A formal approach to national CIS A formal approach to national CIS validation in support of NATO validation in support of NATO

expeditionary forces certificationexpeditionary forces certification

The Interoperability Experimentation, Testing and The Interoperability Experimentation, Testing and Validation (IETV) capabilityValidation (IETV) capability

Dr. Alberto DomingoDr. Alberto DomingoNATO Consultation, Command and Control Agency (NC3A)NATO Consultation, Command and Control Agency (NC3A)

alberto.domingo@nc3a.nato.intalberto.domingo@nc3a.nato.int

Presented by:Presented by:Dr. Hermann WietgrefeDr. Hermann Wietgrefe

NATO Consultation, Command and Control Agency (NC3A)NATO Consultation, Command and Control Agency (NC3A)hermann.wietgrefe@nc3a.nato.inthermann.wietgrefe@nc3a.nato.int

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ContentsContents

IntroductionIntroduction

CIS ValidationCIS Validation

The Interoperability Experimentation, Testing and Validation The Interoperability Experimentation, Testing and Validation (IETV) capability(IETV) capability

Using the IETV to validate nationally-provided CISUsing the IETV to validate nationally-provided CIS

ConclusionsConclusions

This work has partially been performed and funded as part of the NC3B 2006 Programme of Work for interoperability in NATO, which supports progressive implementation and use of the IETV Capability.

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IntroductionIntroduction

Expeditionary operations constitute nowadays the paradigm of (deployed) missions in NATO. They require extensive Communications and Information Systems (CIS).

Effective interoperability of CIS at all levels of command is then a key requirement to allow proper information sharing in the battle-space.

Since Nations periodically rotate to fill-in NATO force requirements, ensuring CIS interoperability is a rolling and permanent effort.

New CIS concepts and technology evolutions are constantly implemented, and interoperability of those new technologies with existing assets needs to be assessed.

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Force Certification and CIS Force Certification and CIS ValidationValidation

Certification is the result of a process in which a force formation is Certification is the result of a process in which a force formation is prepared, evaluated and validated by a higher headquarter in the chain prepared, evaluated and validated by a higher headquarter in the chain of command. In NATO, is a pre-requisite for a Nation to contribute of command. In NATO, is a pre-requisite for a Nation to contribute forces to a given mission.forces to a given mission.

Validation is the act of proving that something is sound, and Validation is the act of proving that something is sound, and conformant to a set of needs. CIS validation is an essential pre-conformant to a set of needs. CIS validation is an essential pre-requisite for the force certification.requisite for the force certification.

Validation in itself is a loose term. In contrast, "verification" means Validation in itself is a loose term. In contrast, "verification" means proving that something is correct. Validation of complex capabilities proving that something is correct. Validation of complex capabilities (as CIS) then, should be based on formal verification.(as CIS) then, should be based on formal verification.

NC3ATN-1127

More details in …

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The CIS validation process (NC3A The CIS validation process (NC3A proposal)proposal)

FORCECOMPOSITION UNIT “l”

from Nation “l”UNIT “m”

from Nation “m”

Nationalassessmentcriteria

Unit-levelassessment

OK?

Technicalrequirements Ref test bed

assessmentOK?

Technicalexercisetest plan

Test withother units

OK?

Operationalexercisetest plan

OperationaltestOK?

Nationally-assessedCIS System

CIS System compliantwith technical requirements

Technically verifiedCIS System

N

N

N

N

Y

Y

Y

Y

Units validation assessment in terms of Command and Control,

Readiness, Force composition Capability, Deployability

and Sustainability

CIS Validated Unit

CIS Validated Capability

Certified Capability

Operationally verified

CIS System

UNIT “x”from Nation “x”

New concepts &technologies

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The IETV CapabilityThe IETV Capability

The IETV (Interoperability Experimentation, Testing and Validation) is a The IETV (Interoperability Experimentation, Testing and Validation) is a tool in support of systems certification, interoperability enhancement tool in support of systems certification, interoperability enhancement and experimentation for multinational, NATO-led expeditionary and experimentation for multinational, NATO-led expeditionary operations. operations.

The Capability is made-up of four essential components:The Capability is made-up of four essential components: ProcessesProcesses Supporting documentationSupporting documentation A test bedA test bed Know-howKnow-how

PROCESSES

SUPPORTINGDOCUMENTS

KNOW-HOWIETV

REFERENCETEST BED

IETV CAPABILITY

APPLICABLE POLICY

ARCHITECTURES,EXISTING

EQUIPMENT andBEST PRACTICES

ASSESSMENT OF:

NATO PROCUREMENTS,NATIONAL CIS,

NEW CONCEPTS,TECHNOLOGIES,

INDUSTRY PRODUCTS.

NC3ATN-1176

7

The IETV Capability: the test bedThe IETV Capability: the test bed

The IETV test bed must provide representative functions, The IETV test bed must provide representative functions, interfaces, performances and implementation constraints interfaces, performances and implementation constraints associated with any deployed mission environment. The formal associated with any deployed mission environment. The formal requirement analysis is available in NC3A TN-1176.requirement analysis is available in NC3A TN-1176.

A functional analysis has been done. A functional analysis has been done.

Clustering of functions allows easy re-use of assets currently Clustering of functions allows easy re-use of assets currently existing at other more specialized test beds and labs in NC3A, as existing at other more specialized test beds and labs in NC3A, as well as in National test facilities. well as in National test facilities.

It also allows an easy split up of the test bed into a static part It also allows an easy split up of the test bed into a static part and a deployable footprint, making it a distributed capability.and a deployable footprint, making it a distributed capability.

The deployable part interconnects to the static part in The The deployable part interconnects to the static part in The Hague, for management and control, and to access the static Hague, for management and control, and to access the static facilities in the Hague or other National facilities. facilities in the Hague or other National facilities.

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The IETV Capability: the test bedThe IETV Capability: the test bed

Information Exchange Mechanisms (Examples)

Network Services

Core Services

Information Assurance Services

Functional Services

Interfaces

Circuit-Switched (CS)

Foundation Services

Identity Mgmt

Specialized Data Services

Data Exchange and Interoperability

DirectoryE-mail Web

CollaborationFile Sharing CollaborationFile Sharing

FileE-mail Socket Database

IP LAN (NS) IntrusionDetection

Reference Systems

IP LAN (MS)

IP LAN (NU)

Information Exchange Services

Military Messaging

Authentication

Virus Protection

Import/Export ReplicationSerial FeedImport/Export

NATOGateway and Guard

NATOC2 Applications

National C2Applications

Packet-Switched (PS)

Time-Division Multiplexing (TDM)

BandwidthManagement

Function(BMF)

TRANSMISSION

NATOGateway and Guard

Voice/Fax/Telex/Video/VTC

Switch ConferenceUnit

User terminal Equipment

Deployed NATO CISDeployed NATO-Nation CIS

Deployed Coalition-Nation CISLocal Authorities

NGO’s

NC3ATN-1176

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The IETV Capability: the processThe IETV Capability: the process

DESCRIPTION OFUNIT’S CIS

ANALYSIS

PREPARE SPECIFIC TEST PLAN

PREPARE SUPPORTING DOCUMENTS(HANDBOOKS, TEMPLATES, etc.)

TESTSUCCESS

?

Validated CIS

N

Y

TESTING

NATO TECHNICALCIS CRITERIA

<><>

CHANGES

IETV TEST BED

CHANGES &MITIGATIONS

Assessmentresults

Y

N

VERIFICATION ASSESSMENT

Architectures, know-how,

best practices

Ver

ific

ati

on

Unit-Level Assessment

OK?

NIE

IT

(NA

TO

Int

erop

era

bilit

y in

form

atio

n d

ata

bas

e)

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The IETV Capability: Support docs.The IETV Capability: Support docs.

Supporting documentation is needed to guide testing and Supporting documentation is needed to guide testing and experimentation partners during the process. experimentation partners during the process.

Supporting documentation comprises handbooks and validation criteria. Supporting documentation comprises handbooks and validation criteria.

The handbooks describe NATO CIS and how NATO partners and other users The handbooks describe NATO CIS and how NATO partners and other users should design and configure CIS systems.should design and configure CIS systems.

The technical criteria for CIS validation are the technical requirements that The technical criteria for CIS validation are the technical requirements that Nationally-provided Units need to meet, and the requirements for which Nationally-provided Units need to meet, and the requirements for which verification support from the IETV is needed.verification support from the IETV is needed.

The criteria mainly derive from outstanding Minimum Military The criteria mainly derive from outstanding Minimum Military Requirements (MMR) and applicable policy, but also from information Requirements (MMR) and applicable policy, but also from information about existing architectures and systems in NATO.about existing architectures and systems in NATO.

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The IETV Capability: Support docs.The IETV Capability: Support docs.

NC3ATN-1174

PERMANENT CRITERIA

MINIMUM MILITARYREQUIREMENTS

INTEROPERABILITYPOLICY

DCIS/NRF ARCHITECTURESNC3A TN-1009

DCIS INTERFACE DESCRIPTION DOCUMENT

NC3A TN-1010

NCSA TEMPLATES

OPERATIONALCRITERIA

NC3A BEST PRACTICES

OPERATIONAL INSTRUCTIONS

TECHNICALCRITERIA

+

C2 FUNCTIONS

DCIS SERVICES

+

FUNCTIONALITY

PERFORMANCE

INFOSEC

+

INTERFACES

IMPLEMENTATION DETAILS

+

INTEROPERABILITY TEMPLATESNC3A TN-1175

CIS

VA

LID

AT

ION

CR

ITE

RIA

(TE

CH

NIC

AL

RE

QU

IRE

ME

NT

S,

NC

3A

TN

-11

74)

NIETI IOTRs

12

CIS VerificationCIS Verification

<><>

VERIFICATION ASSESSMENT

TECHNICALCRITERIA

“ANALYSIS”REQUIREMENTS

“ANALYSIS”REQUIREMENTS

“INSPECTION”REQUIREMENTS“INSPECTION”

REQUIREMENTS“TEST”

REQUIREMENTS“TEST”

REQUIREMENTS

UNIT’sDESIGNUNIT’s

DESIGN

SUFFICIENTINFO?

“SIMPLE” TESTCASES

“SIMPLE” TESTCASES

<><>

Available know-howAvailable venue/test

assets

“Covered”requirements

“Non-Covered”requirements

SPECIFIC TESTCASES

SPECIFIC TESTCASES

TESTING

SUCCESS ?

SUCCESS ?

Partially-Verified and Not-Verified

requirements

Partially-Verified and Not-Verified

requirements

PartiallyCompliant (PC)requirements

PartiallyCompliant (PC)requirements

NonCompliant (NC)requirements

NonCompliant (NC)requirements

Not Applicable (NA)requirements

Not Applicable (NA)requirements

Compliant (C)requirementsCompliant (C)requirements

Y

N

Y

N

Y

N

(1) (2)

(2)

(1) (1) (1)

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CIS Verification AssessmentCIS Verification Assessment

VERIFICATIONASSESSMENT

Partially-Verified and Not-Verified

requirements

PartiallyCompliant (PC)requirements

NonCompliant (NC)requirements

Not Applicable (NA)

requirements

Compliant (C)requirements

END

RISKASSESSMENT

MITIGATIONANALYSIS

REMARKS

MITIGATIONPROCEDURE

CHANGE REQUEST

ACTION ?

Y

CRITICAL ?

Y

N

N

Re-do Validation

VALIDATION OF RESULTS

(Based on Assessment of verification results)

CRITERIA

RemarksMitigation

CRITICAL ?

Y

N

Requiredchanges

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CIS Verification/Validation resultsCIS Verification/Validation results

The results of the assessment campaign should be recorded in a The results of the assessment campaign should be recorded in a standard format that addresses the different levels of audience.standard format that addresses the different levels of audience.

A report based on three parts is proposed:A report based on three parts is proposed:

CIS COMPLIANCE

Unit and C2 function :Test venue/date :Service :

Assessment / description :

Executive Summary :

Performed verification tests:

Summary of non-applicabilities:

Summary of partial compliances:

Summary of non compliances:

Summary of potential impacts:

Recommendations and future evolution:

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ConclusionsConclusions

CIS validation needs to be a formal process.CIS validation needs to be a formal process.

NATO needs a comprehensive CIS capability in support of formal NATO needs a comprehensive CIS capability in support of formal validation of national assets, which also covers experimentation and validation of national assets, which also covers experimentation and interoperability enhancement.interoperability enhancement.

The required capability is much more than a test bed. Processes, The required capability is much more than a test bed. Processes, procedures, tools and procedures, tools and know-howknow-how need to be built around the test bed to need to be built around the test bed to achieve the required objectives. achieve the required objectives.

The IETV capability is feasible and meets the requirements. The IETV capability is feasible and meets the requirements.

The initial (2006) phase has produced a limited IETV in functional scope The initial (2006) phase has produced a limited IETV in functional scope and abilities, but covers all essential elements. and abilities, but covers all essential elements.

The test bed The test bed should should never replace, but rather complement, testing and never replace, but rather complement, testing and validation efforts at NATO Exercises, or the Commanders assessment of validation efforts at NATO Exercises, or the Commanders assessment of the IETV validation results. the IETV validation results.

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CONTACTING NC3ACONTACTING NC3A

NC3A Brussels

Visiting address:

Bâtiment ZAvenue du Bourget 140B-1110 BrusselsTelephone +32 (0)2 7074111Fax +32 (0)2 7078770

Postal address:NATO C3 AgencyBoulevard Leopold IIIB-1110 Brussels - Belgium

NC3A The Hague

Visiting address:

Oude Waalsdorperweg 612597 AK The Hague

Telephone +31 (0)70 3743000Fax +31 (0)70 3743239

Postal address:NATO C3 AgencyP.O. Box 1742501 CD The HagueThe Netherlands