Bidders Library JITC Instructions - JITCI 380-50-02.pdf

DEFENSE INFORMATION SYSTEMS AGENCY

P.O. BOX 549

FORT MEADE, MARYLAND 20755-0549

JITC Instruction 380-50-02* 9 January 2017

INTEROPERABILITY

JITC Interoperability and Standards Conformance Test and Evaluation (T&E) and Certification Instruction

1. Purpose. This instruction prescribes policy and assigns responsibilities for JITC joint interoperability and standards conformance T&E and certification of Department of Defense (DoD) Information Technology (IT), including National Security Systems (NSS) and Defense Business Systems. This instruction does not preclude the need to refer to guidance and direction in applicable DoD interoperability policy documents. This edition of the instruction incorporates policy previously contained in JITC Instruction (JITCI) 210-85-01, “Documentation of Test, Evaluation, and Certification Activities.”

2. Applicability. This instruction applies to all JITC military and civilian personnel and contractors engaged in performing interoperability and standards conformance T&E and certification efforts on behalf of JITC.

3. Authority. This instruction implements DoD policy for joint interoperability of IT, including NSS (primarily DoD Instruction 8330.01).

4. References. See reference section.

5. Definitions. See glossary of definitions and acronym list sections.

6. Policy. All JITC personnel will use and comply with the provisions of this instruction and referenced guidance in performing Joint Interoperability Certification, Standards Conformance Certification, and associated T&E. JITCI 210-85-01 is hereby cancelled; however, the companion “JITC Guide to Test Documentation” remains in effect to specify required content and format of plans and reports, as required by this instruction.

7. Implementation and Supplementation. JITC divisions will implement the policy, processes, and procedures covered by this instruction to conduct interoperability and standards conformance T&E and certification. This instruction will not be supplemented without the prior approval of the Chief, Strategy, Plans, and Engineering Division (JT4).

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8. Exceptions. Submit all requests to waive provisions of this instruction to the Chief, Strategy, Plans, and Engineering Division (JT4). JT4 will forward requests to remove programs/systems from the Commander’s Watch List (CWL) to the JITC Commander. JT4 will facilitate requests to waive provisions of DoD interoperability policy with the DoD Chief Information Officer (CIO) in accordance with the JITC Interoperability Process Guide (IPG). All requests need to be coordinated through the respective Division Chief.

9. Responsibility. See Chapter 2 for roles and responsibilities.

10. Effective Date. This instruction is effective immediately and remains in effect until superseded or replaced. All JITC T&E and certification methodologies and products will comply with the provisions of this instruction no later than three (3) months after publication.

The instruction will be reviewed annually for reissue, revision, or elimination, and upon any significant changes in DoD interoperability policy.

ERIC JOHNSON

CAPTAIN, USN

Commander

SUMMARY OF SIGNIFICANT CHANGES. Changes include a new document structure, planning activities and artifacts required for a joint interoperability certification, updated documentation requirements, and reflect policy changes due to issuance of DoD Instruction 8330.01, “Interoperability of Information Technology (IT), Including National Security Systems (NSS),” and related DoD interoperability policy and procedures.

* This instruction supersedes JITCI 380-50-02, dated 10 September 2010

OPR: JT4

DIST: All JITC Civilians, Military, and Contractor Personnel iii

CONTENTS

BASIC INSTRUCTION

1. Purpose

2. Applicability

3. Authority

4. References

5. Definitions

6. Policy

7. Implementation and Supplementation

8. Exceptions

9. Responsibility

10. Effective Date

C1 CHAPTER 1. JOINT INTEROPERABILITY OVERVIEW

C1.1 Overview C1.2 Policy Guidance C1.3 Document Design

C2 CHAPTER 2. ROLES AND RESPONSIBILITIES

C2.1 Overview C2.2 Command Responsibilities C2.3 JITC Action Officers C2.4 Supporting JITC Elements

C3 CHAPTER 3. REQUIREMENTS GENERATION

C3.1 Overview C3.2 Net-Ready Key Performance Parameter C3.3 Information Support Plan C3.4 JCIDS Documents C3.5 Review Rules C3.6 Requirements Document Review C3.7 Classified Document Considerations C3.8 Minimum Set of Architecture Information C3.9 Alternate Interoperability Certification Requirements iv

C4 CHAPTER 4. PLANNING

C4.1 Overview C4.2 Project Management C4.3 Evaluation Planning C4.4 Test Planning C4.5 Joint Interoperability T&E In-Progress Review (Joint IOP T&E IPR) C4.6 Quality Activities

C5 CHAPTER 5. TEST AND EVALUATION

C5.1 Test & Evaluation Overview C5.2 Testing Timeline C5.3 Life-Cycle Certification Processes C5.4 Lead Action Officer C5.5 Interoperability T&E and Certification Products C5.6 Other JITC Interoperability T&E and Certification Considerations C5.7 JITC Reporting and Certification Determination C5.8 Operational Test Readiness Review Interoperability Statement C5.9 Test Environment: Cybersecurity Assessment C5.10 Operational Test and Evaluation

C6 CHAPTER 6. REPORTING (Staffing, Distribution, and Archiving)

C6.1 Overview C6.2 Commander’s Watch List C6.3 Joint Interoperability T&E Products Review C6.4 Document Staffing, Distribution, and Archiving Tools C6.5 Summary of Tools Supporting Joint IOP T&E

C7 CHAPTER 7. STANDARDS CONFORMANCE CERTIFICATION PROCESS

C7.1 Standards Conformance Certification Overview C7.2 Characteristics of Standards Conformance and Standards Compliance Testing C7.3 Standards Policy C7.4 Sources of Standards C7.5 National Information Exchange Model (NIEM) C7.6 Reporting Test Results C7.7 Standards Conformance Testing Products C7.8 Standards Compliance Products v

C8 CHAPTER 8. UNIFIED CAPABILITIES PROCESSES

C8.1 DoD Approval to Use Commercial Technology C8.2 Unified Capabilities Distributed Testing C8.3 Strategy for Acquiring Unified Capabilities and Support Services

C9 CHAPTER 9. INTERIM CERTIFICATE TO OPERATE (ICTO)

C9.1 ICTO Overview C9.2 ICTO Approval Guidelines C9.3 ICTO Approval Process C9.4 JITC’s ICTO Role C9.5 ICTO Request Procedures C9.6 JITC ICTO Processing

C10 CHAPTER 10. WAIVER TO POLICY PROCESS

C10.1 Waiver Process Overview C10.2 Waiver to Policy Criteria C10.3 Waiver Request Overview C10.4 JITC Internal Review C10.5 Unified Capabilities Waiver Requests

LIST OF FIGURES

1-1 Joint Interoperability T&E and Certification Policy, Processes, and Guidance

2-1 Key JITC Elements with Test & Evaluation, Certification, and Interoperability Functions

3-1 NR KPP’s Three Attributes 3-2 ISP Review Process Using GTG-F IAM

4-1 Joint T&E Process Overview 4-2 Example Joint Interoperability T&E Planning Schedule 4-3 Planning Products and In-Progress Reviews

5-1 Testing Timeline 5-2 System Life-Cycle Certification Process 5-3 Certification Extension Process 5-4 JITC OTRR Readiness Evaluation

6-1 JITC Staffing and Review Process 6-2 Document Management Toolsets vi

LIST OF FIGURES (continued)

7-1 DoD Standards Policy 7-2 Key Standards Terms 7-3 DoD IT Standards Registry 7-4 A Tool to Research and Analyze Standards and Risks 7-5 JITC JSR Team Supports Standards and Risk Assessment 7-6 Major Standards Organizations 7-7 Standards Certification Process

9-1 JITC Considerations for ICTO

10-1 Conditions to Grant a Waiver to Policy

LIST OF TABLES

3-1 Classified Document Considerations vii

REFERENCES

Department of Defense (DoD)

• DoD Directive (DoDD) 5000.01, “The Defense Acquisition System,” May 12, 2003, certified current as of November 20, 2007.

• DoD Instruction (DoDI) 5000.02, “Operation of the Defense Acquisition System,” January 7, 2015

• DoDI 8100.04, “DoD Unified Capabilities (UC),” December 9, 2010

• DoDI 8310.01, “Information Technology Standards in the DoD,” February 2, 2015

• DoDI 8320.02, “Sharing Data, Information, and Information Technology (IT) Services in the Department of Defense,” August 5, 2013

• DoDI 8330.01, “Interoperability of Information Technology (IT), Including National Security Systems (NSS),” May 21, 2014

• DoDI 8500.01, “Cybersecurity,” March 14, 2014

• “DoD Architecture Framework,” http://dodcio.defense.gov/Library/DoD-Architecture- Framework/

• Defense Standardization Program (DSP) Acquisition Streamlining and Standardization Information System (ASSIST) database, http://www.dsp.dla.mil/Specs-Standards/

• DoD Information Technology (IT) Portfolio Registry (DITPR), https://ditpr.dod.mil/

• DoD Chief Information Officer (CIO) Interoperability Steering Group (ISG) website, http://jitc.fhu.disa.mil/projects/isgsite/index.aspx

Chairman of the Joint Chiefs of Staff (CJCS)

• CJCS Instruction (CJCSI) 3170.01I, “Joint Capabilities Integration and Development System

(JCIDS),” 23 January 2015

• CJCSI 5123.01G, “Charter of the Joint Requirements Oversight Council (JROC),” 12 February 2015

• Content Guide for the Net-Ready KPP Wiki Page, https://intellipedia.intelink.gov/wiki/Content_Guide_for_the_Net-Ready_KPP [This guide augments the JCIDS Manual (Appendix E to Enclosure D) and replaces the JS NR KPP Wiki Page (formerly referred to as the NR KPP Manual)]

• “Manual for the Operation of the Joint Capabilities Integration and Development System (JCIDS)” (“JCIDS Manual”), 12 February 2015, including errata as of 18 Dec 2015 http://dodcio.defense.gov/Library/DoD-Architecture-Framework/ http://dodcio.defense.gov/Library/DoD-Architecture-Framework/ http://www.dsp.dla.mil/Specs-Standards/ https://ditpr.dod.mil/ http://jitc.fhu.disa.mil/projects/isgsite/index.aspx https://intellipedia.intelink.gov/wiki/Content_Guide_for_the_Net-Ready_KPP viii

Defense Information Systems Agency (DISA)

• Global Information Grid Technical Guidance Federation (GTG-F) website, https://gtg.csd.disa.mil/uam/homepage

• Unified Capabilities Requirements (UCR), http://www.disa.mil/Network- Services/UCCO/Policies-and-Procedures

• Unified Capabilities (UC) Approved Products List (APL) Process Guide, http://www.disa.mil/Services/Network-Services/UCCO/

Joint Interoperability Test Command (JITC)

• JITC Action Officer’s (AO’s) Guide, https://disa.deps.mil/org/JT1/JT1A/JITC%20Instruction%20Updates/Forms/AllItems.aspx

• JITC Automated Workflow Service (JAWS), https://jitcnet.fhu.disa.mil/scripts/dr/pageDirectory.asp?FD=M~ytV90eZ9w-XCer9

• JITC Distributed Testing Unified Capabilities Implementation Guide, https://jitcnet.fhu.disa.mil/scripts/jist3x/index.aspx (T&E pad)

• JITC Electronic Report Distribution (ERD), https://jit.fhu.disa.mil/tools/erd/index.aspx

• JITC Electronic Report Library (ERL), https://jit.fhu.disa.mil/pages/ERL

• JITC Guide to Test Documentation, see JIST T&E pad

• JITC Hotline, http://jitc.fhu.disa.mil/

• JITC Industry Toolkit (JIT), https://jit.fhu.disa.mil

• JITC Information Sharing Tool (JIST), https://jitcnet.fhu.disa.mil/scripts/jist3x/index.aspx

• JITC Interoperability Process Guide (IPG), Version 2.0, 23 March 2015, http://jitc.fhu.disa.mil/projects/isgsite/pubs.aspx

• JITC Intranet Website, https://jitcnet.fhu.disa.mil

• JITC NR KPP Evaluation Guidebook, see JIST T&E pad

• JITC Public Website, http://jitc.fhu.disa.mil/index.aspx

• JITC System Tracking Program (STP), https://stp.fhu.disa.mil

Other

• International Organization for Standardization (ISO)/International Electrotechnical

Commission (IEC) 9646 standard, http://www.iso.org/iso/home/standards.htm https://gtg.csd.disa.mil/uam/homepage http://www.disa.mil/Network-Services/UCCO/Policies-and-Procedures http://www.disa.mil/Network-Services/UCCO/Policies-and-Procedures http://www.disa.mil/Services/Network-Services/UCCO/ https://disa.deps.mil/org/JT1/JT1A/JITC%20Instruction%20Updates/Forms/AllItems.aspx https://jitcnet.fhu.disa.mil/scripts/dr/pageDirectory.asp?FD=M%7EytV90eZ9w-XCer9 https://jitcnet.fhu.disa.mil/scripts/jist3x/index.aspx https://jit.fhu.disa.mil/tools/erd/index.aspx https://jit.fhu.disa.mil/pages/ERL http://jitc.fhu.disa.mil/ https://jit.fhu.disa.mil/ https://jitcnet.fhu.disa.mil/scripts/jist3x/index.aspx http://jitc.fhu.disa.mil/projects/isgsite/pubs.aspx https://jitcnet.fhu.disa.mil/ http://jitc.fhu.disa.mil/index.aspx https://stp.fhu.disa.mil/ http://www.iso.org/iso/home/standards.htm ix

GLOSSARY OF DEFINITIONS

This section clarifies several key T&E related terms and phrases as they are used throughout this document; it is not a comprehensive list.

Cybersecurity. Prevention of damage to, protection of, and restoration of computers, electronic communications systems, electronic communications services, wire communication, and electronic communication, including information contained therein, to ensure its availability, integrity, authentication, confidentiality, and nonrepudiation. [Defined in National Security Presidential Directive-54/Homeland Security Presidential Directive-23.]

Interoperability. The ability of systems, units or forces to provide data, information, materiel, and services to, and accept the same from, other systems, units, or forces and to use the data, information, materiel and services so exchanged to enable them to operate effectively together.

IT interoperability includes both the technical exchange of information and the end-to-end operational effectiveness of that exchange of information as required for mission accomplishment. Interoperability is more than just information exchange. It includes systems, processes, procedures, organizations, and missions over the lifecycle and must be balanced with cybersecurity. [DoDI 8330.01]

Information Technology (IT). Any equipment, or interconnected system or subsystem of equipment, that is used in the automatic acquisition, storage, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information by the Executive Agency. This includes equipment used by a DoD Component directly, or used by a contractor under a contract with the DoD Component, which requires the use of such equipment, or requires the use, to a significant extent, of such equipment in the performance of a service or the furnishing of a product. The term “IT” also includes computers, ancillary equipment, software, firmware and similar procedures, services (including support services), and related resources. Notwithstanding the above, the term “IT” does not include any equipment that is acquired by a Federal contractor incidental to a Federal contract. The term “IT” includes National Security Systems (NSS). [U.S. Code]

Joint. Connotes activities, operations, organizations, etc., in which elements of two or more Military Departments participate. Used in information interoperability policy to include these and external mission partners: joint, combined, and coalition forces, other U.S. Government departments and agencies (including federal, state, local and tribal), and non-governmental organizations, as appropriate. [IPG - derived from DoDI 8330.01 and other sources]

Joint Interface. A “joint” interface is an interface (as defined in DoDAF models for systems and services, such as the Systems Viewpoint (SV)-1, SV-3, and the various service models) between or among systems or services that is considered “joint” per the definition above…Coalition partners, non-governmental organizations, etc., which share the same physical/logical interfaces will also make an interface “joint.” Not all information exchanges over an interface need to be joint for it to be considered a joint interface. [IPG - derived from multiple sources] x

Joint Information Exchange. An exchange of information/data between/among systems when any system whose mission is joined through a logical connection with a system(s) or data source from an external partner for the purpose of exchanging common data, sharing situational awareness, or partnering to perform a single mission (e.g., when one program such as Identity Management is consumed as part of data reuse efficiencies). Coalition partners, non-governmental organizations, etc., that exchange information produced/consumed/shared or distributed by the system under test will result in “joint” exchanges. Information exchanges include all the data products and waveforms used or produced by the system (including sensor platforms). [IPG - derived from multiple sources]

Joint Interoperability Certification. Joint Interoperability Certification (issued only by JITC) involves an evaluation of information interoperability with respect to certified joint interoperability requirements. Interoperability certifications must be updated throughout a system’s lifecycle to reflect changes in the system, joint interoperability requirements (capabilities), status, and operational environment. [IPG - derived from multiple sources]

Joint Interoperability Requirements. The subset of interoperability requirements (i.e., NR KPP and architecture viewpoints) that address measures used to evaluate joint interoperability.

National Security System (NSS). Information system (including any telecommunications system) used or operated by an agency or by a contractor of an agency, or other organization on behalf of an agency, the function, operation, or use of which: (1) involves intelligence activities;

(2) involves cryptologic activities related to national security; (3) involves the command and control of military forces; (4) involves equipment that is an integral part of a weapon or weapons systems; or (5) is critical to the direct fulfillment of military or intelligence missions. Subsection

(5) in the preceding sentence does not include procurement of automatic data processing equipment or services to be used for routine administrative and business applications (including payroll, finance, logistics, and personnel management applications). [U.S. Code]

Service. A service, in its broadest sense, is a well-defined way to provide a unit of work, through which a provider provides a useful result to a consumer. Services do not necessarily equate to web-based technology or functions, although their use in the net-centric environment generally involves the use of web-based, or network-based, resources. [DoDAF]

System. Refers to IT, including NSS and Defense Business Systems, which provide a capability being evaluated for joint interoperability. The term is used interchangeably with System Under Test, Enterprise Service, and a program of record. These terms are commonly used in the T&E community when referring to a set of software, hardware, and processes that collectively provide a capability. [Derived from multiple sources]

Valid Data. Refers to data that is sufficient to satisfy the T&E objectives (satisfies data collection requirements, test environment is suitable, provides appropriate level of precision, is statistically significant, etc.). [Derived from multiple sources] xi

ACRONYM LIST

ACAT Acquisition Category ANSI American National Standards Institute AO Action Officer APL Approved Products List ASSIST Acquisition Streamlining and Standardization Information System

BCL Business Capability Lifecycle BEA Business Enterprise Architecture

CAC Common Access Card CDD Capability Development Document CIO Chief Information Officer CJCS Chairman of the Joint Chiefs of Staff CJCSI CJCS Instruction CM Configuration Management COTS Commercial-Off-The-Shelf CPD Capability Production Document CRM Comment Resolution Matrix CWL Commander’s Watch List

DBS Defense Business Systems DCR DOTmLPF-P Change Recommendation DEPS DoD Enterprise Portal Service DISA Defense Information Systems Agency DISR DoD IT Standards Registry DITPR DoD Information Technology Portfolio Repository DMAP Data Management and Analysis Plan DoD Department of Defense DoDAF DoD Architecture Framework DoDD DoD Directive DoDI DoD Instruction DoDIN DoD Information Network DOT&E Director, Operational Test and Evaluation DOTmLPF-P Doctrine, Organization, Training, materiel, Leadership and education, Personnel, and Facilities – Policy DSP Defense Standardization Program DT Developmental Testing DT&E Developmental Test and Evaluation

EA Executive Agent EISP Enhanced Information Support Plan ERD Electronic Report Distribution ERL Electronic Report Library ETSI European Telecommunications Standards Institute xii

FCB Functional Capabilities Board FOUO For Official Use Only

GAO Government Accountability Office GIG Global Information Grid GTG-F Global Information Grid Technical Guidance Federation GTP GIG Technical Profiles

IAM Interoperability and Supportability Assessment Module IATM Integrated Architecture Traceability Matrix ICD Initial Capabilities Document ICTO Interim Certificate to Operate IEC International Electrotechnical Commission IEEE Institute of Electrical and Electronics Engineers IETF Internet Engineering Task Force IOP Interoperability IPG Interoperability Process Guide IPR In-Progress Review IS-CDD Information System Capability Development Document IS-ICD Information System Initial Capabilities Document

ISEC-TIC Information Systems Engineering Command – Technical Integration Center

(Army) ISG Interoperability Steering Group ISO International Organization for Standardization ISP Information Support Plan IT Information Technology ITP Interoperability Test Plan ITSC Information Technology Standards Committee (replaced by JESC) ITU International Telecommunication Union

J-RAD JITC Risk Assessment Database JAWS JITC Automated Workflow Service JCA Joint Capability Area JCIDS Joint Capabilities Integration and Development System JDMT JITC Data Management Tool JESC Joint Enterprise Standards Committee (formerly ITSC) JIC Joint Interoperability Certification JIE Joint Information Environment JIEP Joint Interoperability Evaluation Plan JIST JITC Information Sharing Tool JIT JITC Industry Toolkit JITC Joint Interoperability Test Command JITCI JITC Instruction JROC Joint Requirements Oversight Council xiii

JSD Joint Staffing Designator JSR JITC Standards Research (Team)

KM/DS Knowledge Management/Decision Support

MDA Milestone Decision Authority MIL-STD Military Standard MOA Memorandum of Agreement MOU Memorandum of Understanding MRTFB Major Range and Test Facility Base

NATO North Atlantic Treaty Organization NIEM National Information Exchange Model NIPRNet Nonsecure Internet Protocol Router Network NIST National Institute of Standards and Technology NR KPP Net-Ready Key Performance Parameter NSS National Security Systems

OASIS Organization for the Advancement of Structured Information Standards OMG Object Management Group OOC Out-Of-Cycle OT Operational Testing OTA Operational Test Agency OT&E Operational Test and Evaluation OTRR Operational Test Readiness Review OV Operational Viewpoint

PIIT Platform Integration Information Table PMO Program Management Office PM-P Program Management Portal POA&M Plan of Actions and Milestones POC Point of Contact

RM Records Management RTO Responsible Test Organization

SCG Security Classification Guide SIPRNet SECRET Internet Protocol Router Network SPAWAR Space and Naval Warfare Systems Command (Navy) STANAG Standardization Agreement (NATO) StdV Standards Viewpoint STP System Tracking Program SV Systems Viewpoint

T&E Test and Evaluation TCR Test Concept Review xiv

TRR Test Readiness Review TSP Test Support Package

UC Unified Capabilities UCCO Unified Capabilities Certification Office UCR Unified Capabilities Requirements UJTL Universal Joint Task List U.S. United States USD(AT&L) Under Secretary of Defense (Acquisition, Technology, and Logistics)

W3C World Wide Web Consortium

JITCI 380-50-02

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C1. CHAPTER 1. JOINT INTEROPERABILITY OVERVIEW

C1.1 Overview. The Joint Interoperability Test Command (JITC) is the Department of Defense’s (DoD’s) only joint interoperability certifier and only non-Service Operational Test Agency (OTA) for Information Technology (IT)/National Security Systems (NSS). Test and Evaluation (T&E) is essential to reduce the risks faced by warfighters in the field. JITC provides risk-based T&E and certification services, tools, and environments to ensure joint warfighting capabilities are interoperable and support mission needs. In addition, JITC serves as the OTA for other DoD agencies such as Defense Logistics Agency, Defense Finance and Accounting Service, and Defense Commissary Agency as well as providing Developmental Testing for Defense Information System Agency (DISA)-managed programs.

C1.2 Policy Guidance. Figure 1-1 depicts policy and instructions applicable to the Joint Interoperability Certification (JIC) process. This includes DoD Instruction (DoDI) 8330.01 and its companion document, the JITC Interoperability Process Guide (IPG). JITC publishes the IPG and coordinates with the T&E community to update or modify guidance contained in the DoD instruction. The Program Management Office (PMO)/Sponsor is the principal audience for the IPG. The JITC workforce is the principal audience for JITC Instruction (JITCI) 380-50-02, which focuses on specific JITC staff responsibilities.

C1.3 Document Design. This instruction focuses on policy; the “how to” or guidance information is provided in applicable supplemental guides of the Net-Ready Key Performance Parameter (NR KPP) Evaluation Guidebook. Several chapters have overlapping topics. The goal is to provide the reader with enough background to understand the policy guidance presented in a particular chapter. Some repetition is unavoidable to describe a topic in proper context and to present relationships with policies in other chapters. This instruction also includes a list of important reference materials for the Action Officer (AO) and test team personnel, including major test and certifications policy-related and associated operating procedures documentation relevant to JITC management and test personnel. Chapter 1 is an overview of joint interoperability and Chapter 2 prescribes Roles and Responsibilities. Chapters 3 through 6 address the four (4) phases of JITC’s joint interoperability T&E and certification process:

Requirements Generation, Planning, Test and Evaluation, and Reporting. Specific tools used during each phase of the process are discussed in the applicable chapters. The remaining chapters describe related activities and processes.

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Figure 1-1. Joint Interoperability T&E and Certification Policy, Processes, and Guidance

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C2. CHAPTER 2. ROLES AND RESPONSIBILITIES

C2.1 Overview. This chapter addresses the primary responsibilities performed by the JITC staff from the Commander to Division and Branch Chiefs to the assigned AOs who form the nucleus of the JITC test teams. Figure 2-1 identifies the key JITC personnel responsible for the activities addressed in this instruction.

Figure 2-1. Key JITC Elements with Test & Evaluation, Certification, and Interoperability Functions

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C2.2 Command Responsibilities:

C2.2.1 JITC Commander will:

• Provide command oversight and direction for all JITC joint test, evaluation, and certification missions.

• Monitor JITC Commander’s Watch List (CWL) and approve systems for inclusion or removal.

• Serve as signature authority for all non-certification products (Denial of Joint Interoperability Certification, Standards Conformance Non-Certification, etc.).

• Fulfill the role of the Defense Information Systems Agency (DISA) T&E Executive.

C2.2.2 JITC Deputy Commander will fulfill test, evaluation, and certification responsibilities, outlined in this instruction, in the absence or under the authority of the Commander.

C2.2.3 JITC Technical Advisor will:

• Review and approve all JITC CWL system test plans, reports, and certification products.

• Facilitate resolution of interoperability-related issues between external organizations and JITC when elevated above the Chief, Strategy, Plans, and Engineering Division

(JT4).

• Facilitate resolution and recommend decisions related to the roles of lead/supporting division.

C2.2.4 National Capital Region Liaison Officer (JT) will:

• Function as the primary point of contact (POC) representing the command’s interests with the Interoperability Steering Group (ISG).

• Maintain current DoD Chief Information Officer (CIO) ISG Website. This site contains ISG related material, e.g., JITC Interoperability Process Guide (IPG), ISG POC list, Waiver to Policy and Interim Certificate to Operate (ICTO) forms and procedures, and access to ISG tools.

C2.2.5 DISA T&E Coordinator will:

• Assist the T&E Executive and assist in the oversight of the JITC.

• Provide technical direction and oversight to the T&E offices and DISA.

C2.2.6 JITC Senior Staff team comprises select members of the command staff (Test Division Chiefs, Technical Advisor, and JT4 Division Chief). This team will:

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• Participate in selecting the subjects and issues, as needed for interoperability policy actions, for such venues as ISG meetings.

• Review and guide JITC test, evaluation, and certification to ensure long-range plans adequately address JITC’s evolving DoD interoperability mission.

• Assist JITC staff in resolving test, evaluation, certification, and interoperability issues within JITC.

C2.2.7 JITC Test Division Chiefs will:

• Provide system-specific test support in coordination with support Divisions/Branches and assume responsibility for general support of designated functional/mission areas.

• Maintain oversight of all assigned system test activities. This includes requirements review, PMO/Sponsor coordination, planning, budgeting, and execution, as well as reporting, certification, data archiving, and training.

• Plan and budget for testing resources, including tools and necessary infrastructure.

• Establish, in coordination with Chief, Strategy, Plans, and Engineering Division (JT4), guidelines and common practices involving metrics, methods, plans, or reports specific to assigned functional or mission areas.

• Establish a working relationship with designated functional/mission area domain leads. Examples include the Functional Capabilities Boards (FCBs) and Joint Capability Areas (JCAs) to address requirements and capabilities, resources, and status reporting.

• Assist in the development, review, and promulgation of JITC test, evaluation, and certification policy, procedures, and test methodologies as well as resolving related issues within JITC.

• Develop and retain subject matter expertise on functional and operational concepts, joint integrated architectures, and federated or domain metrics.

• Ensure AOs receive training and comply with DoD and JITC interoperability policy and procedures – produce consistent products, enter and maintain required System Tracking Program (STP) and Electronic Report Distribution (ERD) information, and acquire necessary technical expertise.

• Ensure all assigned personnel are responsive to interoperability status inquiries, document review requests, interoperability status reporting requirements, ICTO and Waiver to Policy review requests, and generation of related products. Ensure assigned personnel supporting these tasks coordinate with other Divisions and AOs on a timely basis, as needed.

• Maintain awareness of the interoperability status of systems and capabilities in assigned functional or mission areas.

• Ensure the implications and impacts of test, evaluation, and certification information are correct and clear to warfighters and decision-makers.

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• Ensure DoD and JITC policies and guidance are correctly reflected in test, evaluation, and certification information.

• Ensure review of test plans, reports, and certification products through the division and command review process, as appropriate, and distribution to the customer through the ERD tool.

• Ensure JITC documents follow the current content and format guidance, such as specified in the JITC Guide to Test Documentation and JITC NR KPP Evaluation Guidebook.

• Ensure all test, evaluation, and certification documents are technically correct and adequate, fulfill customer needs, and meet JITC documentation standards.

• Exercise signature authority on all designated function or mission products and be accountable for the quality of these products.

• Ensure timely delivery of JITC’s formal products to the customers after proper review, approval, and release authorization. Be accountable for the quality of these products.

• Direct assignment of a Lead AO to manage test support activities, as required.

• Assign representatives to perform requirements document review duties (described in Chapter 3), as appropriate, and administer requirements document review and comment adjudication.

• When performing the role of a lead division, perform these additional functions:

o Coordinate with other divisions on programs/systems that cross functional/mission areas.

o Act as the primary JITC POC for external coordination when necessary to back up the Lead AO.

• When performing the role of a supporting division, perform these additional functions:

o Provide requested resources (test material, test support, etc.) to lead division in sufficient time to support their particular mission.

o Provide timely, detailed, and clear document comments and feedback to lead division when requested.

C2.2.8 JITC Branch Chiefs will:

• Ensure test, evaluation, and certification information is technically adequate and accurate – interoperability and standards conformance status is determined and reported properly, and that test methodologies and status reporting complies with DoD and JITC interoperability policy and procedures.

• Assist in the development, review, and promulgation of JITC test, evaluation, and certification policy, procedures, and test methodologies.

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• Assist Division Chiefs in ensuring AOs receive training and comply with DoD and JITC interoperability policy and procedures.

• Ensure that AOs enter and maintain required information in STP, ERD, and data repositories.

• Ensure review of test plans, reports, and certification products through the Division and Command review process.

• Assist Division Chiefs in ensuring JITC document quality and consistency by following current content and format guidance.

• Assist Division Chiefs in ensuring timely delivery of JITC’s formal products to the customers after proper review, approval, and release authorization.

• Assist Division Chiefs in planning and budgeting for testing resources, including tools and necessary infrastructure.

• Assist in resolving test, evaluation, certification, and interoperability issues within

JITC.

• Assist Division Chiefs in ensuring all assigned personnel are responsive to interoperability status inquiries, document review requests, interoperability status reporting requirements, ICTO and Waiver to Policy review requests, and generation of related products. Ensure assigned personnel supporting these various tasks coordinate with other Divisions and AOs on a timely basis, as needed.

C2.3 JITC Action Officers. AOs can have widely varying roles and responsibilities depending on the nature of their assigned test program(s). Because of this, AOs are expected to coordinate with their Branch Chiefs to determine which of the items below are suitable for their particular situation.

C2.3.1 Basic Knowledge Requirements. AOs must have a working knowledge of fundamental test, evaluation, and certification policy guidance, as well as be cognizant of the following, as appropriate for their assignments:

• JITC IPG.

• DoD interoperability policies.

• DoD Architecture Framework (DoDAF), which defines Architecture Viewpoints that are essential to NR KPP interoperability certification.

• Requirements Review Processes, e.g., the Global Information Grid Technical Guidance Federation (GTG-F) Interoperability and Supportability Assessment Module (IAM) which provides an automated process for staffing, providing comments, and adjudicating the Information Support Plan (ISP). (See Chapter 3.)

• JCAs, Universal Joint Task Lists (UJTLs), UJTL to JCA linkage, etc.

• Joint Capabilities Integration and Development System (JCIDS) Manual. Also see Chairman of the Joint Chiefs of Staff Instruction (CJCSI) 3170.01 (JCIDS) and

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CJCSI 5123.01 (Joint Requirements Oversight Council (JROC) Charter), which further detail the NR KPP process.

• Unified Capabilities (UC). DoDI 8100.04, UC Approved Products List (APL) Process Guide, Unified Capabilities Requirements (UCR), and JITC Distributed Testing UC Implementation Guide. (See Chapter 8.)

• JITC Action Officer’s Guide.

C2.3.2 Specific Roles and Responsibilities. The AO's primary role is to understand the program, system, or system components sufficiently to provide the PMO/Sponsor a technically sound interoperability evaluation. Additionally, the AO should support the PMO/Sponsor in navigating the process by providing information and direction on interoperability policies and procedures. Detailed duties encompass the following activities:

• Review system capability/requirements documents. Ensure the sufficiency and testability of measures in the NR KPP, associated architecture viewpoints, and other interoperability requirements (i.e., traceable, measurable requirements).

• If attempts to resolve a critical requirements-related issue with the PMO/Sponsor have been unsuccessful, coordinate with the Strategy and Policy Branch (JT4A) for assistance in coordinating among the various parties.

• Prepare and execute an appropriate test planning document such as an Interoperability Test Plan (ITP) or provide input to other test planning documents, as appropriate.

• Ensure the PMO/Sponsor understands that JITC will perform an interoperability evaluation based on Joint Staff-certified NR KPP and approved architecture viewpoints. Evaluation results are used to determine the appropriate interoperability (IOP) T&E product (JIC, Joint Interoperability Assessment, etc.).

• Prepare and staff plans and reports, including status reports, assessments, certifications, and related correspondence, in accordance with this instruction, the JITC Guide to Test Documentation, and other guidance referenced in this instruction.

• Create/update STP entries and maintain ERD recipient distribution lists.

• Ensure all JITC formal products go through the designated review process (see Chapter 6) and use the ERD for softcopy distribution. Any product that warrants special handling, e.g., a classified or For Official Use Only document requires insertion of a “placeholder” file for ERD processing.

• Support ICTO reviews and Waiver to Policy requests, coordinating with other Divisions and AOs.

• Adhere to approved JITC policies and procedures, in coordination with the Lead AO, when establishing a Memorandum of Agreement (MOA) or Memorandum of Understanding (MOU) with the PMO/Sponsor.

• Be accountable for the quality of all final products. Ensure that all products are carefully screened and properly marked for classification or special handling and processed in accordance with policy.

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• Be prepared to assume the responsibilities of Lead or Support AO.

C2.3.3 Lead Action Officer. The Lead AO has oversight for all test-related activities for a particular program/system to include the following actions:

• Serve as the single JITC POC to coordinate all issues involving requirements, testing, evaluation, certification, and funding. This includes responsibility for developing any Plans of Actions and Milestones (POA&Ms) and MOAs/MOUs in coordination with the PMO/Sponsor. The Lead AO confirms that necessary test methodologies, test tools and associated procedures, and support systems are available or developed.

• Coordinate early with the Business Operations Branch on any work involving foreign customers to address matters concerning funding, material transfer, etc.

• Ensure validation of test tools and procedures pertaining to interoperability and standards conformance testing, including those developed by other organizations.

• Conduct periodic In-Progress Reviews (IPRs) to brief JITC management and the PMO/Sponsor on the status of the program/system under test.

• In coordination with the customer and JT4A, determine the appropriate test, evaluation, and certification documentation required.

• Prepare documentation following this instruction and referenced guidance and resolve specific questions with JT4A.

• Coordinate documents through division and JT4A reviews, as appropriate, and obtain approval from the Division Chief before publication and distribution.

• Ensure the program’s overall JITC T&E and certification strategy is technically sound and thoroughly evaluates the system’s capabilities and requirements.

• In support of an Operational Test Readiness Review (OTRR) or Milestone C decision, the Lead AO will coordinate with appropriate division management to produce a consolidated JITC recommendation.

• Ensure test data used to support evaluations are archived in designated central storage areas.

• As part of the reporting process, assess the expected operational impact of any discrepancies or unmet critical test requirements.

• Be accountable for security matters and product quality.

C2.3.4 Support Action Officer. The Support AO is responsible to the Lead AO in performance of the following tasks:

• Coordinate all funding and scheduling matters involving test, evaluation, and certification efforts with the Lead AO.

• Provide technical support and expertise to the Lead AO on document review and test planning, execution, analysis, and reporting.

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C2.4 Supporting JITC Elements. The paragraphs below list the responsibilities of the command elements involved in developing and managing JITC interoperability policy and procedures.

C2.4.1 Business Operations Division (JT2). Division duties cover a wide range of test support activities including:

• Operate a 24/7 hotline to provide JITC test experience and resources to resolve real-time interoperability issues. Coordinate hotline requests with the appropriate Division for resolution.

• Coordinate JITC/Combatant Command support activities with the applicable DISA field offices and DISA desk officers.

• Develop and maintain system interoperability exercise planning and reporting instructions.

• Perform initial processing of JIC recertification request forms.

• Maintain JITC public website. This site contains JITC testing, DoD policy references, contact information, etc. It also includes Hotline Support forms for initial contact with customers needing assistance.

C2.4.2 Chief, Information Management Branch (JT2F). This branch is responsible for development and management of the STP, ERD, JITC Automated Workflow Service (JAWS), JITC Data Management Tool (JDMT), JITC Information Sharing Tool (JIST), and JITC Industry Toolkit (JIT); JIT includes the Electronic Report Library (ERL) and other related tools. Specific duties include the following tasks:

• Review and approve access requests.

• Assist users in STP, ERD, JAWS, JDMT, JIST, and JIT operation.

• Approve and oversee system modifications and updates.

• Manage the STP:

o Respond to data calls to support other JITC Divisions, the Commander, historical reporting requirements, performance metrics, etc., that require special STP reports/queries.

o Provide periodic STP statistical summaries to JITC Senior Staff.

o Develop STP training material and provide training to the workforce.

o Develop and maintain the STP Users’ Manual.

• Manage the ERD process, to include:

o Develop and maintain the ERD and associated tools.

o Assist users in ERD operation.

o Provide ERD training to the workforce.

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• Facilitate use of the JIT. Specific actions involve developing and maintaining the JIT online site and maintaining the JIT server, assisting users in JIT operation, and providing JIT training to the workforce.

• Facilitate use of JAWS, JDMT, and JIST.

C2.4.3 Test Operations Division (JT3). Division duties cover a wide range of test support activities which will:

• Provide space, facilities, network, and security services in hosting DISA, DoD, government, and vendor development, integration, and test activities.

• Provide JITC with a consolidated cybersecurity support team.

C2.4.4 Chief, Strategy, Plans, and Engineering Division (JT4) will:

• Coordinate with the JITC Senior Staff to establish and promulgate JITC test, evaluation, and certification policy, procedures, and processes.

• Represent JITC to resolve interoperability-related issues between external organizations and JITC when elevated above the Chief, Strategy and Policy Branch.

• Oversee all JITC T&E and certification policy development, associated publications, and related training programs, to include the JITC IPG, as per DoDI 8330.01. This includes review and approval of deviations from policy or established best practices within functional/mission area testing methodologies developed by the Divisions and Branches and JITC input to DoD interoperability-related directives, instructions, policy, and procedures.

• In coordination with JITC Command staff, respond to data calls relating to general interoperability and certification-related issues in support of the Government Accountability Office (GAO), the DoD CIO and ISG, Joint Staff, Inspector General, and DISA.

• Oversee the execution of JITC Executive Agent duties (see Chapter 3).

C2.4.5 Chief, Strategy and Policy Branch (JT4A). As directed by the Chief, Strategy, Plans and Engineering Division, the JT4A Branch Chief will:

• Implement a JITC quality control program to establish quality standards, templates and enforce best practices across the command to ensure consistency and clarity of test plans, test reports, requirements reviews, and certification products.

• Develop and maintain policies and procedures for JITC certification and related processes.

• Maintain current interoperability T&E and certification information at the following locations:

o JIST – T&E Pad. JIST T&E pad serves as the policy share site that contains training briefings; DoD interoperability policy and architecture information;

2-10 document review material; example JITC test, evaluation, and certification products; etc.

o JITC JT4A SharePoint Website. This site contains notices on interoperability testing, DoD policy references, and current JITC certification statistics.

o JITC NR KPP Helpdesk. This site supports the Helpdesk function.

• Manage the administrative ERD processes associated with JITC test and certification documents.

o Process and disseminate test and certification documents through the ERD.

o Ensure all distributed products and related metadata, are entered into STP. This includes interoperability administrative details and related status information.

o Ensure ERD Interoperability Certification Letter Core (distribution) List and

(Standards) Conformance Certification Letter Core (distribution) List are current and updated, as needed.

• Manage formal document reviews. Staff documents and coordinate JITC comments to the GTG-F IAM or the Knowledge Management/Decision Support (KM/DS) tool, as applicable, in coordination with the respective Lead Division and AO. Designate an Executive Agent, Lead Assessor or Assessor POC, and alternates to be responsible for the following:

o Identify the Division responsible to review documents.

o Provide technical assistance and coordinate publication using GTG-F IAM or

KM/DS, as applicable.

• Process and disseminate Waiver to Policy recommendations.

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C3. CHAPTER 3. REQUIREMENTS GENERATION

C3.1 Overview. This chapter provides policy and guidance for reviewing requirements documents for JIC. Certification is based upon meeting requirements set forth by the Joint Staff-certified NR KPP and approved architecture viewpoints or alternate approved forms of requirements (e.g., for platform and business systems) as established in the IPG.

C3.2 Net-Ready Key Performance Parameter. The NR KPP attributes are the foundation for an interoperability evaluation. The three attributes, as shown in Figure 3-1, specify the joint mission(s), operational tasks (mission activities) supported by the systems; the networks (transport); and the supporting information exchanges; all with applicable measures critical to assessing interoperability. The primary DoD policy and guidance for the NR KPP are the CJCSI 3170.01 series, the companion JCIDS Manual, and the Content Guide for the NR KPP website (formerly Joint Staff NR KPP Manual) located at https://intellipedia.intelink.gov/wiki/Content_Guide_for_the_Net-Ready_KPP.

Figure 3-1. NR KPP’s Three Attributes

Testable and traceable measures, to include appropriate conditions and criteria, are derived from applicable architecture viewpoints and used to evaluate compliance with the NR KPP attributes. JT4A developed the JITC NR KPP Evaluation Guidebook, Requirements Document Review Process, to help the AO conduct the formal IOP requirements review and extract test requirements from the Joint Staff-certified NR KPP and approved architecture viewpoints. Use of https://intellipedia.intelink.gov/wiki/Content_Guide_for_the_Net-Ready_KPP

3-2 a requirement traceability matrix, such as the Integrated Architecture Traceability Matrix (IATM) described in the evaluation guidebook, during document review is strongly recommended.

C3.3 Information Support Plan. The ISP documents a program’s information infrastructure support and information interface requirements, to include the Joint Staff-certified NR KPP and architecture viewpoints, which are required for a JIC. DoDI 8330.01, “Interoperability of Information Technology (IT), including National Security Systems (NSS),” and DoDI 5000.02, “Operation of the Defense Acquisition System,” require systems have an ISP so it is a good source for IOP requirements; however, the final, complete ISP is not required for a JIC.

The PMO/Sponsor develops the ISP using the GTG-F. The GTG-F comprises the following and is available at https://gtg.csd.disa.mil/iam/home.html:

• Program Management Portal (PM-P): Provides PMOs/Sponsors with the means to manage ISP, NR KPP, and architecture information during document development, assessment, comment adjudication, and approval.

• Global Information Grid (GIG) Technical Profiles (GTP) provides a simple wizard to create a Standards Viewpoint (StdV).

• DoD IT Standards Registry (DISR): Used to build StdV-1, StdV-2, and GTP lists.

• Enhanced Information Support Plan (EISP): The EISP submission wizard compiles program information into an ISP and GTP data for assessment.

• IAM:…