1. Evolving Issues in Electronic Data Collection Workshop Interoperability Russ Savage Electronic Transactions Liaison Arizona Secretary of State Office

2. Evolving Issues in Electronic Data Collection Workshop Interoperability Arizona Initiatives E-SIGN related multi-state Initiatives Thoughts on what’s next

3. A. Unless otherwise provided by law, an electronic signature that complies with this section may be used to sign a writing on a document that is filed with or by a state agency, board or commission and the electronic signature has the same force and effect as a written signature. B. An electronic signature shall be unique to the person using it, shall be capable of reliable verification and shall be linked to a record in a manner so that if the record is changed the electronic signature is invalidated. C..... A.R.S. 41-121. Duties (Secretary of State) 13. Accept, and approve for use, electronic and digital signatures that comply with section 41-132, for documents filed with and by all state agencies, boards and commissions. In consultation with the government information technology agency, the department of administration and the state treasurer, the secretary of state shall adopt rules pursuant to chapter 6 of this title establishing policies and procedures for the use of electronic and digital signatures by all state agencies, boards and commissions for documents filed with and by all state agencies, boards and commissions. Arizona’s Electronic Signatures Act ( A.R.S. 41-132) Arizona Initiatives

5. Interoperability? With who? What? How? When? Where? Why? Arizona Initiatives

6. Interoperability - E-Gov Template Arizona Initiatives

7. Interoperability - WHY? Government “runs” on paperwork. We might eliminate the paper but we won’t eliminate the paperwork. And that paperwork flows from one jurisdiction to another. Arizona Initiatives

8. Interoperability - WHO? Arizona Initiatives Arizona Criminal Justice “Integration” - approximately 600+ entities

9. Interoperability - WHY? We understand paper and ink, and we have standards - 8 1/2 x 11 inches, “permanent” ink, etc. We have open questions: How do we “read” electronic documents filed with us by the private sector or by other jurisdictions? How do we store, retrieve and forward those documents? How do we know the next jurisdiction will accept them? Arizona Initiatives

10. An electronic signature shall be unique to the person using it, shall be capable of reliable verification and shall be linked to a record in a manner so that if the record is changed the electronic signature is invalidated. Arizona Statute 41-132 B (specific to signing by/with state agencies) Arizona’s Electronic Signatures Act Arizona Initiatives

11. Arizona statutory responsibilities GITA - approval of IT policies/standards and agency projects Secretary of State - policies and procedures for electronic signature use by all agencies SLAPR - records retention and archiving policies for all agencies Administrative Rules for electronic signatures are technology neutral. They point at GITA for technology standards and establish the Secretary of State as the Policy Authority for elaboration of signing rules into practical application. Arizona’s Electronic Signatures Act implementation Arizona Initiatives

12. To build an electronic signature infrastructure, the state has: Policy Authority establishing the ground rules (Office of the Secretary of State). Certification Authority authenticating & registering the subscriber & issuing signing stuff (digital certificates) (CA approved by Secretary of State). Agency contracting with the CA for services. Subscriber gets signing stuff (a certificate for creating digital signatures). Relying Party verifies the signing (digital signature) received from the subscriber. Arizona’s Electronic Signatures Act implementation is based on the infrastructure underlying PKI Arizona Initiatives

13. The Roles in Electronic Signature Use (State of Arizona’s infrastructure model) (Sec State) Arizona Initiatives

14. Two ESI projects using the same CP Arizona Initiatives

15. ESI for CP “A” ESI for CP “B” The AESI consists of several collections of projects (ESIs) organized around different Certificate Policies (CPs). Arizona Initiatives

16. long term e-record retention & retrieval AERRI – Arizona Electronic Record Research Initiative ( Secretary of State, SLAPR, GITA, Arizona Administrative Office of the Courts, Maricopa County Administrative Office of the Courts, Arizona State University) Two state Exec branch, one Legislative branch, courts at state & county level with support from university “This project within the Arizona Electronic Records Research Initiative is to explore the transport mechanism. We will need to create creation/viewing tools and archival tools but the key focus in on the transport record. The theory is that if that is well formed, then it is possible to migrate from various systems as those systems become obsolete. The systems can be anything as long as they can properly accept the transport record and properly export it back out. As long as this is possible, we are not locked into the technology of a particular system and having to worry about migrating from it.” Arizona Initiatives

17. “This initial study led to a detailed description of the electronic record. We determined that an electronic record had to be a fully self- documenting object. We chose to describe these objects in eXtensible Markup Language (XML), a text based standard. We determined that an electronic record was made up of one or more documents, contextual information relating this record with other records, and evidential integrity checks.” Victorian Electronic Records Strategy Final Report Interoperability? Common document and signing standards across agencies and jurisdictions Example is LegalXML building court document standards. http://www.legalxml.org/

18. Arizona Initiatives

19. Digital Government Working Group (DGWG) E-records Life-cycle working group – capture of non-series e-records (e-mail, word documents, etc) “We now have electronic records that are not printed out when complete. What are the best practices to manage them from creation to completion to records retention and on to archive or destruction (eg. official publications as pages on website, electronically signed documents, email)?” Arizona Initiatives

21. Q & A Arizona activities Russ Savage Electronic Transactions Liaison Arizona's Office of the Secretary of State rsavage@mail.sosaz.com 602.542.2022 602.418.3094 (cell phone) http://www.sosaz.com/pa