FUTURE ENVIRONMENT AND NEXT STEPS for Adoption and Use of the NATIONAL INFORMATION EXCHANGE MODEL (NIEM)The NIEM program has evolved and matured to address the most pressing information sharing and exchange challenges facing the government today. NIEM has now progressed to a level where it can act as the framework for establishing government-wide, cross-domain information exchanges. The further expansion of NIEM into an increasing number of government agencies and mission spaces will foster new collaboration and exchange of information across organizational boundaries. Agency leaders can utilize the established NIEM framework and lessons-learned to accelerate enterprise integration.The target audience of this report includes but is not limited to federal agency leadership, such as chief information officers, chief enterprise architects, and chief data architects; as well state, local, tribal and international partners, and federal and state legislative bodies.Chief Information Officers CouncilCIOC_34c573de-6639-11e0-abc4-45677a64ea2a_34c5771c-6639-11e0-abc4-45677a64ea2a_34c5791a-6639-11e0-abc4-45677a64ea2aCross DomainsIdentify cross domain opportunities._34c579e2-6639-11e0-abc4-45677a64ea2a1POTENTIAL CROSS DOMAIN OPPORTUNITIES -- As a result of the collection and analysis of agency FY2011 assessment submissions, a cross domain opportunity matrix was created to represent the information exchange partners of all agencies that have responded to date. The ordinate (“Y” axis) denotes the responding agency, while the abscissa (“X” axis) denotes the identified information exchange partners. The matrix identifies agencies that maintain a critical role in the federal information supply chain, which subsequently necessitates the need for standardized information exchanges for governmental transactions. Consider the following examples: * Department of the Treasury (TREAS): The Financial Management Service provides financial services for the federal government such as centralized payment, collection, and reporting services. * General Services Administration (GSA): Supports the basic functioning of federal agencies through the supply of products and services for federal offices. * National Archives and Records Administration (NARA): All federal agencies are responsible for submitting records for preservation purposes. * Social Security Administration (SSA): Acts as the repository for social security number (SSN) inquiries and verification, a touch-point that crosses all federal agencies.Success StoriesDocument success stories._34c57aa0-6639-11e0-abc4-45677a64ea2a1.1Department of DefenseDepartment of Defense has indicated that while there are several examples of NIEM used within DoD such as the Naval Criminal Investigative Service DoD Law Enforcement Exchange, it responded that the agency will require further evaluation of NIEM. Their assessment included a cross domain exchange for Improved IED Defeat Information Sharing as part of the DoD Net-Centric Data Strategy; however NIEM was not referenced for this exchange. Both DOJ and DHS are stakeholders in the Improved IED Defeat Information Sharing and have stated that NIEM is their preferred or mandated standard. The DoD-DHS Maritime Domain Awareness Architecture Hub Plan has also established the NIEM Maritime model as the interoperability model for the four information hubs – vessel, cargo, people and infrastructure. DoD could strengthen their response to recognize the appropriate use of NIEM for exchange in the cross-cutting Law Enforcement and Homeland Defense/Security communities.Department of EducationDepartment of Education responded in their assessment that their Federal Student Aid (FSA) office has an alternative to NIEM yet describes an XML registry approach which at most could be likened to NIEM model management. The FSA framework provides no guidance on information exchange development or XML schema reuse of the FSA model. This gap results in a process where end-users of the FSA model are left without the necessary process, guidance and tools to develop truly interoperable exchanges. In addition, the Department of Education assessment does not extend to state and local stakeholders, some of whom have already begun to implement NIEM for local exchanges and have been awaiting opportunities to coordinate with federal programs. Lastly, additional education information exchange initiatives such as the National Education Data Model, the National Center for Education Statistics Common Data Standard initiative, and the Schools Interoperability Framework have not been evaluated for applicability.Environmental Protection AgencyEnvironmental Protection Agency responded in their assessment that the Environmental Network (EN) is a mature information exchange network providing 54 data flows across its federal, state, local, tribal and private sector partners. Not yet articulated in the EPA assessment was the strategy for working within the NIEM framework for cross-domain information exchanges (e.g. with the NIEM Infrastructure Protection Domain and Chemical/Biological/Radiological/Nuclear Domain) and for addressing the enterprise-level challenges that the State of Pennsylvania is facing with using NIEM and the EN. Additionally, potential exists for the EPA to provide chemical and biological-centric content to the NIEM Chemical/Biological/Radiological/Nuclear domain, which currently remains focused on radiological and nuclear-centric content.National Archives and Records AdministrationNational Archives and Records Administration responded in their assessment that they found no immediate need for the use of NIEM. NARA is the executive agent for the development and delivery of a framework for the marking of Controlled but Unclassified Information (CUI). The development of a NIEM pattern aligned to the CUI Framework for use within- and cross-domain information exchanges is a potential missed opportunity.Nuclear Regulatory CommissionNuclear Regulatory Commission responded in their assessment that they found no immediate need for the use of NIEM and provided no alternative approaches. As noted above, the DHS Domestic Nuclear Detection Office (DNDO) has developed a series of information exchanges for radiological/nuclear detection from devices and is the current steward of the radiological/nuclear portions of the NIEM model. The NRC has a potential role in understanding and sharing based on DNDO’s enterprise use of NIEM.Social Security AdministrationSocial Security Administration reported that it does not believe that the adoption of the NIEM model and processes would be in the best interest of the agency with regard to all high-volume verifications. However, some agencies reported in their assessment to OMB the potential or current use of NIEM in an information exchange with SSA, such as the Department of Agriculture and the Department of Homeland Security. SSA should evaluate their current interoperability model to properly account for information exchange engagements with partner agencies aligned to NIEM.POTENTIAL YET UNDOCUMENTED SUCCESS STORIES -- The analysis of the 26 responses has yielded some potential success stories for the use of NIEM for cross domain information exchange. Below are six primary examples where there is a high potential for use of NIEM for cross domain information exchange not included in the OMB assessments.PrivacyDocument the elements in NIEM which are explicitly PII and provide recommended methods to ensure awareness by information exchange developers._34c57b68-6639-11e0-abc4-45677a64ea2a2PRIVACY -- In evaluating the current development of NIEM exchanges, and new cross domain development in the evaluations, the importance of understanding Personally Identifiable Information (PII) across the NIEM community has become paramount. Identification and assessment of PII must also be done in conjunction with compliance with any other laws and policies applicable to this data, including the Privacy Act, prior to any sharing of this data. A significant number of NIEM exchanges contain one or more PII elements requiring appropriate control of the data when exchanged. In coordination with the Program Manager for the Information Sharing Environment (PM-ISE), the NIEM Program Management Office (PMO) is planning on documenting, after thorough research and understanding, the elements in NIEM which are explicitly PII and provide recommended methods to ensure awareness by information exchange developers. Based on resources available, it is anticipated that this work would be performed in a cross agency, cross government working group of privacy experts and privacy advocates. Potential future activities related to the Privacy Working Group could include:Core Elements Identification of Core Elements of NIEM always considered to be PII_34c57c76-6639-11e0-abc4-45677a64ea2a2.1Secondary ElementsIdentification of secondary elements within NIEM, that when combined, may be considered PII_34c57d84-6639-11e0-abc4-45677a64ea2a2.2TrainingReview current NIEM training for potential augmentation of curriculum related to Privacy and Civil Rights / Civil Liberties concerns_34c57e9c-6639-11e0-abc4-45677a64ea2a2.3Additional DocumentationDevelopment of additional documents or artifacts within the information exchange development process that help developers understand impacts of including PII in information exchanges_34c57fbe-6639-11e0-abc4-45677a64ea2a2.4Additional DomainsEvaluate additonal domains for inclusion in NIEM_34c580ea-6639-11e0-abc4-45677a64ea2a3DOMAIN DEVELOPMENT STATUS -- NIEM continues to grow and mature on several fronts. Various Communities of Interest (COIs) have realized the model’s potential not only on a technical level, but in its mature governance structure and community participation. These COIs are making a strategic investment in the program through participation in the domain “stand-up” process. The domains noted below are a sample set that are currently under evaluation for inclusion into NIEM. Based on this assessment, NIEM has the potential for strong growth. New communities of interest will explore the possibility of adding content to NIEM to help facilitate information exchange. Consideration of these new activities will be managed by the NIEM PMO. Most notably will be the requirement for the capability for new domains to understand the NIEM engagement model, for better self-service tools for domains that will allow the program to scale, and concerns on expanding effective governance.Planning and AccountabilityForm a Planning and Accountability (Management) domain_34c58220-6639-11e0-abc4-45677a64ea2a3.1Planning and Accountability (Management) -- The NIEM Program Management Office (NIEM PMO) is assisting the Department of Health and Human Services (HHS) in support of the of creation of OMB Exhibit 53 and TechStat NIEM-conformant Information Exchange Package Documentation (IEPDs) in support of agency submissions to the Federal IT Dashboard. A NIEM-conformant OMB Exhibit 300 IEPD is anticipated to be created and implemented in the FY2011 timeframe. Elements contained within each IEPD may be used to form a future domain within the model.HealthDevelop a health information exchange framework based on NIEM to support the Nationwide Health Information Network (NHIN) _34c58360-6639-11e0-abc4-45677a64ea2a3.2Nationwide Health Information Network (NHIN)Department of Health and Human ServicesHealth -- The Department of Health and Human Services, Office of the National Coordinator (ONC) for Health Information Technology, is leading the development of a health information exchange framework based on NIEM to support the Nationwide Health Information Network (NHIN). The development includes health information exchange definitions and standards, within the NIEM framework, and use cases for testing transactions. This work will lead to the creation of a NIEM Health domain. ONC has solicited bids from vendors to assist in the creation of a standards and interoperability factory that would provide a consistent information exchange.Human ServicesBuild a Human Services domain_34c584b4-6639-11e0-abc4-45677a64ea2a3.3Office of Child Support EnforcementDepartment of Health and Human Services, Administration for Children and Families’ (ACF)Department of Health and Human ServicesDepartment of EducationDepartment of LaborDepartment of AgricultureDepartment of Veterans AffairsHuman Services -- The Department of Health and Human Services, Administration for Children and Families’ (ACF), Office of Child Support Enforcement formally adopted a NIEM-enabled information exchange known as the Child Support and Court/Judicial Message Exchange Data Model. This model was formed from a multi-year collaboration with the National Center for State Courts and the child support enforcement community to automate the exchange of data between child support enforcement agencies and the court system. This effort formed the foundation of the Family Services domain which was released in September of 2009 as part of NIEM version 2.1. The Family Services domain initially focused on children, but current efforts have refocused the effort more broadly which may lead to the establishment of a Human Services domain. The future plan for the Human Services domain is to build upon the solid foundation provided by the current Family Services domain by including additional support for child welfare and child support due to the child-centric information exchange requirements with the Department of Education, Department of Labor, Department of Agriculture, and Department of Veterans Affairs.Semantic WebLearn more about the semantic web and how it aligns with NIEM_34c58612-6639-11e0-abc4-45677a64ea2a4SEMANTIC WEB EXPLORATION -- The NIEM PMO endeavors to maintain its cutting edge while ensuring all technological decisions made do not adversely affect the current NIEM domains and communities of interest, or detract from the overall value of the model. Changes to the NIEM model, whether on a business or architectural level, must bring value to the domains and communities currently represented. Strong governance prevents the program from moving too fast and too far ahead of its stakeholders. Recently, the NIEM PMO started a dialogue with semantic web technology advocates, including Sir Tim Berners-Lee, the inventor of the World Wide Web, to learn more about the semantic web and how it aligns with NIEM. His vision, as stated in 1999, “I have a dream for the Web [in which computers] become capable of analyzing all the data on the Web – the content, links, and transactions between people and computers. A ‘Semantic Web’, which should make this possible, has yet to emerge, but when it does, the day-to-day mechanisms of trade, bureaucracy and our daily lives will be handled by machines talking to machines.” The strategy of semantic web was discussed including current usage within the federal government, through implementation of Data.gov. The NIEM PMO has taken the following action items to understand and assess where semantic web aligns with the goals of the NIEM program. With the expansion of Data.gov and expanding conversations on Linked Data, the importance of understanding higher level information architecture frameworks will rise to the top of the conversation across government agencies. In FY2011 it is expected that NIEM PMO will be working towards understanding of the capabilities of semantic web through a Resource Description Framework (RDF) representation of the NIEM framework.Technological UnderpinningsBetter understand the technological underpinnings of the semantic web_34c58798-6639-11e0-abc4-45677a64ea2a4.1Information ExchangeUnderstand open versus closed information exchange and development constraints within the semantic web context_34c58932-6639-11e0-abc4-45677a64ea2a4.2RDFDetermine a path to implement the NIEM model in a Resource Description Framework (RDF) format_34c58ad6-6639-11e0-abc4-45677a64ea2a4.3IncentivesUnderstand, articulate, and communicate the incentives of moving to the semantic web_34c58c84-6639-11e0-abc4-45677a64ea2a4.4ToolsUnderstand the tools available that support the RDF format_34c58e32-6639-11e0-abc4-45677a64ea2a4.5Technical EvolutionAssess how time and resources will be invested in determining the technical evolution of the model_34c59044-6639-11e0-abc4-45677a64ea2a4.6Legal IssuesIdentification and assessment of applicable legal issues concerning NIEM exchanges and cross domain development_34c591f2-6639-11e0-abc4-45677a64ea2a4.7Next Steps[Encourage] agency and line of business leadership to solidify their strategies for NIEM implementation_34c593b4-6639-11e0-abc4-45677a64ea2a5Many opportunities exist to develop consistent policies, processes, and governance capabilities, with regard to agency information exchange, each supporting the establishment of common definitions of data and information available within each agency. Agencies would be able to identify high-value information assets by mission capability, foster new cross-boundary sharing and collaboration, and establish new information exchanges. Moving forward from this assessment, several actions should be taken by agency and line of business leadership to solidify their strategies for NIEM implementation:GovernanceEstablishing centralized governance. _34c59576-6639-11e0-abc4-45677a64ea2a5.1A few agencies have an existing information exchange model with varying levels of governance in practice today. However, some agencies lack coordination amongst the various components that make up the enterprise which results in semantic overlap and lack of common standards. This lack of coordination would be remedied through the evaluation and adoption of the NIEM framework. Agencies should assess their current governance structure and identify a target state that aligns with the NIEM framework’s governance best practices. Additionally, a centralized governance plan should be created that demonstrates the agency’s commitment in ensuring that their information exchange model doesn’t become obsolete due to inadequate governance. Specifically, they should consider: * NIEM governance capabilities in program management of the technical, business and communications aspects of the agency specific information exchange with consideration of federal, state, local, tribal, or private organization stakeholders as representation should be inclusive to their needs as well as the agency’s needs; and * NIEM reuse capabilities in establishing a repository, whether model or mission specific, to allow for the search and discovery of implemented information exchanges while a central authority, e.g. Program Management Office, maintains governance over the expected artifacts and quality that comprise the information exchange and enhance the ability for reuse to occur.GuidelinesDeveloping and implementing information exchange guidelines. _34c59742-6639-11e0-abc4-45677a64ea2a5.2Agencies should develop NIEM implementation plans to identify the relevant strategies and steps towards integrating the NIEM framework into their information exchange practices. They should:Programs, Policies and Institutional ProceduresEvaluate key information exchange programs, policies and institutional procedures as candidates for NIEM integration._34c59922-6639-11e0-abc4-45677a64ea2a5.2.1For example, although agencies have a well-defined Systems Development Life Cycle (SDLC) for system delivery, only some have a defined process for information exchange development or a ‘go-to’ standard for exchange development.Information Exchange KnowledgeDetermine gaps in information exchange knowledge and attend requisite training based on agency role_34c59b0c-6639-11e0-abc4-45677a64ea2a5.2.2Best Practices and ExperiencesAdopt established best practices and experiences from other agencies that have implemented the framework for inclusion into the NIEM implementation plan_34c59d0a-6639-11e0-abc4-45677a64ea2a5.2.3Participation and EngagementParticipate in community discussion; stay engaged in the framework._34c59f08-6639-11e0-abc4-45677a64ea2a5.2.4Sharing AgreementsCreating collaborative sharing agreements. _34c5a124-6639-11e0-abc4-45677a64ea2a5.3Agencies do not always have the right points of contact within external agencies – which can hinder interagency collaboration. In addition, agencies do not have a complete understanding of what an external agency has available to share to enable improved decision making and mission performance. Agencies should:InventoryAssess and develop an inventory of data and information exchange assets that are available within their agency and department/bureau organizations_34c5a336-6639-11e0-abc4-45677a64ea2a5.3.1Strategic AlignmentCategorize the assets by mission to ensure alignment with stated agency goals and to demonstrate value_34c5a55c-6639-11e0-abc4-45677a64ea2a5.3.2Standardization Methodology and GuidanceDevelop a methodology and guidance for standardizing agency sharing agreements, with respect to the agency’s identified data and information assets, thereby enhancing mission performance and increasing efficiency by establishing critical information flows, and identifying areas requiring legal compliance._34c5a7aa-6639-11e0-abc4-45677a64ea2a5.3.3Maturity DevelopmentDeveloping enterprise data management maturity. _34c5a9e4-6639-11e0-abc4-45677a64ea2a5.4Data management and information exchanges are essential to effectively share information across agencies. Sound data management practices provide the architectural foundation for the information that is to be exchanged by making the underlying data visible, accessible, understandable and trusted. Agencies should:Organizational StructureIdentify and document their data management organizational structure at the agency and department/bureau levels_34c5ac14-6639-11e0-abc4-45677a64ea2a5.4.1Maturity AssessmentDevelop, assess, and document their Data Management Maturity level across agency and department/bureau levels_34c5aef8-6639-11e0-abc4-45677a64ea2a5.4.2Operationalization AssessmentAssess operationalization of the Data Reference Model_34c5b13c-6639-11e0-abc4-45677a64ea2a5.4.3Conceptual Data ModelDocumenting and sharing the agency-wide Enterprise Conceptual Data Model_34c5b380-6639-11e0-abc4-45677a64ea2a5.4.3.1Logical Data ModelDocumenting and sharing the agency-wide Enterprise Logical Data Model _34c5b628-6639-11e0-abc4-45677a64ea2a5.4.3.2MappingMapping the agency-wide Enterprise Logical Data Model to NIEM, or an agency specific information exchange model._34c5b84e-6639-11e0-abc4-45677a64ea2a5.4.3.3CompletionCompletion of Evaluations_34c5ba74-6639-11e0-abc4-45677a64ea2a5.5Agencies currently evaluating the NIEM framework within the context of their current architecture and processes should drive those evaluations to completion. The outcomes of current evaluations should be provided to OMB within six months.2010-06-112011-04-13http://www.cio.gov/documents/3.12.1-NIEM-Assessment%20Report_Final_Master.pdfOwenAmburOwen.Ambur@verizon.net