 Transparent: Information must be routinely and proactively disclosed

Rationale The Queensland Government is the custodian of significant amounts of public information. This information should be made readily available to the community to ensure government accountability and transparency and to allow the public to be more informed participants in the design and delivery of government services.

Key implications

Right to information (freedom of information) considerations must underlie all policy and investment decisions.

Citizens should have access to and the ability to modify their own personal information provided to the government in line with the appropriate legislation.

Information collected at public expense is made available publicly wherever practicable, subject to privacy considerations (see the Information Privacy Act 2009) and the public interest test provisions of the Right to Information Act 2009.

The collection of metadata about information, and its use to make information more discoverable must become part of the routine of government operations.


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2.3 Leveraged: Share before Buy before Build

Rationale Sharing and reuse of information and ICT assets and services, when widely practised, provides the basis for improved utility, value for money and performance. In order to maximise the value invested, investments must leverage existing initiatives and assets wherever practical.

Key implications

‘Share before buy before build’:

sharing (including reuse) of assets is preferred to purchasing new systems or acquiring data independently. Systems should be acquired with the future need of sharing and reuse in mind. Systems which enable sharing and reuse should therefore be preferred over systems for which reuse or sharing will be difficult

sharing and reusing ICT and information assets and services to support government service delivery takes precedence over standalone and isolated systems

purchasing ICT solutions and services is preferred over building new systems

building new systems, or implementing non-standard solutions, is only undertaken as a last resort when there is clear and demonstrable business benefits to an agency, as well as value for money returns to government.

Data collection is conducted on the basis of ‘gather once, use many times’. Agencies should be prepared to share their investments in software source

code, architectures and other material with other agencies.

2.4 Effective: Investments must be fit for purpose and deliver value and benefit

Rationale Initiatives should only be undertaken if they have defined and measurable benefits. While self-evident, this principle has been included to explicitly reinforce the government’s commitment to business outcome and benefit focussed investment.

Key implications

Initiative approvals must be based on the delivery of measurable and meaningful service outcomes or other benefits.

Government services, and systems supporting the delivery of these services, should be designed, or re-designed, to operate in a way that is user-centred and intuitive to use and access and which facilitates rather than inhibits service delivery.

Systems and services should be regularly reviewed to ensure they continue to deliver the service outcomes and benefits intended. Those which are no longer achieving benefits should be decommissioned.

IM and ICT planning must be focussed on delivering business outcomes and benefits, and not be technology driven.

2.5 Aligned: Investments are aligned to prioritiesRationale Alignment of agency business, information and ICT planning leads to

improvements in performance, greater internal efficiencies and enables agency business priorities and Queensland Government business imperatives to be achieved more effectively.

Key Towards Q2, its ambitions and targets are considered in all investment and


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implications management decisions. Business priorities underpin IM and ICT planning and investment – information

and ICT investments are based on business need. Planned ICT solutions grow from business needs and are ‘fit for purpose’. Regular assessment of asset value and effectiveness in terms of business

outcomes and service delivery is included as part of strategic planning and funding projections.

2.6 Equitable: Information services are accessible on an equitable basisRationale Access to government services is important to maintain a fair society and strong

economy. Therefore government information services are to be accessible in a manner that ensures social equity, regardless of geographic, economic or disability situations.

Key implications

Arrangements exist to enable disadvantaged groups to access services as equitably as practical.

Equivalent fees are charged for access to equivalent information assets. Government services have a consistent look and feel to meet the needs of all

users and support equity of access by disadvantaged groups. Government services are provided through multiple channels to suit the differing

needs of disadvantaged groups.

2.7 Cohesive: The government is a single enterprise

Rationale As the Queensland Government is a single enterprise operating through many agencies, agency and whole-of-Government business priorities need to be balanced to ensure effective and efficient service delivery. Innovation in government service delivery within an agency should be promoted, as should opportunities to achieve better value from whole-of-Government approaches.

Key implications

Whole-of-Government and agency business priorities and considerations are balanced in all decisions.

The QGEA and other whole-of-Government policy must guide whole-of-Government, cross-agency and individual agency investment decision making.

Investment decisions should support progression towards an integrated and consolidated service delivery, IM and ICT environment at a whole-of-Government level.

Opportunities are regularly sought for collaboration across agencies for more efficient and effective government service delivery. Existing activities including reporting of the ICT Baseline and agency ICT programs of work provide a means for identifying such opportunities. Additionally, agencies should consult with other relevant agencies when developing programs of work and conducting agency planning.

Information and system inter-operability considerations underlie information management practices and system selection and implementation.

Duplication and overlap of assets and services is minimised.


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2.8 Managed: Services and assets are proactively planned and managed

Rationale The IM and ICT services and assets of the Queensland Government represent a significant investment that underpins the continued delivery of services. These services and assets must be managed over time to ensure their operational performance is maintained and that ongoing service delivery risks are managed.

Key implications

Comprehensive information management policies, procedures and practices must be defined and implemented to ensure that information is managed and maintained throughout its useful life.

Planning and investment arrangements for IM and ICT are formalised and apply agreed standards, methodologies and best practices.

Planning includes key stakeholders from agency business units. Governance and management arrangements for IM and ICT are formalised. Information custodianship underpins the management of information assets. All change is managed, approved and executed according to agreed processes

to minimise the risk of unforseen adverse impact on resources and services. Agencies have formal architecture and policy functions to govern IM and ICT

investments and assets. Service continuity is managed, with business continuity and disaster recovery

arrangements and capability maintained and tested regularly and comprehensively to ensure their ongoing effectiveness.

2.9 Compliant: Service and asset investments and assets comply with legislative and policy requirementsRationale IM and ICT assets and services provided by agencies on behalf of the Queensland

Government must comply with current legal, ethical, technical, economic, environmental and social responsibility requirements. Lack of compliance can lead to unforseen liabilities and litigation that could otherwise be avoided.

Key implications

Agencies are accountable for the way they manage information and ICT services and assets.

Staff are educated and aware of compliance requirements in relation to the use of IM and ICT services and assets.

Compliance requirements across agencies are consistent, comprehensive, actively monitored and reported and regularly reviewed.

Compliance requirements are clearly documented, accessible and known across all agencies.


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3 Benefits of the QGEA foundation principlesThe QGEA foundation principles provide a consistent set of values for policy development and decision making within the Queensland Government. They guide the development of specific QGEA and agency policies but also provide general guidance in other situations where specific guidance through formal QGEA strategies, polices and standards is not provided.

The primary benefit of the QGEA principles is consistency of IM and ICT policy and decision making across the Queensland Government. Policy and decisions made in accordance with the principles will naturally tend to align with each other thereby better positioning the Queensland Government for future opportunities.

The benefits of the individual principles are documented through the rationale section within each principle.

4 Applying the QGEA foundation principlesThe QGEA foundation principles are not meant to direct immediate action or specific instruction but rather provide a set of reference points or guidance. They are intended to have long term applicability and their essence is reflected and refined in specific instruments such as QGEA strategies, information standards, policies and positions.

For this reason it is envisaged that agencies will adopt and expand on the statements within the ‘key implications’ component of each principle to reflect more accurately their specific circumstance. It should also be noted that the key implications may vary in priority across agencies, or even at different times.

4.1 Adopting the foundation principles in decision makingIn the absence of more specific guidance within the QGEA or within an agency, the foundation principles should be used to address emerging issues and guide agency planning, management and implementation processes, including guiding decisions about new initiatives.

When applying the QGEA foundation principles to decision making, it is not sufficient to justify the approval of an initiative based on adherence to the principles alone. It is expected that existing agency business approval mechanisms are applied as an initiative is refined.

Consistent departure from the foundation principles will lead to increasing difficulties at agency level and may impact adversely on the agency’s capacity to fulfil its commitments to the IM and ICT directions of the Queensland Government.

In this context, it is expected that the foundation principles would provide only one element in an agency’s overall evaluation process. Further progression and evaluation of a new initiative beyond the initial use of the foundation principles as a validation point must be subject to any existing agency business approval processes and associated established governance mechanisms.

4.2 Adopting the foundation principles in policy formation and reviewIn terms of implementation, it is expected that as agencies review their existing policies, these foundation principles are considered. Where a policy is in conflict with a principle, this should be carefully considered, and where possible, the policy adjusted to support the principles. There may be circumstances where an agency must have a policy which conflicts with these principles, but these polices and the potential conflicts must be carefully considered before being approved.

It is not intended that each policy requires a specific mapping to the various principles. Rather, the principles should be used as a general guide for agency policy formation and review.


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4.3 Precedence within the foundation principlesIn certain circumstances, the foundation principles may compete with each other, eg. balancing ‘transparency’ and ‘trustworthy’ will often require interpretation on the part of the user. There is no precedence defined in the foundation principles. This means that resolving competing principles will require considering the specific circumstances and objectives of the particular initiative or policy in the context of the full set and intent of the foundation principles. A decision can then be made as to the most appropriate direction to take in the particular circumstance.

Agencies are encouraged to document issues in specific circumstances, such as competing principles, so they can then be used as input to the regular review of the agency policies. This documentation can also inform further development of the foundation principles, ensuring their continued relevance as part of effective governance and good practice. It can also be considered as part of the regular review processes conducted by Queensland Government Chief Information Office and the Queensland Government Chief Technology Office.

4.4 Overall hierarchy of QGEA principlesThe QGEA Framework supports the notion that principles can be declared for any context within the overall QGEA. That is, principles can be defined at many levels, from the overarching level in the form of these QGEA foundation principles through to principles for a layer, slice, individual domain or group of domains. Essentially, this can provide a hierarchy of principles that provide increasingly detailed reference points and context to address specific problems not otherwise covered by QGEA strategies, policies, positions and information standards.

Often the implications for principles in higher order contexts represent the basis for principles in lower order domains. For example, a foundational QGEA security principle will generate specific principles for application development.

As a result, the QGEA foundation principles represent only the highest level guidance for agencies and will be supplemented over time by more specific domain-oriented principles.


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Appendix A Structure of QGEA foundation principlesFoundation principles are key elements of the QGEA and can be applied at various contexts. To allow other contributors and agencies to formulate principles, Table 1 below outlines the structure used by QGCIO to define a principle. This approach is based on The Open Group’s Architecture Framework (TOGAF) definition of principles1.

Element Definition

The Principle The principle should both represent the essence of the rule as well as be easy to remember. Principles should commence with a statement in a single word (where possible) of the value or belief that is the focus of the principle. Thus they take the form Value: Principle statement

In developing principles, the following guidance applies:

specific technology platforms should not be mentioned in the name or statement of a principle

do not use ambiguous words in the name or statement such as: support, open, consider or avoid.

look for unnecessary adjectives and adverbs.

Rationale Highlight the business benefits of adhering to the principle, using business terminology. Point to the similarity of information and technology principles with the principles governing business operations. Describe the relationship to other principles and the intentions regarding a balanced interpretation. Describe situations where one principle would be given precedence or carry more weight than another for making a decision.

Key Implications

Highlight the requirements, both for the business and ICT, for carrying out the principle – in terms of resources, costs, and activities/tasks. It will often be apparent that current systems, standards, or practices would be incongruent with the principle upon adoption. The impact to the business and consequences of adopting a principle should be clearly stated. The reader should readily discern the answer to: ‘How does this affect me?’ It is important not to oversimplify, trivialise, or judge the merit of the impact. Some of the implications will be identified as potential impacts only and may be speculative rather than fully analysed.

Implications should be stated in present tense.

Table 1: Elements of the QGEA foundation principles

- End of QGEA Foundation Principles -

1 For information on the use of principles within TOGAF see the Architecture Development Method at www.togaf.com


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QGEA Foundation Principles - Queensland · Web viewThe QGEA foundation principles have been produced for the use of officers within the Queensland Government who are involved in governance