Peterson Air Force Base Colorado 80914-4100 19 November 1993



This regulation establishes interoperability and standardization (I&S) guidance policy for the Commander in Chief, North American Aerospace Defense Command (CINCNORAD), and the Commander in Chief, United States Space Command (USCINCSPACE). It applies to Headquarters (HQ) North American Aerospace Defense Command (NORAD) and its supporting commands and responsible agencies, and to HQ United States Space Command (USSPACECOM) and its components. Note: USSPACECOM/J4L is the office of primary responsibility for interoperability and standardization guidance within NORAD/USSPACECOM.

1. Introduction:

1.1. Purpose. This regulation establishes policy and organizational responsibilities for the establishment, management, and use of I&S guidance for all systems supporting NORAD and USSPACECOM mission areas.

1.1.1. The basic goal is to improve the effectiveness and efficiency of systems supporting NORAD/US-SPACECOM (N/SP) missions through increased interoperability and standardization. This is done by establishing and applying sound I&S guidance. Other specific objectives are to increase community involvement in the development of I&S guidance; increase community awareness of the existence of I&S guidance; improve community support for the implementation of approved I&S guidance; and provide a single focal point for all standardization efforts affecting N/SP missions.

1.2. Scope. Guidance approved under this policy is mandated for use in systems being acquired or maintained in support of NORAD/USSPACECOM missions.

1.3. Applicable Documents. The following documents are pertinent to the implementation of this regulation.

1.3.1. DoD Directive 5000.1, Defense Acquisition.

1.3.2. DoD Directive 5000.2, Defense Acquisition Management Policies and Procedures.

1.3.3. DoD Directive 8000.1, Defense Information Management (IM) Program.

1.3.4. DoD Instruction 8120.2, AIS Life-Cycle Management Process.

1.3.5. DoD Technical Architecture for Information Management, Program Management Plan.

1.3.6. DoD Technical Reference Model for Information Management, Version 1.3.

No. of Printed Pages: 6
OPR: SPJ4L (Capt Vern Veglia)
Approved By: Maj General Phillip E. Bracher
Editor: Pam Gatson
Distribution: F
1.3.7. DoD 4120.3-M, Defense Standardization Program.

1.3.8. MIL-STD-962B, Preparation of Military Standards, Handbooks, and Bulletins.

1.3.9. MIL-STD-970, Order of Precedence for Selection of Standards and Specifications.

1.3.10. USSPACECOM Command, Control, Communications and Computers Systems Master Plan (C4SMP), Appendices G & H.

1.3.11. NR 57-1, The NORAD Operational Requirements System.

1.3.12. NR/UR 102-1, The NORAD/USSPACECOM Integrated Command and Control System (NUICCS) Mission Systems Integration Process.

1.3.13. UR 57-1, USSPACECOM Operational Requirements System.

2. Terms and Definitions:

2.1. Action Plan. A formal plan outlining the proposed guidance development process and schedule to satisfy interoperability and standardization requirements.

2.2. Approval. The act of endorsing guidance for use in the acquisition, modification, operation, and/or support of systems that support NORAD/USSPACECOM missions. Approval indicates that the policies of this regulation were followed during the development of I&S guidance and mandates the use of the guidance across the Command.

2.3.Community. All organizations whose functions affect or support systems that affect N/SP missions.

2.4. Compliance Criteria. DoD dictates that planning for the use of standards should be accomplished during each phase of the acquisition life cycle. Compliance criteria are those things (specific to the standard) that can be evaluated at the various checkpoints (i.e., acquisition milestones, certification, testing, etc.) in a system life cycle to ensure the system is in compliance with the standard.

2.5. Development. As used in this regulation, the process of creating new guidance or adopting/tailoring existing guidance.

2.6. Interoperability and Standardization Guidance. Assists program planning by describing what to build into a system(s) or a part of a system(s) to accomplish operational and functional requirements in a system-of-systems. Standards, profiles, technical architectures, technical reference models, and engineer-ing tenets and principles are all types of I&S guidance.

2.6.1. Standard. As per JCS Publication 1-02, DoD Dictionary of Military and Associated Terms; an exact value, a physical entity, or an abstract concept, established and defined by authority, custom, or common consent to serve as a reference, model, or rule in measuring quantities or qualities, establishing practices or procedures, or evaluating results. A fixed quantity or quality.

2.6.2. Profile. A set of one or more standards, and where applicable, the identification of chosen classes, subsets, options and parameters of those standards, necessary for accomplishing a particular function.

2.6.3. Technical Architectures. A technical architecture is an aggregate or set of elements systematically associated and structured to accomplish a purpose and is characterized by the unique organization of its elements.

2.6.4. Technical Reference Model. A framework to promote an open systems environment. It defines a logical baseline for acquiring information technology products and services based on open systems standards that support applications software, communication interface, protocol, or data element portability and interoperability. A technical reference model provides a foundation for a consistent design.

2.6.5. Engineering Principles. Fundamental characteristics required in a system(s) to accomplish opera-tional requirements; they define the essential attributes of the desired system(s).

2.6.6. Engineering Tenet. An amplification of engineering principles in more concrete terms. The tenets are intended to be used as an additional set of criteria for determining and assessing requirements and design alternatives.

2.7. Interoperability. As per JCS Publication 1-02, the ability of systems, units or forces to provide services to and accept services from other systems, units, or forces and to use the services so exchanged to enable them to operate effectively together. The condition achieved among communication-electronics systems or items of communications-electronics equipment when information or services can be exchanged directly and satisfactorily between them and/or their users. The degree of interoperability should be defined when referring to specific cases.

2.8. Open Systems Environment. The disciplined, rigorous systems interoperability concept as embodied in the international Open Systems Interconnection (OSI) standard. Specific benefits of implementing open specifications for interfaces, services, and supporting formats are: interoperability with other local/remote systems; software scalability across a wide range of systems; and user portability across systems because of common interaction styles. Open systems are standards-based, vendor neutral, and consensus maintained.

2.9. Portfolio. Set of all approved profiles and standards endorsed for use in all systems that support NORAD/USSPACECOM missions.

2.10. Standardization. As per JCS Publication 1-02, the process by which DoD achieves the closest practicable cooperation among the Services and Defense agencies for the most efficient use of research, development, and production resources, and agrees to adopt on the broadest possible basis the use of: common or compatible operational, administrative, and logistic procedures; common or compatible tech-nical procedures and criteria; common, compatible, or interchangeable supplies, components, weapons, or equipment; and common or compatible tactical doctrine with corresponding organizational compatibility.

3. General Policy: This section outlines a minimally acceptable framework to ensure establishment of consistent and useful I&S guidance.

3.1. I&S Guidance Portfolio. The portfolio is a repository for information about approved N/SP I&S guidance. To ensure the use of I&S guidance within systems under development or modification, this portfolio, and its applicable sections, shall be called out in the requirements documentation. In addition, it may be used as a resource by the acquisition community seeking a standardization solution for a particular problem. I&S guidance must meet the following criteria to be eligible for inclusion within the portfolio:

3.1.1. Promotes an open systems environment.

3.1.2. Promotes improved user/operator effectiveness through standard user/operator interfaces.

3.1.3. Promotes system and product development efficiency through resource sharing and reuse.

3.1.4. Promotes the use of integration principles and processes that improve product quality and producibility.

3.1.5. Promotes standard product designs.

3.1.6. Promotes the use of commercial and government off-the-shelf products.
3.1.7. Promotes system and product designs that are scalable and portable.

3.1.8. Promotes standard and consistent security interfaces.

3.2. Basic Policy Tenets. I&S guidance contained in the I&S Guidance Portfolio is mandatory for use in acquiring or modifying systems that support N/SP mission areas. The requirements of the N/SP I&S guid-ance policy are as follows:

3.2.1. Interoperability and standardization are essential considerations in N/SP programs.

3.2.2. Due consideration is given to the nationally approved hierarchy of guidance as stated in MIL-STD 970: Mandatory by law (International & Federal), Non-Government (voluntary or industry), Federal, Military, DoD component, Federal not related to DoD, Local Government, and others.

3.2.3. N/SP components and supporting commands adopt or tailor existing non-government and government I&S guidance that is of benefit to N/SP and meets basic I&S guidance criteria.

3.2.4. Where existing I&S guidance from other sources does not meet N/SP requirements, components and supporting commands create and maintain I&S guidance.

3.2.5. I&S guidance shall be developed with full participation and involvement by all the interested com-munity, and techniques common to industry and professional standardization bodies.

3.2.6. The DoD Information Management (IM) policy directives and the Technical Architecture for IM are essential considerations. The DoD Technical Reference Model (TRM) framework and the associated Archi-tecture Guidance and Design Concepts shall be used as a basis for developing or adopting I&S guidance.

3.2.7. I&S guidance must support multiple mission areas and operational concepts. It must enhance mission effectiveness and system efficiency by promoting interoperability and/or standardization. In addi-tion, guidance must be consistent with existing N/SP technical environments, functional areas, and/or architectures.

3.2.8. I&S guidance supports and promotes the open systems environment goals of interoperability, scalability, and portability. Component/supporting commands should avoid technical solutions that lock in specific technologies.

3.2.9. I&S guidance supports interoperability of command, control, communication, and computer systems by promoting seamless interfaces.

3.2.10. All I&S guidance is composed and formatted to ensure uniformity (e.g. in accordance with MIL-STD-962). In addition, conformance criteria must be included within the guidance. This facilitates compliance testing and enable independent verification and validation.

3.3. Required Actions. The following are actions required for the establishment of N/SP I&S guidance:

3.3.1. Action Plan. To ensure I&S guidance efforts are according to this regulation, the guidance developer submits an action plan to SPJ4L. This plan contains, as a minimum, a formal outline of the proposed guid-ance development process, schedule, POC(s), applicable title(s), proposed identification number(s), subject abstract, and any other pertinent information for inclusion in the SPJ4L guidance project data base.

3.3.2. Periodic Review. I&S guidance is reviewed periodically to ensure currency and relevancy. As a minimum, the guidance is reviewed every five years. Results and action items are forwarded to SPJ4L for inclusion in the I&S guidance project data base.

3.3.3. Approval. To be approved as N/SP I&S guidance, the guidance must adhere to the policy as stated in this regulation. All N/SP I&S guidance will be approved by USSPACECOM/J4-J6 before publication. A final copy of proposed I&S guidance shall be provided to SPJ4L. SPJ4L will staff proposed I&S guidance through the NORAD/USSPACECOM J-Staff.

3.3.4. Waivers and Deviations. Waivers and deviations to approved I&S guidance can only be granted by USSPACECOM/J4-J6. For mandatory national or DoD guidance, waivers and deviations can only be granted by appropriate authority and USSPACECOM/J4-J6 serves as the requesting agency. In either case, the POC is SPJ4L. Provide requests for waivers and deviations to SPJ4L for processing.

3.3.5. Publish and Distribute. Component/supporting commands provide abstracts and copies of the I&S guidance to SPJ4L for inclusion in the N/SP I&S guidance portfolio. SPJ4L ensures a copy of the approved guidance is available to all organizations who develop, acquire, operate, or maintain systems that support NORAD/USSPACECOM missions.

4. Roles and Responsibilities:


4.1.1. Ensures compliance with approved N/SP I&S guidance. The I&S guidance portfolio is referenced in appropriate requirements documents.


4.2.1. Is the approval authority for all NORAD/USSPACECOM I&S guidance.

4.2.2. Mediates any discrepancies and disagreements that remain unresolved after the coordination cycle is completed.

4.2.3. Approves/disapproves waivers/deviations for guidance under its purview.

4.2.4. Serves as requesting agency for waivers/deviations for guidance not under its purview.


4.3.1. Enacts and maintains NR/UR 60-101.

4.3.2. Provides management oversight. Ensures compliance with the policy outlined in this regulation.

4.3.3. Is focal point for N/SP I&S guidance.

4.3.4. Tasks the appropriate Service component or supporting command to satisfy specific I&S guidance requirements.

4.3.5. Participates in guidance establishment committees and working groups.

4.3.6. Consolidates and documents functional requirements that drive I&S guidance.

4.3.7. Staffs proposed I&S guidance through NORAD/USSPACECOM.

4.3.8. Maintains community distribution list.

4.4. Component Commands or Supporting Commands:

4.4.1. Reference I&S guidance portfolio in appropriate requirements documents.

4.4.2. Provide an action plan for each I&S guidance tasking.

4.4.3. Manage selection and development of I&S guidance for their area of influence.

4.4.4. Charter working groups to adopt, tailor, or develop I&S guidance.

4.4.5. Ensure compliance with approved I&S guidance.

General, USAF
Commander in Chief

Colonel, USAF
Director of Information Management