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Appendix. Government Interoperability Improvement Framework

Level 1
Level 2
Level 3
Capability Dimensions for Developing and Managing Government Interoperability Initiatives
The existence of appropriate decision making rules and procedures to direct and oversee government interoperability initiatives that are planned or underway. Also, to ensure that government interoperability investments (in IT and other resources) align with priorities and goals defined in strategic plans or by legislative and executive leadership. Governance structures should support and work closely with legal frameworks to enable new ways of sharing resources including money and data.
Strategic Planning
The quality and comprehensiveness of strategic plans and strategic planning processes, including resources and integration of planning with other elements of governance and management.
Business Case Development
The existence of processes and tools to develop a well-reasoned argument designed to convince key stakeholders of the benefits of a particular investment. This includes a problem statement, mission or visions statement, stakeholder analysis, expected benefits and potential risks, cost estimates, and funding sources.
Project Management
The availability and use of mechanisms for goal and milestone setting, scheduling development and production activities, analyzing resource needs, managing interdependencies among activities and goals, and provisions to anticipate and respond to contingencies.
Resource Management
The extent of effective and sustainable use of financial, human, and technical resources through budgeting, strategic plans, financial analyses, and accepted financial management procedures and practices.
Stakeholder Identification & Engagement
The extent of awareness of and interaction with the persons or groups with an interest in the information sharing initiative and capacity to influence it. This dimension is based on stakeholder analyses, staff experience and knowledge, records or reports of participants in making policy and decisions, and membership of advisory or constituent groups.
Leaders & Champions
The involvement of leaders and champions. Leaders motivate, build commitment, guide activities, encourage creativity and innovation, and mobilize resources; they see the goal clearly and craft plans to achieve it. Champions communicate a clear and persuasive vision for an initiative, provide the authority and legitimacy for action, and build support in the environment.
Business & Technology Architectures
The degree to which government has developed business and technology architectures that describe the existing service and operational components of organizations and networks of organizations and how they are connected to each other through business processes and technologies.
Performance Evaluation
The presence of the skills, resources, and authority necessary to observe, document, and measure: (1) how well investments are developed and implemented, (2) whether goals are achieved, and (3) how the performance of the government is improved.
Information Sharing Capabilities
Collaboration Readiness
The degree to which relationships among information users and other resources support collaboration. Examples include staff, budget, training, and technology that support collaboration as well as prior successes or failures in collaborative activities.
Organizational Compatibility
The degree to which the work styles and interpersonal relationships, participation in decision-making, levels of competition and collaboration, and styles of conflict resolution support information sharing. Compatibility of cultures may be gauged by the degree of centralization, degree of conformity, deference to authority, adherence to rules, and symbols of status and power.
Information Policies
The level of development of policies that deal with the collection, use, dissemination, and storage of information as well as with privacy, confidentiality, and security.
Change Acceptance
The extent of talk and actions expressing positive or negative attitudes toward workplace changes, trust of new tools and techniques, success or failure stories that are widely shared and believed, and enthusiasm for innovations.
Technology Knowledge
The levels of knowledge about current and emerging technology for information sharing, including technical qualifications and experience of staff, training, records and documentation of technology assets, and the actions of staff in compiling, storing, and sharing such knowledge.
Data Assets & Requirements
The extent of specification and identification of formal policies for data collection, use, storage, and handling, as found in documentation of databases and record systems; and in data quality standards and dictionaries. It may include procedures for and results of data requirement analyses and data models and modeling techniques.
Information Systems & Requirements
The degree to which appropriate security protocols for data, applications, systems, and networks as well as policies, training, and management practices are in place.
Secure Environment
The presence of agreed-upon standards for hardware and software, the extent of connectivity among the persons and organizations seeking to share information, and the experiences of staff with information sharing activities.
Technology Compatibility
The degree to which relationships among information users and other resources support collaboration; these include staff, budget, training, and technology, and prior successes or failures in collaborative activities.